Advances in Electromechanical Technologies: V. C. Pandey P. M. Pandey S. K. Garg Editors

Lecture Notes in Mechanical Engineering
V. C. Pandey
P. M. Pandey
S. K. Garg Editors
Advances in
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V. C. Pandey P. M. Pandey S. K. Garg
• •
Editors
Advances
in Electromechanical
Technologies
Select Proceedings of TEMT 2019
123
Editors
V. C. Pandey P. M. Pandey
Department of Mechanical Department of Mechanical Engineering
and Automation Engineering Indian Institute of Technology Delhi
HMR Institute of Technology New Delhi, Delhi, India
and Management
New Delhi, Delhi, India
S. K. Garg
Department of Mechanical Engineering
Delhi Technical University
New Delhi, Delhi, India
ISSN 2195-4356 ISSN 2195-4364 (electronic)

ISBN 978-981-15-5462-9 ISBN 978-981-15-5463-6 (eBook)
https://doi.org/10.1007/978-981-15-5463-6
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Contents
Optimization of Energy-Aware Flexible Job Shop Scheduling

Problem Using VNS-Based GA Approach . . . . . . . . . . . . . . . . . . . . . . 1
Rakesh Kumar Phanden, Rahul Sindhwani, and Lalit Sharma
Optimizing the Conveyor Belt Speed of a Bright Annealing
Furnace . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Akshay Naidu, R. Padmanaban, and R. Vaira Vignesh
FGM Plates with Circular Cut Out Analysis Resting on Elastic
Foundations and in Thermomechanical Loading Environments . . . . . . 21
Rajesh Kumar
Benchmarking the Integration of Industry 4.0 into the National
Policies at Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Sanjiv Narula, Surya Prakash, Maheshwar Dwivedy, Ajay Sood,
and Vishal Talwar
Exergy Analysis of Novel Combined Absorption Refrigeration
System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Vaibhav Jain, Ashu Singhal, and Harsh Joshi
Geothermal Energy: An Effective Resource Toward Sustainability . . . 61
Suman Das and Arijit Kundu
Analysis of Double Square Loop FSS for Transmission Mechanism . . . 73
Rahul Shukla and Garima Tiwari
Development of High-Temperature Shape Memory Alloys . . . . . . . . . . 79
Shyam Singh Rawat, Raghvendra Sharma, Maneeram Singh Gurjar,
and Manoj Sharma
FGM Plates with Elliptical and Rectangular Cutouts Analysis
for Post-Buckling Resting on Elastic Foundations in Thermal
Environments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Rajesh Kumar
v
vi Contents
Water Quality Examining Using Techniques of Data Mining . . . . . . . . 103

Sanika Singh, Sudeshna Chakraborty, and Saurabh Mukherjee
Application of Block Chain in EHR’s System for Maintaining
the Privacy of Patients Record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
Ifra Salaudin, Shri Kant, and Supriya Khaitan
Solar Power-Based Smart Greenhouse . . . . . . . . . . . . . . . . . . . . . . . . . 127
Padma Wangmo, Vinay Kumar Jadoun, Anshul Agarwal,
and Harish Kumar
Modelling of Slag Produced in Submerged Arc Welding . . . . . . . . . . . 137
Brijpal Singh and Sachin Dhull
Automatic Land Defense System for Borders Using Radar, Laser
Gun and Related Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
Rishab Kumar Bhardwaj, Sudhir Ranwa, Ranjan Kumar, Lokesh Meena,
Anshul Agarwal, and Vinay Kumar Jadoun
A Wideband Star-Shaped Rectenna for RF Energy Harvesting
in GSM Band . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
Vishal Singh, Vinay Shankar Pandey, and Vivek Shrivastava
Cylindrical Shell Panel of FGM Analysis Elastically Supported
and Uncertain Material Parameters in Hygrothermomechanical
Loading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
Rajesh Kumar
Influence of Digital Technologies on Migration Flows
and the Regional Labor Market of Russia . . . . . . . . . . . . . . . . . . . . . . 185
Kruglov Dmitrii, Tsygankova Inga, Reznikova Olga,
and Mikhailov Sergey
Analysis of Actuators Prognostic Health Monitoring in Spacecraft
Attitude Control Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
Kaustav Jyoti Borah
Modified Mechanical Face Seal Geometry . . . . . . . . . . . . . . . . . . . . . . 205
Ankita Kumari
Design and Analysis of a CSP Plant Integrated with PCM Reservoirs
in a Combined Storage System for Uninterrupted Power
Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
Bikash Banerjee and Asim Mahapatra
Application of Analytic Hierarchy Process for the Selection of Best
Tablet Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227
Shankha Shubhra Goswami and Soupayan Mitra
Contents vii
Postdeforming of FGM Laminates Analysis for Random Geometric

Parameters in Thermal Environments . . . . . . . . . . . . . . . . . . . . . . . . . 237
Rajesh Kumar and Vineet Shekher
Flow Simulation of Atmospheric Re-entry Vehicle at Varying Mach
Number and Angle of Attack . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245
Shivam Thakur, Harish Kumar, and Shrutidhara Sarma
Measuring the Relative Importance of Reconfigurable
Manufacturing System (RMS) Using Best–Worst Method (BWM) . . . . 253
Ashutosh Singh, Mohammad Asjad, Piyush Gupta, Zahid Akhtar Khan,
and Arshad Noor Siddiquee
E-Commerce Delivery Routing System Using Bellman–Held–Karp
Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277
Sugandh Agarwal, Naman Jain, Tanupriya Choudhury,
Utkarsh Vikram Singh, and Ravi Tomar
GAPER: Gender, Age, Pose and Emotion Recognition Using Deep
Neural Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
Deepali Virmani, Tanu Sharma, and Muskan Garg
Enhanced Blockchain Application for Pub-Sub Model . . . . . . . . . . . . . 299
Nomaun Rathore and Shri Kant
A Study on Perception of Management Students Regarding
Corporate Governance Practices of PSUs . . . . . . . . . . . . . . . . . . . . . . . 313
Meenakshi Bisla, Pranav Mishra, Aparna Sharma, and Priyanka Tyagi
Discrimination of Text and Non-text Images . . . . . . . . . . . . . . . . . . . . 323
Pradipta Karmakar, Chowdhury MdMizan, Rani Astya,
and Sudeshna Chakraborty
Calibration of Temperature and Pressure Sensors for DAQ System
in Air Conditioning Test Rig . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333
Vrinatri Velentina Boro, Vibha Burman, Amandeep Kaur, Manoj Soni,
and Pooja Bhati
On Condition Monitoring Aspects of in-Service Power Transformers
Using Computational Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343
Ujjawal Prakash Bhushan, R. K. Jarial, Vinay Kumar Jadoun,
and Anshul Agarwal
Communication Techniques in Smart Grid—A State of Art . . . . . . . . 357
Aastha Khanna and Anuradha Tomar
FGM Composite Cylindrical Shell Panel Analysis for Post Buckling
Resting on Elastic Foundations and Thermomechanical Loading . . . . . 377
Rajesh Kumar
viii Contents
PV-Based Water Pumping System—A Comprehensive Review . . . . . . 389

Sahil Sharma, Anuradha Tomar, and Vishesh Bhagat
Economic Analysis of Battery Swap Station for Electric Three
Wheeled Vehicle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 399
Devanshu Grover, Ishan, Shubham Bansal, and R. C. Saini
Optimization of Inlet Swirl for Flow Separation in Annular
Diffuser . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409
Hardial Singh and B. B. Arora
Innovative PMI-Based Inspection Planning for Planar
and Cylindrical Features . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 421
Pratik Kalaskar, Surbhi Razdan, and Amol Jawalkar
Experimental Study of Sliding Wear Behavior of Journal Bearing
Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429
Vinayak Goel, Akshat Jain, Vibhor Heta, Sanchit Jain,
and Vipin Kumar Sharma
Deep Learning Architectures: A Hierarchy in Convolution Neural
Network Technologies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 439
Shruti Karkra, Priti Singh, Karamjit Kaur, and Rohan Sharma
A Comprehensive Study of Different Converter Topologies
for Photovoltaic System Under Variable Environmental
Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 459
Preeti Gupta and S. L. Shimi
A Novel Approach for Predicting the Compressive and Flexural
Strength of Steel Slag Mixed Concrete Using Feed-Forward
Neural Network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 475
Tanvi Gupta and S. N. Sachdeva
Progress and Latest Developments in Hybrid Solar Drying
with Thermal Energy Storage System . . . . . . . . . . . . . . . . . . . . . . . . . 487
Narender Sinhmar and Pushpendra Singh
An Improved Maximum Power Point Tracking (MPPT)
of a Partially Shaded Solar PV System Using PSO with Constriction
Factor (PSO-CF) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499
Imran Pervez, Adil Sarwar, Arsalan Pervez, Mohd Tariq,
and Mohammad Zaid
Maximum Power Point Tracking of a Partially Shaded Solar PV
Generation System Using Coyote Optimization Algorithm (COA) . . . . 509
and Mohammad Zaid
Contents ix
Design and Simulation of Front-End Converter Based Power

Conditioning Unit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519
Deepak Upadhyay, Shahbaz Ahmad Khan, and Mohd Tariq
Enhancing Mechanical Properties via Semi-solid Metal Processing
of A356 Alloy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 531
Nishant Bhasin, Harkrit Chhatwal, Aditya Bassi, Rahul Sarma,
Sumit Sharma, and Vipin Kaushik
Comparative Analysis of Different Materials for Cylinder
and Justification by Simulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 539
Ujjwal Singh, Jatin Lingwal, Nirmal Chakraborty, Ankit Kumar,
Sumit Sharma, and Vipin Kuashik
Performance of an Outdoor Optical Wireless Communication
Channel Through Gamma-Gamma Turbulence at Different
Frequency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 551
Nitin Garg and Anwar Ahmad
Ergodic Capacity Analysis of Optical Wireless Communication Links
Over M-Atmospheric Turbulence Channel with Pointing Losses
Given by Beckmann Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 561
Effect of Impurities on Charging Track in the Performance
of Wireless Capacitive Charging Technique . . . . . . . . . . . . . . . . . . . . . 573
Mohd Shahvez, Sameer Pervez Shamsi, and Mohd Tariq
“RESUME SELECTOR” Using Pyspark and Hadoop . . . . . . . . . . . . . 585
Preeti Arora, Deepali Virmani, Aradhay Jain, and Akshay Vats
Implementation of Regenerative Braking System in Automobiles . . . . . 595
Mohan Kumar and Md. Ehsan Asgar
Regression Approach to Power Transformer Health Assessment
Using Health Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 603
Jagdish Prasad Sharma
Functional Link Neural Network-Based Prediction of Compressive
and Flexural Strengths of Jarosite Mixed Cement Concrete
Pavements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 617
A Newer Universal Model for Attaining Thin Film of Varied
Composition During Sputtering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 629
Gaurav Gupta and R. K. Tyagi
A Novel Model for IoT-Based Meter Using ATmega328P
Microcontroller and Google Cloud Store . . . . . . . . . . . . . . . . . . . . . . . 639
Sufia Khalid, Mohammad Sarfraz, Vishal Singh, Aafreen, and Ali Allahloh
x Contents
Vibration Analysis of Curved Beam Using Higher Order Shear

Deformation Theory with Different Boundary Conditions . . . . . . . . . . 649
Md. Rashid Akhtar and Aas Mohammad
Performance Analysis of Alternate Purification System in Air
Conditioning System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 661
Ashish Gangal and Vaibhav Jain
Weed Detection Approach Using Feature Extraction and KNN
Classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 671
Gurpreet Khurana and Navneet Kaur Bawa
Analysis of Transition Metal Dichalcogenide Materials
Based Nanotube . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 681
Prateek Kumar, Maneesha Gupta, and Kunwar Singh
Automated CNC Programming by the Restricted Boltzmann
Machine Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 691
Neelima and Vivek Chawla
Single Pass Wavy Channel Heat Exchanger for Thermal
Management of Electric Vehicle Battery Pack—A Numerical
Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 711
Babu Rao Ponangi, Pramath H. Srikanth, and Pratyush V. Heblikar
Comparative Microstructural Investigation of Aluminium Silicon
Carbide–Mg and Aluminium Boron Carbide–Mg Particulate Metal
Matrix Composite Fabricated by Stir Casting . . . . . . . . . . . . . . . . . . . 725
Paridhi Malhotra, R. K. Tyagi, Nishant K. Singh,
and Basant Singh Sikarwar
A Review on IoT-Based Hybrid Navigation System for Mid-sized
Autonomous Vehicles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 735
Ajay K. S. Singholi, Mamta Mittal, and Ankur Bhargava
Development and Modelling of a Novel Wheelchair with Staircase
Climbing Ability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 745
Gaurav Kesari
Design and Fabrication of Low-Cost Detachable Power Unit
for a Wheelchair . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 755
Issac Thomas, M. I. John, Robinson Lal, Jobi Lukose, and J. Sanjog
Computation of Rupture Strain from Macroscopic Criteria . . . . . . . . . 765
Appurva Jain and Abhishek Mishra
Biosignal Analysis Using Independent Components
with Intelligent Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 771
Suhani Pandey and Mohammad Sarfraz
Contents xi
Modeling of Multiple Jointed Kinematic Chains Using

the Polynomial Coefficients Derived from the Interactive
Weighted Matrices of Kinematic Graphs . . . . . . . . . . . . . . . . . . . . . . . 787
Vipin Kaushik and Aas Mohammad
Application of Wavelet Analysis in Condition Monitoring
of Induction Motors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 795
Amandeep Sharma, Pankaj Verma, Anurag Choudhary, Lini Mathew,
and Shantanu Chatterji
Optimization of Halon 1301 Discharge Through Fire Extinguisher
Cylinder for IFSS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 809
Reetik Kaushik, Yasham Raj Jaiswal, Vishal Dwivedi,
and Ranganath M. Singari
Barriers to the Use of Robots in Indian Industries . . . . . . . . . . . . . . . . 821
Ravindra Kumar
Impacts of Regenerative Braking on Li-Ion Battery . . . . . . . . . . . . . . . 831
Akshay Thakur, Kaleem Uz Zaman Khan, Jatin Gupta, Kunal Gupta,
Mukund Vats, Chetan Mishra, and Aditya Roy
Development of the Latent Heat Storage System Using Phase
Change Material with Insertion of Helical Fins to Improve Heat
Transfer Rate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 843
Vishal Godase, Ashok Pise, and Avinash Waghmare
Experimental Investigation of Helical Coil Tube in Tube Heat
Exchanger with Microfins Using Al2O3/Water Nano Fluid . . . . . . . . . . 855
Nilesh K. Kadam and A. R. Acharya
Analysis of Vapour Compression Refrigeration System in Terms
of Convective Heat Transfer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 873
Pinaki Das, Dheeraj Chhabra, Mukul Krishnatrey, and Mayur
Microwave Welding of Mild Steel . . . . . . . . . . . . . . . . . . . . . . . . . . . . 885
Sourav, Uma Gautam, Akshay Marwah, Ankit Sharma, and Lakshay
Synthesis of Nanocellulose Fibrils/Particles from Cellulose Fibres
Through Sporadic Homogenization . . . . . . . . . . . . . . . . . . . . . . . . . . . 893
Nadendla Srinivasababu and Kopparthi Phaneendra Kumar
A New Design of Li-Ion Battery for a Smart Suitcase . . . . . . . . . . . . . 903
Anant Singhal, Karan Bhatia, Kaleem Uz Zaman Khan, Shivam Tyagi,
Tarun Mittal, Chetan Mishra, and Aditya Roy
Comparative Study on the Formability Behaviour of Different
Grades of Aluminium Alloys Using Limiting Dome Height Test—An
Analytical and Experimental Approach . . . . . . . . . . . . . . . . . . . . . . . . 915
Praveen Kumar and Satpal Sharma
xii Contents
A Novel Approach of Gearbox Fault Diagnosis by Using Time

Synchronous Averaging and J48 Algorithm . . . . . . . . . . . . . . . . . . . . . 927
Subrata Mukherjee, Rishubh Kaushal, Vikash Kumar,
and Somnath Sarangi
Programmable Logic Controller Controlled 360 Degree Flexible
Drilling Machine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 937
Parth Patpatiya, Varun Bhatnagar, Harshita Tyagi, and Nupur Anand
“VISIO”: An IoT Device for Assistance of Visually Challenged . . . . . . 949
Rashbir Singh, Prateek Singh, Deepak Chahal, and Latika Kharb
A Retrospective Investigation of Mechanical and Physical Properties
of ABS Specimen Developed by Manual Injection Moulding
and Fused Deposition Modelling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 965
Md Qamar Tanveer, Mohd Suhaib, and Abid Haleem
Effect of Magnetic Pole Orientation on Viscoelastic Magnetic
Abrasive Finishing Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 979
K. Srinivas, Q. Murtaza, and A. K. Aggarwal
MHO Shape Slot Microstrip Patch Antenna for X-Band . . . . . . . . . . . 989
Palak Jain and Sunil Kumar Singh
Optimization of Process Parameters in Electric Discharge Machining
for SS420 Using Taguchi Technique . . . . . . . . . . . . . . . . . . . . . . . . . . . 997
Sudhir Kumar, Sanjoy Kumar Ghoshal, and Pawan Kumar Arora
Improvement in Starting Characteristics of a Hermetic
Reciprocating Compressor by Offset Cylinder
Arrangement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1005
Himanshu Kalbandhe, Anil Acharya, and Sumedh Nalavade
Stair Shape Microstrip Patch Antenna for X Band . . . . . . . . . . . . . . . 1017
Nivedita Dash and Sunil Kumar Singh
Power Consumption Estimation of SHA-3 for the Internet
of Things Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1025
M. Tariq Banday and Issmat Shah Masoodi
Joining of Metals Using Microwave Energy . . . . . . . . . . . . . . . . . . . . . 1035
Uma Gautam and Vipin
About the Editors
Dr. V. C. Pandey is Director and Professor in HMRITM, Delhi. He obtained his

Ph.D. from Delhi College of Engineering (Delhi University) in 2011. He completed
his M.E. in Industrial Engineering & Management in 1996 from SGSITS, DAVV
Indore and B.E. in Mechanical Engineering from MMMEC Gorakhpur in 1994. He
has more than 24 years rich experience of industry, research, teaching and
administration in the organizations of repute in Bangalore and Delhi NCR. He
worked as the head of the institution in three different engineering colleges in NCR.
He has quality seven research publications in his credit. He guided more than
30 projects at undergraduate level. He attended more than twenty five workshops
and conferences in best institutions of the country. His area of interest is Advanced
Manufacturing Systems, Lean and Agile Manufacturing, Operation Management
and Supply Chain Management. He is actively involved as the reviewer in the best
journals of his research area. He is life member of various professional bodies like
ISTE, SAE and IIIE.
Dr. P. M. Pandey is currently working as Professor in IIT Delhi. He completed his

B.Tech. from H.B.T.I. Kanpur in 1993 securing first position and got Master’s
degree from IIT Kanpur in 1995 in Manufacturing Science specialization, he
obtained his Ph.D. in the area of Additive Manufacturing/3D Printing from IIT
Kanpur in 2003. Dr. Pandey diversified his research areas in the field of micro and
nano finishing, micro-deposition and also continued working in the area of 3D
Printing. He supervised 25 PhDs and more than 33 MTech theses in last 10 years
and also filed 16 Indian patent applications. He has approximately 137 international
journal papers and 44 international/national refereed conference papers to his credit.
He received Highly Commended Paper Award by Rapid Prototyping Journal for the
paper “Fabrication of three dimensional open porous regular structure of PA 2200
for enhanced strength of scaffold using selective laser sintering” published in 2017.
He is recipient of Outstanding Young Faculty Fellowship (IIT Delhi) and
J.M. Mahajan outstanding teacher award of IIT Delhi.
xiii
xiv About the Editors
Dr. S. K. Garg is Pro Vice Chancellor and Professor in Delhi Technological

University (Formerly Delhi College of Engineering). He was appointed as
Independent Director to a Navratna Public Sector Enterprise by GOI for a period of
three years from 2012-2015. He is a recipient of Dewang Mehta National Education
Award for Best Professor in Operations and manufacturing in the year 2015.
Prof. Garg has more than 28 years of experience in industry, teaching and research.
His teaching and research areas include supply chain management, manufacturing
process automation and technology management, operations management, materi-
als management, operations research, manufacturing strategy, production planning
and control etc. He has guided 17 PhDs, 70 M.Tech thesis and 50 B.Tech projects.
He has published 175 papers including 75 in international journals. Prof. Garg is
member of the editorial boards of several international and national journals. He is
reviewer of research papers of international journals, conferences and also examiner
to Ph.D. and M.Tech thesis of different universities.
Optimization of Energy-Aware Flexible
Job Shop Scheduling Problem Using
VNS-Based GA Approach
Rakesh Kumar Phanden, Rahul Sindhwani, and Lalit Sharma
Abstract In today’s world, the manufacturing systems are growing day by day and
capable to produce the products on time as per the customers’ requirement. However,
the energy consumption by these manufacturing systems has been ignored, and a
higher amount of energy is consuming to increase the production rate. Therefore, it
is must to consider the criteria of energy consumption along with other traditional
objectives of performance measures. Thus, in the present work, energy consumption
has been considered with other measures to solve the flexible job shop scheduling
(JSS) problem. It is a non-polynomial (NP) hard problem, and this problem belongs
to the class of combinatorial optimization, so it is difficult to solve with a simple
and exact mathematical formulation. Thus, this article presents the modified genetic
algorithm (GA)-based methodology to deal with flexible JSS problem. The GA has
been modified in order to increase local search using variable neighbourhood search
(VNS)-based mutation operator in order to avoid premature convergence of regular
GA. The proposed approach considers multiple objectives in order to produce an
optimized solution for flexible JSS problem such as makespan, processing cost as well
as the energy consumption. In present work, an alternative (flexible) manufacturing
process has been considered to extend the JSS problem. A suitable chromosome
has been designed to code the schedule (solution) for JSS problem having additional
processing flexibility. A case study (of 6 jobs and 15 machines) has been presented in
order to assess the effectiveness of projected modified GA method. Results reveal that
the proposed VNS-based approach in GA is effective enough to reduce makespan,
processing cost as well as energy consumption performance measures.
Keywords Flexible job shop scheduling · Variable neighbourhood search ·

Energy-aware optimization · Modified genetic algorithm
R. K. Phanden · R. Sindhwani · L. Sharma (B)

Department of Mechanical Engineering, Amity School of Engineering and Technology, Amity
University, Noida, Uttar Pradesh 201313, India
e-mail: lalitsharma31296@gmail.com
© Springer Nature Singapore Pte Ltd. 2021 1

V. C. Pandey et al. (eds.), Advances in Electromechanical Technologies,
Lecture Notes in Mechanical Engineering,
https://doi.org/10.1007/978-981-15-5463-6_1
2 R. K. Phanden et al.
1 Introduction
Since environmental awareness is increasing, the energy-efficient consumption factor

among the other production functions has been identified as an important objective
to be considered during the optimization of a manufacturing system. For the start of
the new industrial revolution, the industrial sector comes with a higher amount of
energy consumption to increase the production rate. Almost 33% of total energy has
been consumed by production units, and they contribute 38% in greenhouse emission
[1]. Furthermore, in order to satisfy the requirement of sustainable development, the
production industries are facing new challenges, which help to achieve the ecological,
social and economic aims. So, it is essential for industrial sectors that the manufac-
turing community has to access the systems which can increase the productivity of
a production unit by decreasing its energy eating by incorporating latest technology
capability as well as efficient planning and scheduling methods. Thus, in the present
work, an approach has been presented to optimize the energy consumption with other
performance-measuring criterion. The flexible job shop manufacturing environment
has been considered to generate an optimized schedule. Multiple objectives have
been taken into consideration, and a modified genetic algorithm (GA) approach has
been applied to optimize the taken objective functions.
Production scheduling concerns with allotment process of operations of all jobs to
machines that depend on availability of machine tools as well as the time constraints
of processes. Production scheduling becomes energy efficient when one undertakes
the environmental impacts like energy consumption and carbon emissions during
its optimization along with other traditional objective functions. Thus, the investi-
gations to curtail consumption of energy in the production unit while production
scheduling has been steadily booming [2]. Some of the acknowledged research
studies considering the impact of energy consumption during the scheduling are
discussed below.
A model containing multiple objectives to reduce the consumption of energy as
well as the total completion time while exploring the scheduling of jobs for a CNC
machine has been proposed by Mouzon et al. [1]. Scheduling algorithms evolving
integer programming models have been proposed for flow shop manufacturing envi-
ronment in order to control the carbon footprints and power consumption with
optimized makespan performance measure [2–4]. Also, the flow shop scheduling
problems were solved to reduce time, makespan as well as energy consumption
using branch and bound algorithms and NSGA-II [2, 5]. A mathematical model
was presented to optimize energy consumption in flexible manufacturing system [6].
Also, the job shop scheduling (JSS) problem has been solved along with a mixed
integer programming model for energy consumption criterion including makespan,
robustness, noise reduction, processing cost and other performance measures using
IBM ILOG CPLEX, simplex lattice design-based GA and whale algorithm of opti-
mization [7–11]. The relationship between energy efficient, makespan and robustness
has been identified, and disturbance has been studied during energy-aware produc-
tion scheduling in a job shop [7]. It can be perceived from literature that, however,
Optimization of Energy-Aware Flexible Job Shop Scheduling … 3
the GA has been comprehensively applied to solve the taken problem; it is unreal-
istic to state that the application of an individual algorithm is superior to other since
they have heuristic way of working. It can easily be stated that the research on green
production scheduling is in primeval phase. Most of research articles possessed very
simple cases such as limited number of parts to be process on a machine and flow
shops scheduling with limited number of connected machines. Another important
concern is regarding the problem to evaluate the active status of resources (mainly
machines) and its corresponding environmental effects with operations. Practically,
only three statuses have been considered and explored which are “on”, “off” and
“idle”. Theoretically, the “standby” status is also found in literature [8]. Moreover,
the flexible JSS problem has been solved using a modified biogeography-based opti-
mization algorithm integrated with the variable neighbourhood search algorithm,
grey wolf optimization algorithm with double-searching mode, memetic algorithm,
bi-population-based discrete cat swarm optimization algorithm and particle swarm
optimization algorithm to optimize makespan, electricity consumption cost and tardi-
ness performance measures [12–15]. Thus, the literature review clearly reveals that
the genetic algorithm with neighbourhood search technique has not been applied to
optimize the flexible JSS for multi-objectives of minimizing energy consumption,
processing cost and makespan. Rest of the sections of this article presents a litera-
ture review on the energy-aware contributions for production scheduling problems,
problem formulation and mathematical model. Also, the adopted methodology has
been elaborated before results and discussion. In the end, conclusions have been
drawn from the present study.
2 Problem Statement
The flexible job shop problem can be stated as “a group of ‘n’ number of jobs (in
which the job ‘J’ varies from 1 to ‘n’ numbers) are processed on a group of ‘m’
number of machines (in which the machine ‘M’ varies from 1 to ‘m’) and each job
is characterized by a set of operations ‘O’ and set of alternative (flexible) process
plan available to process”. The schedule is determined based on different constraints
between operations. Operation of a job in various alternative process plans can be
processed on diverse machines with varying level of energy consumption or on a
similar machine having diverse processing parameters. Consequently, the operation
of each job “j” on machine “m” has operation time and equivalent energy consump-
tion. Thus, a problem is formalized to assigns the jobs to the machines as well to find
the sequence of operations on each machine for optimal solution of processing cost,
makespan and energy consumption with equal weighting. It follows the following
assumptions and constraints: (a) all machines, as well as jobs, are always ready to
start by zero-time unit, (b) more than one operation is not allowed on a machine, (c)
part pre-emption is not allowed, (d) precedence is applied between operations of a
job, and (e) each job must follow the sequence of operation on machines.
3 Mathematical Model
This section presents the energy-aware modelling for the production scheduling
problem that occurs in a job shop floor considering flexible (alternative) process
plans. The optimization of energy consumption, processing cost and makespan for
flexible JSS problem is solved by a mathematical model (mixed integer program-
ming) suggested by Dai et al. [16, 17]. In addition, the present work considers the
minimization of processing cost as another function with the functions proposed by
Dai et al. [16, 17]. Thus, three objectives of optimization, viz. energy consumption,
makespan as well as processing cost have been taken to minimize for flexible JSS
problem. The model is presented using the notations from Dai et al. [16, 17].
The model for consumption of energy has been established on basis of the existing
research on energy-efficient manufacturing process [16, 17]. The total consumption
of energy in the production process can be distributed into three categories—(a) basic
consumption of energy: basic energy is the energy utilized to control the regular
operation of a machine parts; it includes power consumption of the motor drives
components, and servo feed drive parts, main spindle drive parts, supporting parts
used for lubrication, cooling, hydraulic mechanisms and control devices as well
as any other periphery parts; (b) consumption of energy for unloading activities:
consumptions of energy for unloading like loading, unloading, positioning, fastening
of workpiece and the exchanging of cutting tool and tool bit holders; (c) consumption
of energy for cutting operation: consumption of energy for cutting is the actual cutting
operation. This article considers the energy-efficient manufacturing processes; the
primary contributors to the total energy consumption are the consumption of energy
for unloading and the cutting. Thus, by considering the aforementioned assumption,
the objective is to minimize the total consumption of energy (it is consisting of direct-
energy use up to remove material during the productive state and indirect-energy
consumed in unfruitful states) [17].
Minimization of Energy Consumption

m
= α · (Pckl
m 2
j ) + β · Pckl j + Pu kl j · Tkl j · X l j · Ykl j
m m im
k∈Ol j l∈G j j∈J i∈Pm m∈M

im (i−1)m
kl j ·
Pu m Ckl j − Tklmj · X i j · Yklimj − Cqr p
k,q∈Ol j,r p l,r ∈G j, p j, p∈J i∈Pm m∈M
(i−1)m

·X r p · Yqr p · X l j · X r p · Z klm jqr p
Here, in the right-hand side, the first equation is representing the direct-energy
consumed by removal materials in the productive state; the coefficients of the load
consumption of energy are represented by α, β that can be found from the linear
regression equations as per the idle consumption of energy with varying levels of
spindle speed. In the right-hand side, the second equation is representing indirect
consumption of energy, like energy for backup [17].

Minimization of Processing Cost = Pm mjk Tklmj C Pm+ CRj
j∈J k∈Ol j j∈J

Minimization of Makespan = max Cklimj X l j Yklimj
j∈J
4 Adopted Methodology
There is a vast solution search space while optimizing the energy-aware model
of scheduling problem of a job shop configuration having availability of different
machines to process a given job mix. In the present work, a multi-objective function
with constraints and mixed integer programming has opted from Dai et al. [16, 17].
It is required to find an optimal (or near-optimal) results on the basis of an intelligent
algorithm to ease the optimization process as per the defined production scheduling
criteria. Therefore, in this study, a modified GA that combines a GA with a VNS
is adapted in order to find an optimal result of the objective’s functions given in
previous section.
Genetic algorithm is the nature inspired search method that works on the basis
of the process of natural biological evolution [18]. GA has been extensively used to
solve combinatorial optimization problems. The main advantage of GA is to get a
good results quickly and efficiently for an objective function in a complex solution
space. However, a major disadvantage of GA is that it possibly being stuck in a
local optimum solution; this phenomenon is termed as premature convergence of
GA. Therefore, the VNS has been planned to perform the mutation operation of GA.
VNS is a local searching which emphasize on increasing the fitness of current solution
through a procedure and continually changing the structures of the neighbourhood
(solution) during the evolution of local search of solution space. VNS has been
successfully applied to combinational complex problems [19]. The main advantage
of VNS algorithm is that it can easily avoid the local convergence during optimization.
Also, it can efficiently explore a difficult solution space in order to find the global
optimum value of objective. Thus, in this paper, an attempt has been made to increase
the strength of GA by incorporating the VNS. Figure 1 demonstrates the flowchart
of VNS-based modified GA for the flexible JSS problem.
4.1 Chromosome Structure (Encoding)
The present work utilizes multi-layered chromosome representation for the selection
of alternative process plan and corresponding production schedule. Starting portion of
the chromosome is reserved for process plan selection in which each gene represents a
process plan number for each job. For example, if there are three jobs in the production
Fig. 1 VNS-based modified

GA
order, the first position (gene) represents the process plan number of job-1, the second
position is for process plan number of the job-2, and third position is for process plan
number of job-3. Hence, the length of the first layer is equal to the number of jobs in
the production order. Next portion of the chromosome is utilizing operation-based
representation of production schedule, in which a total number of operations of the
production order is coded. Each gene represents the operation number of each job,
i.e. the length of this portion is equal to the number of operations in production order.
4.2 Generation of Initial Population
A feasible set of initial population is generated as follows; (i) set the length of an alter-
native process plan string
equal to the totalnumber of jobs in production order. (ii) The
number of operations ol j l ∈ G j , j ∈ J of job j that contains maximum
operations
between g j ( j ∈ J ) alternative process plans is precise as max ol j . Thus, the gene
thread (of scheduling plan) have the total
length in equal
to the sumof the maximum
length of each job, i.e. expressed as nj=1 maxl ol j . Thus, n + nj=1 max ol j is
l
the total length of the chromosome. In case, the length of chosen gene
string
(of
process plan) of job j does not match with the maximum number maxl ol j during
decoding procedure, the components of operations of job j are detached from the last
operation position to the first until unless the length is fulfilled through taken point.
For example, if the size of the part mix is three and each part has four operations, then
the chromosome embraces 15 numbers of total genes. In this study, three objectives
have been considered to find a set of efficient results in a solution space, i.e. mini-
mization of makespan and minimization of energy consumption and minimization
of processing cost for the taken job shop environment.
4.3 GA Operations
A regular GA works with three kinds of genetic operators, namely selection, crossover
and mutation in a series. Each operator is equally important to achieve the optimized
solution. Selection operator chooses the elite solutions from the population and trans-
fers it for crossover and mutation. Crossover generates fresh individuals embracing
parental information and mutation produce fresh offspring holding fresh information.
(a) Selection. The present study considers linear-ranking selection along with
stochastic universal sampling scheme. Here, chromosomes are arranged in
decreasing order with respect to the absolute fitness values, and expected values
are assigned to the ordered population as per their rank. The stochastic sampling
scheme is used to choose the parents, and mating pool of selected chromosomes
is created [20–26].
(b) Crossover. The method used for crossover operation is presented in Table 1.
Table 1 Steps of crossover operation in modified GA

Steps Description
1 Select two parent strings randomly from the population
2 Generate two blank chromosomes
3 Form the alternative process plan individuals in two blanks generated in Step 2
3.1 Pick a crossover position for a couple of alternative process plan individual, randomly.
Also, the left portion and right portion from picked point termed as first and second
sections of crossover, respectively
3.2 In the first section of the alternative process plan of the individual (from two parent
strings), the bit should be transferred as per the crossover position into the same point as
the two blank chromosomes
3.3 In the second section of alternative process plan of the individual (from two parent
strings), the bit should be transferred as per the crossover position into the same point as
the two blank chromosomes, reverse to the first section
4 Form the schedule individuals in two blanks generated in Step 2. Note: repeat the same
procedure for schedule string as explained in Step 3.1–3.3 for alternative process plan
individual’s crossover
5 Update the current population with the individuals undergoes crossover operation
(c) VNS-based Mutation. Mutation operator is used after the crossover operator in
order to produce schedules containing fresh information. In mutation operator,
there are numerous approaches for instance immunity-based mutation opera-
tors and uniform/non-uniform mutation which are utilized to resolve intricate
(global) problems of optimization. In the present work, a VNS-based mutation
procedure is considered to fit in the working of regular GA. In VNS, neighbour-
hood structure evaluation method acts with the important character to guide
and control the performance of algorithm. Moreover, it has been concluded by
various researchers that the local optimal solutions in diverse neighbourhoods
are essentially undeviating. Also, a globally optimal solution is a locally optimal
solution corresponding to the entire vicinity, and the local optimal solutions for
various neighbourhood structures are quite near to each other. The idea behind
the success of VNS optimization for local search is the changing capability of the
neighbourhood structures methodically to improve the current optimized global
solution. In the present work, TEN—“two-point exchange neighbourhood” and
RIN—“random insert neighbourhood” structure have been adopted for evalua-
tion. Both are simple neighbourhood structures. TEN exchanges two operations
in the encoding sequence randomly. RIN method is randomly selecting one
element from the particle and inserting it to another position of the encoding
sequence. Hence, the VNS-based mutation operator can improve the searcha-
bility and the search efficiency of the algorithm by using two-point exchange
neighbourhood structure [19]. In this study, two types of neighbourhood struc-
tures (TEN and RIN) are considered. N1 is selected as a principal neighbour-
hood (TEN), and N2 is set as a subordinate neighbourhood (RIN) in VNS-based
Table 2 Steps of VNS-based mutation operation in modified GA

Steps Description
1 Retrieve initial population (x) from GA, after crossover
2 Create the sequence of neighbourhood structures (Sq), where, q = 1, 2, 3…, qmax
3 Start from q = 1 and follow the steps from 3.1 to 3.3 till q = qmax
3.1 Shaking: Create a neighbourhood solution (x 0 ) from qth neighbourhood (Sq) of (x),
randomly.
3.2 Local Search: Find best neighbour (x00) of (x ) in the current neighbourhood (Sq)
3.3 Move or Not?
If x 00 is better than x,
let x = x 00 and q = 1,
Restart local search of N1;
otherwise,
set q = q + 1
mutation operation. The steps of VNS-based mutation operation are presented

in Table 2.
5 Results and Discussion
The MATLAB® programming tool is used to implement the modified GA approach

for flexible JSS problem. The personal computer is used to conduct the test with
the configuration of Intel Pentium® 4 GB memory, 3.20 GHz processor speed and
Windows 10 operating system.
The proposed approach has been texted for a case study from Phanden and Jain
[23]. The power (idle) consumptions for machines are taken from a job shop instance
developed by Liu et al. [27]. It has been considered that all machines under exam-
ination are the mechanized and same value of cutting power has been set for each
machine.
A production order containing fifteen machines and six jobs has been taken from
Phanden and Jain [23]. Figure 2 indicates Gantt chart of the optimized schedule.
The value of optimized makespan was 183 units using the proposed approach.
Table 3 presents the comparison of proposed VNS-based GA approach with the
regular GA (without VNS-based mutation operator). Results show that the proposed
approach is effective enough to optimize the multi-objectives. Results revealed that
the makespan has been improved by 10.29%. Also, the value processing cost and
energy consumption values have been optimized by 3.86% and 7.55%, respectively.
The percentage improvement is computed as follows.
% age improvement = (value of PM byRGA − value of PM by VGA)/

(value of PM by RGA) × 100
M15 J1 O2 J6 O2
M14 J1 O1
M13 J5 O2 J1 O3
M12 J1 O4 J6 O4
M11 J6 O1 J6 O5
M10
M9 J2 O2
M8 J1 O6
M7 J3 O3
M6 J4 O2
M5 J2 O1 J6O3 J2 O4
M4 J3 O1
M3 J4 O1
M2 J5O1 J3 O2
M1 J2 O3 J1 O5
10 20 30 40 50 60 70 80 90 100 110 120 130 140 150 160 170 180 190
Fig. 2 Gantt chart of optimized schedule
Table 3 Comparison of the

Performance Regular GA Proposed %age
proposed approach with
measures (PM) (RGA) approach improvement
regular GA
(VGA)
Makespan 204 183 10.29
Processing cost 518 498 3.86
Energy 887 820 7.55
consumption
Thus, it can be safely concluded that formalized VNS-based GA approach is

better than the conventional regular GA approach for makespan, processing cost and
energy consumption.
6 Conclusion
The present article addresses the issue of environmental awareness in terms of opti-
mizing energy consumption along with other conventional performance measures
during the scheduling for a flexible job shop manufacturing environment. Therefore,
a modified GA-based approach to solve flexible JSS problem considering multi-
objectives such as makespan, processing cost and energy consumption has been
proposed. A mutation operator of regular GA has been modified with the application
of VNS algorithm. TEN—“two-point exchange neighbourhood” and RIN—“random
insert neighbourhood” structures have been successfully applied in place of mutation
operation during regular GA. Results reveal that proposed approach outperformed
regular GA. The proposed work can be extend to compare the proposed approach
through another nature inspired algorithms like particle swam optimization, cuckoo
search algorithm, ant colony algorithm, etc. Moreover, it can be extend to consider
for the tardiness performance measure with the proposed modified GA approach.
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Optimizing the Conveyor Belt Speed
of a Bright Annealing Furnace
Akshay Naidu, R. Padmanaban, and R. Vaira Vignesh
Abstract A company’s growth is determined by an increase in its sales numbers

and by a decrease in its expenditures. By doing this, the company attains a more
significant profit (bottom line). In almost all manufacturing industries, annealing
furnaces play a significant role. In this paper, an improvement in the operation of
an annealing furnace used in a press shop is attempted. The press shop performs
forging of watch cases, and annealing is performed in between every forging stage.
This project focuses on increasing the productivity of the furnace by optimizing its
conveyor belt speed. Experiments are conducted, and several annealed samples were
collected for analysis. Furthermore, hardness and metallographic properties were
also studied. With the help of regression plots of hardness and belt speed, and with
the help of microstructures, an optimized belt speed was selected. The optimized
belt speed is almost 42% more than the original speed used for production, hence
increasing productivity.
Keywords Annealing · Conveyor belt · Furnace · Hardness · Regression
1 Introduction
The watch manufacturing process involves different stages like designing, proto-
typing, tool manufacturing, forging, annealing, machining, polishing, assembly and
quality control. During this process, the majority of the problems like improper
surface finish, inadequate reduction in hardness and sensitization while manufac-
turing the case centers (body of the watch) and back covers are observed during
annealing. This heat treatment process is seen as a bottleneck in many industries.
The annealing softens the watch-case centers and back covers in intermediate stages
to facilitate forging processes. Some of the problems that are encountered are asso-
ciated with inefficient usage of the furnace, high energy consumption and improper
A. Naidu · R. Padmanaban (B) · R. Vaira Vignesh

Department of Mechanical Engineering, Amrita School of Engineering, Amrita Vishwa
Vidyapeetham, Coimbatore, India
e-mail: dr_padmanaban@cb.amrita.edu

https://doi.org/10.1007/978-981-15-5463-6_2
14 A. Naidu et al.
material handling ways leading to safety concerns. In this work, a particular type of
annealing furnace known as a bright annealing furnace is utilized to anneal stainless
steel components. The old belt speed was set based on the previous experiments,
and it was known that it could be improved further. If the belt speed is increased,
it will enhance both the top line (sales) and bottom line (profit) of the company by
increasing productivity.
Research works have been carried out to explore the effect of heat treatment
parameters on different materials. Raji et al. [1] report an increase in soaking time of
the steel, a continual decrease in yield strength, tensile strength, hardness and impact
strength. Thanakijkasem et al. [2] studied the effects of bright annealing on the forma-
bility of the SS304 in tube hydroforming (THF). The correct annealing parameters
remarkably decreased the development of deformation-induced martensite. Sarkar
et al. [3] found the optimum annealing cycle that would produce excellent mechan-
ical as well as formability properties of extra deep drawing quality steel. Schino
et al. [4] studied the effect of austenite–martensite transformation and development
of microstructure after reversion of austenite at various annealing temperatures and
times for an AISI 304 stainless steel. Annealing at low temperatures resulted in
ultrafine-grain microstructure, and a Hall–Petch dependency was prevalent.
Singh et al. [5] investigated the effects of a variety of cold rolling on the sensi-
tization and intergranular corrosion (IGC) of SS304. The IGC of solution-annealed
samples increased with an increase in sensitization temperature and time. The level
of cold rolling was directly related to the increase in IGC resistance. De et al. [6]
proposed a methodology that demonstrates that the martensite transformation may be
effectively characterized in terms of volume fraction of phases formed during defor-
mation through the analysis of a single XRD profile. Milad et al. [7] investigated the
effect of plastic deformation introduced by cold rolling at ambient temperature on
the tensile properties of AISI 304 stainless steel. The results after a 50% reduction in
thickness indicate that the formation of strain-induced martensite led to a significant
strengthening. Increase in cold rolling percentage up to 45% increased the tensile
strength, yield strength and hardness. Statistical models based on the design of exper-
iments provide a deep insight into the effect of process parameters on the behavior
and properties of the materials processed.
Some of the techniques successfully employed include regression using the design
of experiments, Taguchi technique and response surface methodology [8]. When the
relation between input parameters and response variable is nonlinear, soft computing-
based models like artificial neural network, fuzzy logic and radial basis function have
been utilized to explore the effect of processes on the properties of materials [9, 10].
The present work aims to optimize the conveyor belt speed of the bright annealing
furnace taking into consideration the specified hardness and microstructure for case
center of watch. In this study, the influence of belt speed on the microstructural
evolution and microhardness of the specimen was investigated. An optimum belt
speed was established based on the results of the developed model.
Optimizing the Conveyor Belt Speed of a Bright Annealing Furnace 15
2 Materials and Methods
2.1 Material
SS304 is used for manufacturing case centers. Holes are made in the long strip of
SS304 and are blanked into required dimensions. These blanked components are
forged at several stages in the press shop to obtain the final shape. The workflow in
the press shop is as follows:
1. Blanking
2. Pre-cleaning and cleaning
3. Annealing
4. Oiling
5. Forming
6. Repeat from step 2 for consecutive forming process.
In this study, the case center is obtained after eight stages of forging process. A
sample image of the case center that is formed after eight forging stages is shown in
Fig. 1.
Annealing
Annealing is carried out after each forging stage to remove the internal and residual
stresses. KOHNLE/BENCO bright annealing furnace was used for the annealing
process. It is a conveyor belt-type continuous furnace with three heating zones and
two cooling chambers. It has two sets of SS continuous belts that can be operated
at different speeds. The current operating belt speed is 60 cm/min, and the peak
temperature is 1120 °C. The inlet temperature of the cooling water in the cooling
Fig. 1 Front and back view of model 3072 CC

16 A. Naidu et al.
Table 1 Experiment trials

Trial number Belt speed (cm/min)
1 55
2 60
3 65
4 75
5 85
chamber is 18 °C with a flow rate of 55 m3 /s. In the current design, the total time
from entry to exit is approximately 20 min. The entire annealing process is carried
out in a cracked ammonia environment.
2.2 Experimental Design
In this study, the belt speed was varied as given in Table 1.

Three specimens were collected at the entry point and exit point of the annealing
furnace for each annealing stage.
2.3 Microstructure Analysis
The samples were taken from the last forging stage, as there is a drastic reduction in
hardness after annealing. The microstructure of the specimens before annealing and
after annealing was studied.
The specimens were prepared by polishing the top face of the case center. After
preparing the specimen, aqua regia (a mixture of nitric acid and hydrochloric acid
in a molar ratio of 1:3) was used as an etchant to examine the grains and the grain
boundaries using an optical microscope.
2.4 Microhardness
Vicker’s microhardness tester method was used to measure the microhardness of the
specimens, as per the standard ASTM E-384 [11, 12]. The 3 o’clock position on the
back face of the case center was selected for measuring hardness so that measurement
can be done on a flat surface. The microhardness was measured at a load of 10 kg f
and for a dwell time of 10 s.
2.5 Statistical Modeling
A statistical model was developed using a quadratic function to study the effect of
belt speed on the microhardness of the specimens. The models were developed at
95% confidence level.
3.1 Microstructure Results (After Eighth Forging Stage)
The microstructure of the specimen processed at a belt speed of 55 cm/min before and
after annealing is shown in Fig. 2a, b, respectively. Figure 2c, d shows the microstruc-
ture of the specimen processed at 60 cm/min before and after annealing, respectively.
The microstructure of the specimen processed at a belt speed of 65 cm/min before and
after annealing is shown in Fig. 2e, f, respectively. Figure 2g, h shows the microstruc-
ture of the specimen processed at 75 cm/min before and after annealing, respectively.
The microstructure of the specimen processed at a belt speed of 85 cm/min before
and after annealing is shown in Fig. 2i, j respectively. At the belt speed of 85 cm/min,
no visual defects were observed. No effects of sensitization were observed in all the
cases.
3.2 Microhardness and Statistical Regression Model
The microhardness results indicate that the highest reduction in hardness happens in
the first and last three annealing stages. It is also observed that the highest increase in
hardness happens in the first and last three forging stages. The regression model was
developed to interrelate the microhardness of the specimen and conveyor speed. The
variation of hardness with conveyor belt speed is shown in Fig. 3. From the literature,
it has been observed that decreasing the soaking time increases the hardness values
[9, 10]. This is evident from our results as well.
Figure 3a shows the influence of belt speed on the microhardness of the first-
stage annealing specimens. In the first-stage annealing, the microhardness of the
specimens exhibits a crest parabolic trend with an increase in belt speed from 55
to 85 cm/min. The microhardness decreases linearly with an increase in belt speed
in the second-stage annealing, as shown in Fig. 3b. In the third- and fourth-stage
annealing, the microhardness of the specimen decreases with an increase in belt
speed from 55 to 80 cm/min. The microhardness of the specimens increases with
further increase in belt speed, as observed in Fig. 3c, d. However, in the fifth-stage
annealing, the microhardness is found to increase with an increase in belt speed
beyond 75 cm/min. Figure 3e shows the influence of belt speed on the microhardness
18 A. Naidu et al.
Fig. 2 Microstructures of the investigated case center after eight forging stages a trial 1 before
annealing; b trial 1 after annealing; c trial 2 before annealing; d trial 2 after annealing; e trial 3
before annealing; f trial 3 after annealing; g trial 4 before annealing; h trial 4 after annealing; i trial
5 before annealing; j trial 5 after annealing
Fig. 3 Regression plot for microhardness a first-stage annealing; b second-stage annealing; c third-
stage annealing; d fourth-stage annealing; e fifth-stage annealing; f sixth-stage annealing; g seventh-
stage annealing; h eighth-stage annealing
of the specimen in the fifth-stage annealing. Similar to the second-stage annealing,

the microhardness of the specimens decreases with an increase in belt speed in the
sixth stage of annealing, as shown in Fig. 3f. Figure 3g shows that the microhardness
decreases with an increase in belt speed up to 80 cm/min. Beyond this, a slight
increase in microhardness was observed. An increasing trend in hardness is observed
from the belt speed of 75 cm/min in the eighth-stage annealing, as shown in Fig. 3h.
4 Conclusions
The experimental results indicate that the obtained results are within desirable limits
with no visual defects in all the five trials. At the present scenario and working
conditions, the maximum optimum speed can be fixed at 85 cm/min. From this study,
20 A. Naidu et al.
a 42% increase in belt speed was achieved which is advantageous to the company. A
further increase in speed can lead to unfavorable and unforeseen defects unless and
until verified by conducting additional experiments.
References
1. Raji N, Oluwole O (2013) Mechanical properties of cold-drawn low carbon steel for nail
manufacture: experimental observation
2. Thanakijkasem P et al (2014) Effect of bright annealing on stainless steel 304 formability in
tube hydroforming. Int J Adv Manuf Technol 73(9–12):1341–1349
3. Sarkar B, Jha B, Deva A (2004) Optimization of annealing parameters for improvement in
formability of extra deep drawing quality steel. J Mater Eng Perform 13(3):361–365
4. Schino AD, Salvatori I, Kenny J (2002) Effects of martensite formation and austenite reversion
on grain refining of AISI 304 stainless steel. J Mater Sci 37(21):4561–4565
5. Singh R et al (2001) Intergranular corrosion of deformed SS304
6. De AK et al (2004) Quantitative measurement of deformation-induced martensite in 304
stainless steel by X-ray diffraction. Scripta Mater 50(12):1445–1449
7. Milad M et al (2008) The effect of cold work on structure and properties of AISI 304 stainless
steel. J Mater Process Technol 203(1–3):80–85
8. Padmanaban R, Balusamy V, Nouranga K (2015) Effect of process parameters on the tensile
strength of friction stir welded dissimilar aluminum joints. J Eng Sci Technol 10(6):790–801
9. Ilangovan S et al (2018) Comparison of statistical and soft computing models for predicting
hardness and wear rate of Cu-Ni-Sn alloy. In: Progress in computing, analytics and networking.
Springer, pp 559–571
10. Vignesh RV, Padmanaban R, Chinnaraj K (2018) Soft computing model for analysing the effect
of friction stir processing parameters on the intergranular corrosion susceptibility of aluminium
alloy AA5083. Koroze a ochrana materiálu 62(3):97–107
11. A.I.H. Committee (1991) ASM handbook: heat treating, vol 4. ASM Intl
12. ASTM, E. 92-82. Standard test method for vickers hardness of metallic materials. 2001 Annual
Book of ASTM, 2003
FGM Plates with Circular Cut Out
Analysis Resting on Elastic Foundations
and in Thermomechanical Loading
Environments
Rajesh Kumar
Abstract In the present study, FGM plates with circular cut outs resting on elastic
foundations in thermomechanical loading environments have been studied. Basic
formulation included nonlinear FEM and direct iterative-based first-order perturba-
tion technique in MATLAB code. The plates are studied for uniaxial, biaxial thermo-
mechanical loading, aspect ratios and different boundary support conditions. A study
carried out is validated with available published literature and independent more
robust method approach. Applicability of this study is in aerospace engineering.
Keywords FGM composites · Collapse response · SFEM · Uncertain parameters ·

Foundation supports
Nomenclature
Aij, Bij, etc. Laminate stiffnesses

a, b Plate length and breadth
h Thickness of the plate
Ef , Em Elastic moduli of fiber and matrix, respectively
Gf , Gm Shear moduli of fiber and matrix, respectively
Vf , Vm Poisson’s ratio of fiber and matrix, respectively
V m, V f Volume fraction of fiber and matrix, respectively
af , am Coefficient of thermal expansion of fiber and matrix, respectively
bi Basic random material properties
E 11 , E 22 Longitudinal and transverse elastic moduli
G12 , G13 , G23 Shear moduli
Kl Linear bending stiffness matrix
Kg Thermal geometric stiffness matrix
R. Kumar (B)
Department of Mechanical & Aerospace Engineering, NIET, NIMS University,
Jaipur, Rajasthan, India
e-mail: rajeshtripathi63@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_3
22 R. Kumar
D Elastic stiffness matrices

M αβ , mαβ Mass and inertia matrices
ne, n Number of elements, number of layers in the laminated plate
Nx, Ny, Nxy In-plane thermal buckling loads
nn Number of nodes per element
Ni Shape function of ith node
p
C i jkl Reduced elastic material constants
f , {f }(e) Vector of unknown displacements, displacement vector of eth
element
u, v, w Displacements of a point on the mid-plane of plate
u1, u2, u3 Displacement of a point (x, y, z)
σ i j , εi j Stress vector, strain vector
ψ y , ψx Rotations of normal to mid-plane about the x- and y-axis, respectively
θx , θ y , θk Two slopes and angle of fiber orientation wrt x-axis for kth layer
x, y, z Cartesian coordinates
ρ, λ, Var(.) Mass density, eigenvalue, variance
ω, ω Fundamental frequency and its dimensionless form
RVs Random variables
T, C Difference in temperatures and moistures
α1, α2, β 1, β 2 Thermal expansion and hygroscopic coefficients along x- and
y-direction, respectively
1 Introduction
A lot of investigations using modeling of thermomechanically induced deformation

of functionally graded laminates without considering uncertainty are carried out by
earlier researchers [1, 3, 9, 10].
Comparatively fever research work is available on the application of postbuckling
investigations functionally graded laminates with uncertain parameters.
In earlier studies carried out by researchers, it is found that there are always uncer-
tainties in material properties and in environmental conditions; therefore, analytical
method is further extended for further studies by SFEM. It is evident from available
literature that present investigation of superior graded structure resting on foundation
support applying nonlinear SFEM is not applied earlier for investigations.
2 Mathematical Formulations
Functionally graded laminate with cut out in center comprising hybrid material
side (a), and side (b), thickness (h) is considered in present investigation. Elastic
foundations parameters used in present analysis are given in [5, 8].
FGM Plates with Circular Cut Out Analysis Resting on Elastic … 23
P = K1w − K2∇ 2w
∇ 2 = ∂ 2 /∂x 2 + ∂ 2 /∂y2 and K 1 and K 2 are (normal), (shear layer) parameters, respec-
tively, and w is the transverse displacement of the plate. For study round cut out size
is studied as 2r/a where r is radius of round hole [14].
Constitutive relations, energy due to stress, foundations stiffness parameters, finite
element models, solution approach, perturbation technique are given in [6].
3 Governing Equations
Solution approach: Perturbation technique, variance of postbuckling load are given

in [4, 6].
4 Numerical Results
A computer oriented MATLAB [R2010a] code has been developed to investigate

FGM plates with circular cut outs.
[TD] material qualities of FG materials are used throughout the analysis, unless
otherwise mentioned. The (COC) qualities are taken as 0.1. FGMs properties for
temperature independent and temperature dependent are considered for investigation
[11].
(pi ) presented with notations as:
E c , E m , υc , υm , αc , αm , k1 , k2 , kc , km and n have different expansions, Winkler and
Pasternak elastic foundations,
Ncr a 2
λcr = ,
π 2 D0
3
where D0 = 12 E1−ν
ch
, and λT cr = α(T )cr × 103
( c2 )
For mathematical calculation, (a/h = 10, 15, 20, and 100), (n = 0.5, 1, 5 and 10).
4.1 Validation for Mean Values of Postbuckling Load
Temperature considered is 300 K. Validation study parameters are as (Ń cr =

N cr a2 /π 2 D0 ) Al/ZrO2 laminate having round cut out, a/h = 100 are taken for study
as [2, 6] investigated in Table 1. The present results are in very consistent with [2,
6].
24 R. Kumar
Table 1 Comparison of deforming force parameter Ń cr = N cr a2 /π 2 D0 of the Al/ZrO2 Plate, a/h =

100, Mode = 1, cut out size = 2r/a round cut outs
Type of hole Hole size Ń cr = Ncr a2 /π2 D0
n=0 n = 0.5 n=1 n=2 n=5
Circular 0.1 Present HSDT 8.0675 6.4396 5.8303 5.3500 4.8598
Lal et al. [6] 8.0675 6.4396 5.8303 5.3500 4.8598
Zhao et al. [2] 8.0873 6.4749 5.5973 5.1270 4.6325
0.2 Present HSDT 6.7773 5.3994 4.8902 4.4963 4.0969
Lal et al. [6] 6.9279 5.5193 4.9989 4.5963 4.1880
Zhao et al. [2] 6.9711 5.4112 4.6858 4.0808 4.0609
SSSS Support
Table 2 Validation of deforming force where *D = Eh3 /12(1 − υ), E 1 = 130.0, GPa, E 2 = E3 =
10.0 GPa, G12 = G13 = 5.0 GPa, ν12 = ν13 = ν23 = ν32 = 0.35
Theoretical E (pa) υ b(m) h(m) (Theoretical) (ABAQUS) (FE Model)
method N cr b2 /Eh3 N cr b2 /Eh3 N cr b2 /Eh3
Husam et al. [7] Present
[HSDT]
Uniaxial case 2 × 1011 0.3 2.0 0.02 3.615 3.623 3.6794
N cr =
4π 2 D/b2
Biaxial case 2 × 1011 0.3 2.0 0.02 1.807 1.811 1.8398
N cr =
2π 2 D/b2
Laminate is (2000 mm × 2000 mm). The total thickness of laminates is 12 mm
Table 2 parameters used for present study are as *D = Eh3 /12(1 − υ), E 1 =
130.0 GPa, E 2 = E 3 = 10.0 GPa, G12 = G13 = 5.0 GPa, ν12 = ν13 = ν23 = ν32
= 0.35. Laminate size is (2000 mm × 2000 mm). Total thickness is 12 mm. It is
clear from table present FEM [HSDT] results are in good agreement with those of
theoretical and ABAQUS results of [7].
4.2 Validation for Random Postbuckling Load
Figure 2 shows investigation of average deformed force of CCCC functionally graded

laminates with circular cut out under thermomechanical loading, clamped support,
biaxial compression.
For validation purpose, 10,000 random are taken in MCS [12, 13].
Postbuckling loads in Uniaxial and biaxial compression for simply supported,
FGM laminate having circular cutouts is investigated. The other dimensions for
FGM Plates with Circular Cut Out Analysis Resting on Elastic … 25
Fig. 1 a Geometric view of rectangular functionally graded laminate with cut outs. b One-fourth
of functionally graded laminate with round cut out
present study are written in Table 3. The other dimensions for study are written in
Table 3. The laminate is resting on Winkler and Pasternak foundations round hole
shows more expected mean outcome and COV compared with laminate without hole
due to concentration factors.
Table 4 shows the combined effects of temperature and mechanical force, volume
fraction index(n), laminate thickness ratios and Various Hole Sizes with uncertainties
in laminate on the dimensionless Mean and COV of post buckling loads. When plates
are resting on supports the average values deforming force increase on increasing
volume fraction index. COV is significant for thin plates. Deformed laminate possess
less stiffness with cut outs. Circular holed plates are preferred to other type of cut
outs as studied.
Table 5 shows the effects of clamped support, volume fraction index and Pasternak
elastic foundations on FGM plates with circular cutouts. The other parameters taken
for studies are mentioned in Table 5. The effects of amplitude ratios make the
nonlinear stiffness matrices higher.
5 Conclusion
Laminates with circular cut out is more sensitive for variations of environmental
conditions studied. Therefore, FGM plates with rectangular cut outs with low n and
Pasternak elastic foundations are more useful compared to other combinations.
Clamped support is further desirable compared to simple support. Thin plate
with circular cut out is unstable compared to thick laminate with cut outs would be
desirable for various uses.
26 R. Kumar
Fig. 2 Investigation of average deformed force of CCCC functionally graded laminates with
circular cut out under thermomechanical loading, clamped support, biaxial compression
Table 3 Effect of thermomechanical deformed force, n, sizes of cut outs and {pi (i = 1, …, 7) = 0.1} for postbuckling force and coefficient of variations of
temperature, SSSS functionally graded laminates (k 1 = 100, k 2 = 0), (k 1 = 100, k 2 = 10)
Loading Hole type Uniaxial Biaxial
Circular n = 0.5 n = 10 n = 0.5 n = 10
Cut out size Cut out size Cut out size Cut out size Cut out size Cut out size Cut out size Cut out size
= 0.1 = 0.2 = 0.1 = 0.2 = 0.1 = 0.2 = 0.1 = 0.2
Thermomechanical (k 1 = 00, (4.4605) (4.1746) (3.3686) (3.1500) (2.3072) (2.1958) (1.7415) 1.6592)
k 2 = 0) 0.0664 0.0664 0.0646 0.0651 0.0658 0.0660 0.0637 0.0641
Linear 3.3802 3.1392 2.6301 2.4439 1.7421 1.6622 1.3560 1.2949
(k 1 = 100, (5.0811) (5.0692) (4.2441) (4.0460) (2.8515) (2.5093) (2.2839) (2.0160)
k 2 = 0) 0.0761 0.0733 0.0661 0.0645 0.0714 0.0718 0.0617 0.0621
Linear 4.3757 4.0611 3.6057 3.3367 2.2823 2.0191 1.8958 1.6811
FGM Plates with Circular Cut Out Analysis Resting on Elastic …
(k 1 = 100, (7.0145) (6.5583) (6.0506) (5.5000) (3.9190) (3.4730) (3.3492) (2.9769)

k 2 = 10) 0.0886 0.0776 0.0717 0.0677 0.0786 0.0789 0.0678 0.0681
Linear 6.1754 5.6282 5.2378 4.8000 3.3527 2.9780 2.9637 2.6363
Circular hole, a/h = 10, W max /h = 0.4. Average thermomechanical postbuckling force under thermal conditions
27
28
Table 4 Effect of combined effect of temperature and mechanical force, n, laminate (a/h), cut out uncertainties in laminate {pi (i = 1, …, 7) = 0.1} on average
and coefficient of variations of deformed force and thermal condition of SSSS supported biaxial compressed functionally graded circular laminate without and
with Winkler (k 1 = 100, k 2 = 0) and Pasternak (k 1 = 100, k 2 = 10) circular hole having TD parameters, W max /h = 0.4
Loading Hole type a/h = 20 a/h = 100
Circular n = 0.5 n = 10 n = 0.5 n = 10
= 0.2 = 0.3 = 0.2 = 0.3 = 0.2 = 0.3 = 0.2 = 0.3
Thermomechanical (k 1 = 000, (2.3069) (2.2086) (1.750) (1.675) (2.7428) (2.5956) (2.0798) (1.9704)
k 2 = 0) 0.0661 0.0669 0.0651 0.0654 0.0677 0.0666 0.0670 0.0656
Linear 1.7787 1.7006 1.3900 1.3297 2.1705 2.0182 1.6918 1.5770
(k 1 = 100, (2.783) (2.679) (2.2242) (2.1364) (3.2659) (3.1410) (2.6031) (2.5163)
k 2 = 0) 0.0738 0.0737 0.0666 0.0669 0.0737 0.0736 0.0668 0.0665
Linear 2.2614 2.1675 1.8693 1.7921 2.6887 2.5650 2.2108 2.1241
(k 1 = 100, (3.6901) (3.5406) (3.1044) (2.9766) (4.3036) 4.1572) (3.6396) (3.5313)
k 2 = 10) 0.3163 0.3265 0.1420 0.1420 0.3196 0.3210 0.1577 0.1592
Linear 3.1848 3.0430 2.7562 2.6268 3.7191 3.5763 3.2404 3.1344
The dimensionless mean thermomechanical postbuckling force with thermal condition
R. Kumar
Table 5 Effect of thermomechanical force, n, cut out size with uncertainty {pi (i = 1, …, 7) = 0.1} for average and coefficients of variations of deformed force
and thermal condition of functionally graded laminates (k 1 = 100, k 2 = 0), (k 1 = 100, k 2 = 10), circular hole, a/h = 15, W max /h = 0.4
Loading Hole type SSSS CCCC
Circular n = 0.5 n = 10 n = 0.5 n = 10
= 0.2 = 0.3 = 0.2 = 0.3 = 0.2 = 0.3 = 0.2 = 0.3
Thermomechanical (k 1 = 000, (4.4618) (4.2898) (3.3769) (3.2469) (5.6623) (4.3549) (4.3549) (5.7563)
k 2 = 0) 0.0666 0.0657 0.0651 0.0644 0.0918 0.0893 0.0893 0.1323
Linear 3.3921 3.2177 2.6499 2.5146 5.4569 4.2107 4.2107 5.4259
(k 1 = 100, (5.4092) (5.1904) (4.3159) (4.1372) (6.0077) (7.4467) (4.6900) (5.7559)
k 2 = 0) 0.0740 0.0738 0.0672 0.0670 0.0960 0.0980 0.0886 0.0912
Linear 4.3624 4.1583 3.6046 3.4296 5.8723 7.3188 4.6013 5.6676
FGM Plates with Circular Cut Out Analysis Resting on Elastic …
(k 1 = 100, (7.1836) 6.7199) (5.9430) 5.5364) (7.5936) 8.7810) (6.2131) (7.0642)

k 2 = 10) 0.3218 0.2478 0.1348 0.1055 0.1461 0.1936 0.1220 0.1362
Linear 6.0912 5.6484 5.2177 4.8006 7.2715 8.6568 5.9779 6.9745
Average thermomechanical deformed force and thermal conditions
29
30 R. Kumar
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J Mech Sci 62:18–33
Benchmarking the Integration
of Industry 4.0 into the National Policies
at Asia
Sanjiv Narula, Surya Prakash, Maheshwar Dwivedy, Ajay Sood,
and Vishal Talwar
Abstract The objective of this paper is to integrate Industry 4.0 (I4.0) into national
policy framework of countries, and asses their readiness in adopting I40 through a
literature review of their existing policy initiatives, while analyzing secondary data
of some critical factors related to the future of production. I4.0 policy frameworks in
both developing and developed countries are intended at enhancing modernization,
endorsing the acceptance of up-to-date technology to fast-track financial develop-
ment, boosting production output, and help in the holistic effectiveness of industries.
Singapore, Japan, and Korea have been at the forefront of embracing I4.0 technolo-
gies. The findings of this study would help and support policymakers, researchers,
and practitioners for the development of strategies for implementation of I4.0.
Keywords Industry4.0 · Policy measures · Digitalization
S. Narula · V. Talwar
School of Management, BML Munjal University, Gurgaon, Haryana 123413, India
e-mail: sanjivnarula1979@gmail.com
V. Talwar
e-mail: vishal.talwar@bml.edu.in
S. Prakash (B) · M. Dwivedy
School of Engineering and Technology, BML Munjal University, Gurgaon, Haryana 123413, India
e-mail: suryayadav8383@gmail.com
M. Dwivedy
e-mail: maheshwar.dwivedy@bml.edu.in
A. Sood
Automotive Industry Professional, Gurgaon, Haryana 123413, India
e-mail: xkuthiala1983x@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_4
32 S. Narula et al.
1 Introduction
Industry 4.0 (I4.0) is on the verge of radically changing how organizations operate:
[13, 11]. I4.0 technologies are futuristic, and are anticipated to boost grander indus-
trial production, flexibility and productivity: [1]. The I4.0 terminology was incepted
in Germany by the German administration to digitize the engineering industry. This
terminology was made public at the ‘Hannover Messe Industrie (HMI Fair) in 2011’,
in which it was proven how cyber-physical arrangements could be in control for devel-
oping innovative business models, conceiving thereby a transferral archetype in the
manufacturing computerization sector: [10].
Countries and its industries would slowly but surely embrace I4.0 at different rates
and in diverse ways [19]. For instance, nations with a high-cost skilled workforce
would be able to make the most of an advanced level of automation [12]. Devel-
oping economies with a young, technology-savvy labor force might also jump at the
prospect, and might even generate completely novel industrial models. I4.0 could
offer incredible opportunities for innovative manufacturers, system suppliers, and
entire regions. Nevertheless, as with preceding transformational advances, I4.0 also
poses a specific risk to laggards [12]. As business models, economics, and talent
necessities change, we might well see foremost alterations in top spots, at both the
business, regional and countries level. To dynamically shape the makeover, coun-
tries, organizations including manufacturers and suppliers must take decisive action
to embrace the technological advancement and address the need to become accus-
tomed to the appropriate infrastructure and education [13]. Authors, earlier have
carried out literature reviews of I4.0 policies mostly in developed economies, and
have acknowledged the need for additional studies on the status of I4.0, especially
in emerging economies [14, 15, 19]. This effort is an effort to bridge the above said
research gap by examining and discussing the following themes:
• Why it is essential for developing countries to adopt I4.0?
• Evaluate the level of I4.0 integration into national industrial policies?
• The benchmarking of readiness for Asian countries for the future of production.
2 Literature Review
2.1 What Is Industry 4.0
I4.0 is fundamentally label specified to the modernized phase of the industry, which is
automation and information exchange between the industrial machinery and systems;
primarily, it is based on the cyber-physical makeover of manufacturing [1, 7, 10,
12]. The preceding phases of the industrial revolution included the ‘Industry 1.0:
mechanization, water, and steam power’; followed by ‘Industry 2.0: mass produc-
tion and electricity into production’; ‘Industry 3.0: automation and computeriza-
tion’; and finally ‘Industry 4.0: cyber-physical system’. In I4.0, the machinery is
Benchmarking the Integration of Industry 4.0 into the National … 33
directly connected to other machineries and could accumulate statistics and analyze
the configurations amid themselves; they would be intelligent systems to make judg-
ments, which are difficult for humans [2, 10, 18, 20]. I4.0 emphasises on end-to-end
digitization of every original data in a business process, right from input to the finish
product, linking and assimilating digital settings with value chain partners up to the
consumer [2, 5, 7, 10, 11].
2.2 Industry 4.0 Design Principles
I4.0 is based on six design principles, explained in Fig. 1. These principles aid
establishments in recognizing and executing I4.0 developments. Moreover, these
principles help in creating smart factories by using cyber-enabled arrangements for
real-time monitoring of physical procedures, fashioning computer-generated replicas
of the physical setting and making business decisions [10, 13, 20]. These principles
form the baseline for the machinery, devices, instruments, and individuals for real-
time connection and communication with each other via the internet of things (IoT).
Additionally, it is these systems that help in creating digital twins by combining
sensor data to higher-value perspective information to support humans in taking
decentralized decisions [12].
The capability of digital systems or software for exchange and

Interoperability usage of the information between 'machines to machine' (M to
M), 'machines to people' via IOT.
Big data and useful information all through interconnected

Transparency system delivers huge volumes of valuable data and insights for
faster decisions and bringing transparency in system.
Industry 4.0 design principles
The capability of cyber physical arrangements for undertaking

Autonomous the self-decisions and to performing autonomously.
decisions
. Modular systems are intelligent to flexibly acclimatize to

varying requirements in the overall value chain starting from
Modularity design, development, suppliers, production, sales, service and
end customers.
Technical assistance The capability of systems to aid human being by intelligent

& Service robotics, remote sensing devices with the capability of cognitive
oreintation skills and self-learning devices.
The real-time accessibility of data and information in the entire

Real time capability value chain offers a massive prospective to improve effectiveness
and efficiency in the business systems.
Fig. 1 Industry 4.0 design principles

34 S. Narula et al.
2.3 Why It Is Important for Developing Countries to Adopt

I4.0
I4.0 facilitated machinery will steadily substitute more and more low skillful work-
force conventionally connected with the industrial sector [13]. As labor expenses
turn out to be a fewer in proportion to the industrial costs, the motivation to place
plants in nations, with low cost advantages becomes low [13, 19]. As a substitute
industrial unit will be positioned closer to the marketplaces for their precise prod-
ucts. Digital technologies are pushing innovative manufacturing practices, business
models, and value- chains that will entirely take worldwide manufacturing systems
to a different level [2, 5, 10, 11, 18]. The speediness and extensiveness of its progres-
sions take along a stratum of intricacy for developing and realizing manufacturing
policies that enhance productivity, quality, safety, delivery, and safety levels. I4.0
will influence all nations [13–15] and civilizations, administrations, and people by
following questions to the policymakers.
• How developing countries create and implement their master plan for I4.0?
• Which role organizations will perform in the forthcoming worldwide value-
creation and value chains?
• How do developing countries develop the skills of people for superior employa-
bility under shifting situations?
Thus, developing countries may not be able to take the benefit of low-cost human
resources in such scenarios; hence, it is essential for them to embrace the digital
technologies of I4.0.
We have taken Japan, China, Malaysia, Taiwan, Singapore, Indonesia, India,
Korea, Pakistan, and Thailand in the scope of our study.
2.4 Evaluation of the National Policy Framework for I4.0
I4.0 lies at the center of Germany’s exertions to endure its worldwide headship in
advanced manufacturing. Although numerous nations pursue in imitating Germany’s
methodology to I4.0, limited hold an analogous underpinning of amassed technical
and engineering proficiencies [10, 11, 13, 14]. The German government demon-
strated an absolute commitment of assets over the past few years to turn out to be
both a foremost provider, and the imperative marketplace for I4.0 associated products,
machines, equipments and facilities [14]. Germany’s I4.0 policy can be characterized
as a strategy and a learning procedure assimilating a multifaceted fusion of innova-
tion, manufacturing, exploration, research, and other connected policies [10, 13,
14]. The German know-how underlines the relevance of multi-stakeholder synchro-
nization and cooperation as the groundwork for its I4.0 policy and its deployment.
Emergent technologies of I4.0 need to be leveraged to upkeep the administrations of
Fig. 2 National policy measure framework for Industry 4.0
developing countries to strengthen their spot and transpire as factories of the future
[12]. To empower this, administrations in other countries have embraced policy
actions that are projected to offer a course to the implementation of I4.0: [13] and
are given in Fig. 2.
The national I4.0 policy framework mentioned in Fig. 2 functions as a strategic
guide plan to empower the renovation of the industrial segment and fast-track the
embracing of the I4.0 and are explained in Table 1 and its citation table is given in
Table 2.
3 Discussion
Singapore has a wide-ranging I4.0 policy, which focuses on building the capability
of its people by re-skilling and transforming the industry, while creating smart cities
for example. Japan, on the other hand, has been focusing on using I4.0 technologies
for improving the lives of its people in the super smart society 5.0 program. Thai-
land 4.0 is intended at fashioning a value-centered economy. China and Korea are
focusing on using digital technologies to improve the manufacturing capabilities and
smart factory. Other countries are in the early stage of I4.0 policies to become global
economies by retrieving net export benefit, increasing share of GDP from the indus-
trial sector, and improving output, as an outcome from progression in technology
and modernization. The authors were not able to find any I4.0 policy of Pakistan
Table 1 Summary of the national policy framework of Industry 4.0
36
Country, Overview of policy Key strategic priorities and initiatives Focus sectors
policy name
and launch
date
Japan A human-centered society that equates • Digital society for the aging population • Energy value chain
Super Smart economic progress with the resolution of • Digital transformation of healthcare • Smart food chain
Society social problems by integrating the physical • Promoting open innovation • Hospitality
2013 space with cyberspace by using digitalization. • Collaborative research between industry • Automated driving and mobility
Big data analytics, cloud computing, IoT, and academia • Biotechnologies
advanced robotics, artificial intelligence and • Reduction of greenhouse gas emissions • Manufacturing and robotics
regulatory reforms executed under one under • Sustainable industrialization • Safety management
fifth science and technology basic plan
(continued)
S. Narula et al.
Table 1 (continued)
policy name
and launch
date
China The objective is to make China world’s most • Focus on manufacturing innovation • Automotive and Energy-saving vehicles
Made in China advanced economy by 2049 based on its • Integrate industry with technologies • Aviation
2025 innovative manufacturing technologies • Strengthen the manufacturing base • Agriculture machinery
2015 The plan is to make China the leader for • Promoting local brands • NC tools and robotics
engineering high technology and quality • Create 1000 green factories by 2020 • High-tech maritime equipment
products using indigenized R&D for • Promote service-oriented manufacturing • Railway transport equipment
developing advanced technology to replace • Advance reformation of the industrial • Medical devices
foreign smart technologies sector • Information technology
• Internationalize manufacturing • Power equipment
• Promote technology and manufacturing
breakthroughs
• Construct industrial innovation centers
Singapore ‘To aid in improved living, stronger societies • Facilitate smart solutions by test beds, • Transport
Smart nation and creating greater opportunities’ for collaboration and investment in R&D, • Environment
Initiative everyone through information and computer with special focus on AI • Health
2014 technologies • Nurture sustained an innovation culture • Public sectors
Three key pillars of this program include the • Build computational capabilities and skills • Services
Benchmarking the Integration of Industry 4.0 into the National …
digital economy, digital government, and for the future

digital society. This will be done by creating • Increased cybersecurity
an enabling ecosystem supported by • Digital inclusion, smart urban mobility,
infrastructure, technologies, policies, culture, smart nation sensor platform, national
and capabilities digital identity
Use advanced data and IT technologies for • Regulatory reforms
economic productivity and new business • Start-up accelerators
opportunities
(continued)
37
Table 1 (continued)
38
policy name
and launch
date
South Korea Building a creative economy by enhanced • Computerization of manufacturing • Smart cars
Manufacturing focus on core competency industries, • Development of technologies related to • 5G network
Innovation 3.0 manufacturing innovations, and developing IOT, 3D printing, and big data • Intelligent robots
2014 smart factories by using CPS, IOT, additive • Embrace the whole business system, • Customized wellness care
manufacturing, big data analytics, cloud including small and medium level • Wearable smart devices
computing, and smart sensors enterprises • Disaster safety management
• Encouraging volunteer participation of • Deep sea offshore plant
small and medium level organizations • Renewable energy
• Motivating businesses to participate in • Virtual reality
innovations by benefit sharing
• Create 10,000 smart factories by 2020
• Fostering innovation mindset among
participating CEOs
Taiwan Taiwan is promoting productivity 4.0 to make • Supply chain optimization of the leading • Electronics and information
Productivity smart machines a certainty and industries adopting manufacturing 4.0, • Metal transformation
4.0 industrialization of smart machines industry. business 4.0 and agriculture 4.0 • Machine tools
2015 This includes the establishment of the smart • Fostering new ventures and local contents • Food
industry ecosystem, innovative production • Development of the new technology • Textiles
processes to improve productivity and using (robotics, 3D printing, IOT, sensors, CPS
ICT across the smart industry supply chain and Big data)
The key goal is to raise GDP per capita of the • Build talent
manufacturing industry by 60% • Supporting the industry with preferential
(10 million NTD in 2024) policies
(continued)
S. Narula et al.
Table 1 (continued)
policy name
and launch
date
India The strategy is to become a global • Create 100 smart cities • Energy
Make in India manufacturing hub for sustainable growth, • Promote skill India, digital India, and • Automotive
2014 enable investments, fostering modernization, start-up India • Electronics
upgrading skills, and building the finest • Make India the easiest place to do business • Drugs and pharmaceuticals
industrial sector under a national • Facilitate investment, foster Innovation, • Petrochemicals
manufacturing policy and protection of intellectual property • Paper
The key goals are to upsurge the portion of the rights • Defense equipment
industrial sector to 25% of GDP, promote • Use technologies to leapfrog to I4.0 • Aerospace
investment in industries, and enhance global • Create best in class manufacturing • Steel, cement, and fertilizers
competitiveness infrastructure • Textiles
• Converge and integrate government • Leather Goods
departments to streamline the execution of • Food processing
plans • Gems and jewelry
Thailand Thailand 4.0 is a technology-centered initiative • Build digital network across the country • Food, agricultural and biotechnology
Thailand 4.0 to transform Thailand into a high-income • Create laws and regulations to support the industries
2016 country with a value-centric society and digital economy • Healthcare and medical technology
innovation-driven economy. Emphasis is on • Build an open data standard platform • A parallel theme named ‘I4.0’ is being
Benchmarking the Integration of Industry 4.0 into the National …
“security, wealth and sustainability” covering the whole of Thailand, including run to induce all manufacturing industries
Focus areas of Thailand 4.0 are the growth of government-run e-service for businesses to adopt ICT and innovation to enhance
people to build an inclusive society by and citizens productivity and quality
people-centric and innovation-driven • Promote business competitiveness and
governance encourage SMEs to use I4.0 technologies
• Develop workforce for smart factories and
services
(continued)
39
Table 1 (continued)
40
policy name
and launch
date
Malaysia The acronym ACT knows three key policy • Funding and outcome-based incentives to Malaysian policy is related only to the
Malaysia 4.0 objectives of Malaysia’s initiative encourage companies to adopt new manufacturing sector. It deals with
2018 1. Attract: Invite stakeholders to implement technologies • Transforming the whole of the
I4.0 technologies and make Malaysia a • Create enabling ecosystem and efficient manufacturing sector through
preferred manufacturing location infrastructure to enable rapid digitization restructuring and embracing I4.0
2. Create Setup the right ecosystem for of industry technologies
adopting I4.0 and aligning it with industrial• Establish a regulatory framework to ease • Focus is on SMEs in since they form
development the adoption of I4.0 98.5% of all manufacturing industries and
3. Transform: All-around accelerated the • Upskilling the existing workforce and account for 42% of employment in the
transformation of existing capabilities creating talent with new skills required for sector
The outcome is a higher contribution to the working in I4.0
economy by manufacturing, creation of high • Giving all industries easy access to smart
value-added products, and sustaining foreign technologies and standards
direct investments • Creating public-private partnerships to
transfer knowledge about I4.0 technologies
• Improve global innovation index ranging
from 35 in 2016 to within the top 30
nations by 2025
Indonesia Making Indonesia 4.0 is seen as a roadmap to • Reform the flow of goods • Food and beverage
Making create the prospect for Indonesia to become • Redesign industrial zones • Textile and Apparel
Indonesia 4.0 one of the topmost ten international economies • Embrace sustainability standards • Automotive industry
2018 by 2030 with a net export rate of 10%, • Empower SMEs • Electronics
doubling labor productivity and allocating 2% • Build nationwide digital infrastructure • Chemical industry, including
of GPD to R&D and innovations • Attract foreign investments petrochemicals
Five technology focus areas are IOT, Artificial • Upgrade human capital
intelligence (AI), robotics, 3D printing, and • Establish an innovation ecosystem
sensor technologies • Incentivize technology investment
• Establish consistent regulations and
policies
S. Narula et al.
Table 2 Citation table of I4.0

Country Citation
national policy framework
China [10, 12–14]
Japan [12, 13, 16, 17]
Singapore [8, 13]
Taiwan [4, 13]
Thailand [5, 7]
South Korea [6, 13, 19]
Malaysia [3]
India [9, 13, 18]
Indonesia [11, 13]
Singapor
Japan Korea China Taiwan Indonessia Thailand India Mallyssia
e
Smart Manufacturing
Super Made in Productivty Indonessia Thailand Make in Mallyssia
smart nation Innovation
china 2025 4.0 4.0 4.0 India 4.0
society 5.0 initiative 3.0
2013 20114 2014 2015 2015 2018 2018 2014 2018

Advanced Advanced Advanced Early Early Early Early
Early stage Early stage
stage stage stage stage stage stage stage
Fig. 4 Timelines and stages of the national policy framework of I4.0
in extant literature. The timelines of the I4.0 framework of national policies and its
stages has been given in Fig. 4.
4 Research Methodology
This paper is centered on extensive literature review of I4.0 concepts, its principles,
and national policy initiatives towards I4.0 adoption, along with secondary data anal-
ysis of some key factors related to the future of production. The research methodology
has been summarized in Fig. 5.
5 Data Analysis
I4.0 technologies have triggered the discovery of new manufacturing methods and
business models, which are sustainable and futuristic. The authors have analyzed
data from the ‘readiness for the future of production report 2018’ of world economic
forum, which is a benchmark in itself, along with analytical instruments and statistics
set to benefit nations to recognize their current level of ‘readiness for the future of
42 S. Narula et al.
Fig. 5 Research methodology
production’. The authors have developed the following framework (Fig. 6) from the
‘readiness for the future of production report 2018’. The framework to measure the
I4.0 integration in national policies and benchmarking data for readiness for future
of production is given in Figs. 7 and 8.
5.1 Discussion on Readiness for Future of Production

(Figs. 7 and 8)
Singapore, Japan and South Korea have been found to be the leading countries as
regards the readiness for future of production, based on their high scores shown in
Figs. 7 and 8. The ‘quality of education to build human resources’ has also had a
high score for these countries, which tend to support and horne the skills required to
adopt these technologies. Singapore specifically, seems to have better ranking in ICT
enabled business models, embracing the disruptive ideas, sustainable development,
and cybersecurity commitments; but here, they possibly need to improve their global
ranking as regards the ‘quality’ of universities. Japan is a leading economy under
most parameters, but may need to focus on embracing disruptive ideas in Japanese
organizations. Despite being in the top ranking countries as regards economic value-
add in manufacturing, green field investments, quality of universities, China would
do well to reflect upon policy measures for cyber security, skill building, manufac-
turing employment, scientific and technical research, FDI and technology transfer,
ICT enabled business and sustainability initiatives. Regardless of being in top 10
countries in most of parameters, there is an opportunity for South Korea to reflect
upon sustainable possessions, FDI and technology transfer, investment in futuristic
technologies.
Other Asian countries need to benchmark the best practices of Singapore, Japan,
and Korea for expediting the transition for I4.0.
Fig. 6 Framework to measure the Industry 4.0 integration in national policies
6 Conclusion
The study started with the objective to understand the importance of I4.0 adoption
in developing countries, while evaluating its integration into national industrial poli-
cies, and concluding with benchmarking the readiness for future of production in
Asia. As seen in the earlier section, the results of benchmarking (i.e. Figs. 7 and 8)
specify that Singapore, Japan, and Korea are the visible contenders for embracing
I4.0 technologies in Asia. The authors have also focused on the intensification of
44 S. Narula et al.
Fig. 7 Benchmarking data –readiness for future of production part -1 (source Readiness for the
future of production-2018 report of world economic forum)
technology espousal to fruitage great value-added products, bring into line research
and development to speed up innovation compelled progression, while augmenting
capacity building to raise the level of skilled labour. The existing ecosystem seem to
be backing native establishments to advance into technology and solutions benefac-
tors, enhancing the attractiveness of companies in the worldwide market. Organiza-
tions of developing countries need to flourish the ethos of innovation by intensifying
the existing capacity and proficiency to profit from the I4.0 technology measures.
Fig. 8 Benchmarking data –readiness for future of production part -2 (source Readiness for the
future of production-2018 report of world economic forum)
Research limitations and implications: The work done in this research is qualitative
in nature through extensive extant literature review. Going forward, validation of the
findings using a quantitative method by primary data analysis can be a potential area
of research. Our evaluation of the integration of I4.0 model into national and industrial
policies, while benchmarking the readiness of countries for future of production,
may support policymakers, researchers, academicians, and practitioners working on
developing strategic plans to accelerate the implementation of I4.0 technologies. The
following themes can be considered by future researchers for I4.0 implementation
at the ground level; for instance, how can developing countries assimilate small and
medium-sized enterprises, what skills would the labour force need to flourish in
the forthcoming environment of digital technologies, how developing countries can
manage the impacts of I4.0 technologies on employment, among others.
46 S. Narula et al.
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Exergy Analysis of Novel Combined
Absorption Refrigeration System
Vaibhav Jain, Ashu Singhal, and Harsh Joshi
Abstract Nowadays, absorption systems are very much in demand due to its sole
feature of utilizing waste heat energy of a system into other system providing cooling
process. In here, a novel setup of combined absorption refrigeration (CAR) system
is forthput and analyzed to produce −20 °C cold energy by utilizing the waste heat
of low grade. The system formulated ahead consists of multiple (two) sub-systems:
LiBr/H2 O absorption refrigeration (AR) cycle and NH3 /H2 O absorption refrigeration
(AR) cycle. CAR system is utilizing the low grade not so useful heat using a cascade
system method. Simulation has been done, analogous to a thermodynamic model
built in Engineering Equation Solver (EES) software. Coefficient of performance
(COP) and exergy efficiency are the few performance arguments. The overall COP
of the system is 0.206 with exergetic efficiency of 24.1%. The present simulation
results show that CAR has a tremendous adaptability. The work gives a new lead to
produce low-temperature cold energy using waste heat of low grade.
Keywords Low-grade waste heat · CAR · Ammonia–lithium bromide · Energy

and exergy analysis
Nomenclature
COP Coefficient of performance

f Flow ratio
h Specific enthalpy (kJ/kg)
ṁ Mass flow rate (kg/s)
Q̇ Heat transfer rate (kW)
T Temperature (K)
I˙ Irreversibility (W)
V. Jain (B) · A. Singhal · H. Joshi

Department of Mechanical and Automation Engineering, Maharaja Agrasen Institute of
Technology, Delhi, India
e-mail: vaibhavursaathi@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_5
48 V. Jain et al.
Ẇ P Pump power (kW)

x Mass concentration of absorbent in the solution
1, 2, 3, … State points
Subscripts
A Absorber
C Condenser
E Evaporator
G Generator
P Pump
Hex Heat Exchanger
IN Input
OUT Output
1 Introduction
Today, reducing energy consumption and carbon footprint is one of the most consider-
able factors for the living worldwide, and this can be achieved by monitored and wise
utilization of energy. Currently, it is a foremost concern in the field of refrigeration.
Combined refrigeration cycles are required by cooling systems for energy saving.
Absorption-absorption cascade refrigeration systems are taken into account as a
great alternative to one-stage absorption/compression refrigeration systems as it is
becoming a tedious task for the non-conventional one-stage absorption/compression
refrigeration systems to achieve particular temperature of refrigeration below −20 °C
with permissible operations and capital benefits [1].
A simple vapor absorption refrigeration (AR) system therefore comprises an
expansion device, a condenser and an evaporator as analogous to the vapor compres-
sion system, and in addition, generator, an absorber, pump, heat exchanger and a
pressure-reducing valve are also introduced in place of compressor. To obtain vapors
of fed refrigerant from lean solution, heat is injected to the generator to carry out the
process. This refrigerant then goes to the condenser, giving out a particular amount of
heat as it is condensed. The refrigerant then leaves the condenser which is expanded
to the evaporator where cold energy is produced as it is evaporated. After this, the
vapors of refrigerant then move on to the next component which is absorber, where
a solution coming from generator absorbs it, giving out some fixed amount of heat.
Finally, the solution which consumed or absorbed the refrigerant goes back to the
initial stage, i.e., generator, where preheating of the solution takes place from the
generator through heat exchanger repeating the cycle. In ARs, two working fluids
are commonly used as absorbent and refrigerant: ammonia–water (NH3 –H2 O) and
Exergy Analysis of Novel Combined Absorption … 49
water–lithium bromide (H2 O–LiBr), which are richly accessible all around the globe.
The AR can effectively recover the waste heat of about 50% of total and reuse it in
industries and their process as and when required [2].
A way to enhance the working and efficiency of absorption system is its size.
Improvising the method of heat and mass transfer can lead to reduction in the
exchange area and size of absorber, which further results in reduction of weight,
volume and cost of whole system.
Also, method of exergy analysis done here is thoroughly best fit to achieve goal
of using more efficient resources as it can determine weak spots, types and true
magnitude of waste generated by the system. This can help in improving the designs
of thermal systems to eliminate the sources of inefficiency and reducing the costs as
much as achievable [3].
Theoretical as well as experimental studies have been done on topic of
exergy/second-law efficiency analysis of absorption systems and also the heat pumps.
With respect to single-effect LiBr–H2 O absorption systems, exergy analysis is
forthput and written by Talbi and Agnew [4], where the study has been developed for
an absorption refrigeration system and another model is forthput by Şencan et al. [5],
where a model is made to carry out examination for cooling/heating purposes and for
system’s separate components. Analogous outcomes were fetched, which conclude
that exergy losses were relatively larger for absorber and generator. Morosuk and
Tsatsaroni [6] gave a theory which consists of splitting of the exergy destruction
further into endogenous/exogenous and unavoidable/avoidable parts with the aim of
achievement of exergy analysis’ accuracy.
Several studies on cascaded vapor compression–absorption systems have also
been done. Chinnappa et al. [7] done the study of an absorption–compression
cascade refrigeration system comprised in air conditioning and explored that COP of
compression sub-system rose from 2.55 to 5 with the aid of absorption subsystem,
while there was decrease of power usage of compression subsystem, lowering from
4.35 to 2.2 kW. A study on geothermal energy-powered absorption–compression
cascade refrigeration cycle was done by Kairouani et al. [8]. It concluded that the
coefficient of performance of cycle is 37–54% more than vapor compression cycle
through calculations. Xu et al. [9] demonstrated a combined absorption–compression
cascade refrigeration system that can achieve a temperature of evaporation below −
100 °C. But, so far, achievements in techniques for waste heat utilization are very
limited.
In research carried forward, novel combined configuration of absorption refrig-
eration system has been introduced which will utilize waste heat of low grade
for producing −20 °C lower temperature energy. This newly introduced CAR
overcomes the restrictions and limitation of refrigeration temperature, which is
completely different from conventional vapor compression/vapor absorption refrig-
eration systems. CAR is inclusive of two sub-systems: LiBr/H2 O absorption refriger-
ation sub-system and NH3 /H2 O absorption refrigeration sub-system. The study here
is done with objective to (1) demonstrate a new absorption–absorption combined
refrigeration system to utilize the waste heat more efficiently and effectively; (2)
carrying out the investigation on the thermodynamic performance of the combined
50 V. Jain et al.
refrigeration system; (3) determine the amount of work available from the system,
i.e., exergy of the system; (4) determine the pros of the combined system. The work
done here will prove to be a new approach of utilizing waste heat energy and obtaining
output in form of cold energy.
2 Process Description
New combined AR comprises two cycles: NH3 /H2 O AR cycle and LiBr/H2 O AR
cycle. LiBr/H2 O AR cycle consists with an absorber, a generator and a heat exchanger,
an evaporator and a condenser in cycle. High-pressure parts (HPP) consist of a gener-
ator and condenser; the low-pressure parts (LPP) consist of absorber and evaporator.
The NH3 /H2 O AR cycle is analogous to LiBr/H2 O AR cycle. LiBr/H2 O system
is suitable for moderate-temperature (5 °C and above) applications particularly air
conditioning. Here, H2 O is refrigerant and LiBr is absorbent. NH3 /H2 O system is
suitable for low-temperature (less than 5 °C) refrigeration/cooling applications with
NH3 as refrigerant and H2 O being absorbent. The LiBr/H2 O pair comprises majority
of the above-listed properties. For these reasons, LiBr and water systems are more
in demand.
The primary cycle of combined AR is the NH3 /H2 O AR cycle. As saturated
refrigerant vapor enters into the absorber (1) from the evaporator, it is drawn by the
absorbent reduction of pressure inside the absorber further leading to more flow of the
refrigerant from the evaporator to the absorber. The strong solution from absorber
is pumped into generator (4) which is at a higher pressure; heat from the heating
sources is added to generator. This results as heating NH3 gas gets expelled from the
strong solution in the generator and passes onto the condenser (8) where it is again
condensed to the liquid and pass to the evaporator (9) via expansion valve (10). The
weak solution in generator after NH3 is expelled passes through the reducing valve
(6) to the absorber (7).
Outlet consisting of water from the absorber of primary AR cycle (13) acts as
an input for the absorber of the secondary cycle using a refrigerant as H2 O and the
absorbent as LiBr. The strong solution is given into the generator (24); further heat is
added to the generator. Resulting, saturated vapor gets expelled from the generator
and moves to the condenser (28) where it is again condensed to the liquid and pass
through the expansion valve (29) to the condenser of the primary NH3 /H2 O AR cycle.
The waste heat of the condenser of NH3 /H2 O AR (12) is fed to input of the absorber.
The waste heat of generator of NH3 /H2 O AR is fed to the input of the LiBr/H2 O
generator, and waste heat of the condenser of LiBr/H2 O AR is fed to the absorber of
LiBr/H2 O AR. The combined system is shown in Fig. 1.
19 21
20 14 15
12
8 28
Generator Generator
Condenser 1 Condenser 2
5 4 25 24
11 29
Expansion Valve 2
Expansion Valve 1 26
6 3 23
10
Pump 1 27 Pump 2
2 22
7
Absorber 2
Absorber 1
1
Evaporator
13 16
17 18
NH3/H2O AR LiBr/H2O AR
Fig. 1 Schematic drawing of novel combined absorption refrigeration system
3 Theoretical Modeling of CAR
3.1 Energy Analysis
Designed thermodynamic modeling consists of mass, material and energy equilib-

rium for all the used parts of CAR along with justified assumptions as shown below
[10].
1. The operation is carried out under steady state.
2. Heat loss and pressure in the parts and pipelines of the system are not taken into
account.
3. Refrigerant will be saturated which occurs at exit of both components, i.e.,
evaporator and condenser.
4. Isenthalpic process is in expansion valves.
5. The strong and weak solutions which leave the generator and absorber, respec-
tively, are taken to be saturated and at equilibrium at their respective pressures
and temperatures.
The group of dominant equations given below is applicable to all the parts used
of CAR with its consideration as control volume [10].

Mass balance, ṁ = 0 (1)

Material balance, x ṁ = 0 (2)

Energy balance, Q̇ + Ẇ + ṁh = 0 (3)
52 V. Jain et al.
In this paper, the coefficient of performance, circulation ratio and concentration

range are used as the execution arguments to examine CAR.
The COP of absorption refrigeration is stated as heat load in the evaporator per
unit heat load in the generator. The heat load of generator in this research is passed
by waste heat of low grade, which relates to the system consumption. The expression
of COP is given as:

COPNH3 /H2 O = Q̇ evap / Q̇ g1 + Ẇ p1 (4)

COPLiBr/H2 O = Q̇ c1 + Q̇ a1 / Q̇ g2 + Ẇ p2 (5)

COPCAR = Q̇ evap / Q̇ g1 + Ẇ p1 + Q̇ g2 + Ẇ p2 (6)
The circulation ratio is a necessary planning and modifying argument as it is

straight in relation with the cost and size of the parts of the system. It is referred to
quantitative relation of the solutions’ mass flow rate which is fed into generator to
the refrigerant which is leaving the generator.
f NH3 /H2 O = ṁ 2 /ṁ 8 (7)
f LiBr /H2O = ṁ 22 /ṁ 28 (8)
Concentration range refers to the input and output solutions’ concentration

difference in generator. Concentration range of NH3 /H2 O AR is defined as:
x2 = x4−x5 (9)
A larger measure of COP proves efficient performance and much higher energy
utilization efficiency. The f is having an inverse relation with x. The larger measure
of f belongs to a smaller value of x value and vice versa. The larger measure of
f signals higher solution flow rate for unit mass of refrigerant, which can result
into higher energy consumption, and therefore, it is a barrier to further improvise
performance and efficiency of absorption refrigeration. The process data input to the
system is given Table 1.
3.2 Exergy Analysis
The exergy is referred to the maximum and achievable reversible work which can
be derived from a stream or system in taking along the condition of an operation
with a reference state. Exergy is never destroyed in an ideal process (except for
those developing work) and terminated during real process. Neglecting few effects
Table 1 Process data to CAR

Parameter NH3 /H2 O system LiBr/H2 O system
under study
Cooling capacity (kW) 50 –
Condenser temperature 10 35
(°C)
Evaporator temperature −20 –
(°C)
Absorber temperature 10 40
(°C)
Generator temperature 110 85
(°C)
Effectiveness of 0.80 0.80
solution heat exchanger
Efficiency of pump (%) 0.95 0.95
like magnetic, nuclear and electric effects, the exergy for any specific points with
reference to environment can be put as:
Ė = ṁ[(h − h 0 ) − T0 (s − s0 )] (10)
In equation, h0 and s0 are taken at the reference environment temperature, T 0 =

293.15 K and atmospheric pressure. The operation done uses temperatures in Kelvin
(K).
In steady-state circumstance and overleap, the potential and kinetic part with the
aid of an exergy balance in any open system from which the exergy destruction can
be inferred using the irreversibility equation can be given as
n n
T0

I˙ = 1− . Qj + ṁ k Ė k − ṁ k Ė k −W (11)
j
T k=1 k=1
IN OUT
To achieve aim of determining the system performance and outcomes from laws of
thermodynamics, i.e., first and second law, few assumptions were made in the further
processing of the mathematical and calculative model for the adiabatic absorption
cooling under study which are as follows.
• At the entry and exit of the primary components, there is thermodynamic
equilibrium.
• The analysis has been done under steady-state conditions for the reference points
of inlet and outlet.
• The saturated solution is used at the absorber and generator exit and the same
condition, i.e., saturated refrigerant at the condenser and the evaporator terminal.
• There are heat and pressure drops in the tubing and various components which
are taken infinitesimally small, except in components like pumps and valves.
54 V. Jain et al.
• Energy is fed in the generator and the evaporator using hot liquid usually water,
whereas cold water is taken in for removal of heat from the condenser at the
identical temperature.
• The reference condition for the exergy analysis is atmospheric pressure and T 0 =
298.15 K.
• Parameters like the heat load in the evaporator E Q, the efficacy of the solution
heat exchanger (assumed 0.7) and temperatures at the terminal of the primary
components are known.
• Creating energy and exergy equilibrium for every primary component of the
system. The equations given below can be obtained from Eqs. (10) and (11).
1. NH3 /H2 O AR
Generator
ṁ 4 = ṁ 5 + ṁ 8 (12)
Q̇ G1 = ṁ 5 h 5 + ṁ 8 h 8 − ṁ 4 h 4 (13)

I˙G1 = Ė 4 + Ė 19 − Ė 5 + Ė 8 + Ė 20 (14)
Condenser
ṁ 8 = ṁ 9 (15)
Q̇ C1 = ṁ 9 h 9 − ṁ 8 h 8 (16)

I˙C1 = Ė 8 − Ė 9 + Ė 12 + Ė 11 (17)
Evaporator
ṁ 10 = ṁ 1 (18)
Q̇ E1 = ṁ 1 h 1 − ṁ 10 h 10 (19)

I˙E1 = Ė 10 + Ė 17 − Ė 1 + Ė 18 (20)
Absorber
ṁ 12 + ṁ 1 + ṁ 7 = ṁ 2 + ṁ 13 (21)
Q̇ A1 = ṁ 2 h 2 + ṁ 13 h 13 − ṁ 12 h 12 − ṁ 1 h 1 − ṁ 7 h 7 (22)

I˙A1 = Ė 12 + Ė 1 + Ė 7 − Ė 2 + Ė 13 (23)
Heat Exchanger
ṁ 5 = ṁ 6 (24)
ṁ 3 = ṁ 4 (25)
ṁ 5 h 5 − ṁ 6 h 6 = ṁ 3 h 3 − ṁ 4 h 4 (26)

I˙Hex1 = Ė 3 + Ė 5 − Ė 4 + Ė 6 (27)
Pump
Ẇ P1 = vNH3 /H2 O (PA − PG ) (28)
I˙p1 = Ė 2 − Ė 3 + Ẇ A (29)
2. LiBr/H2 O AR
Generator
ṁ 24 = ṁ 25 + ṁ 28 (30)
Q̇ G2 = ṁ 25 h 25 + ṁ 28 h 28 − ṁ 24 h 24 (31)

I˙G2 = Ė 24 + Ė 20 − Ė 25 + Ė 28 + Ė 21 (32)
Condenser
ṁ 15 = ṁ 28 (33)
Q̇ C2 = ṁ 15 h 15 − ṁ 28 h 28 (34)
I˙C2 = Ė 28 + Ė 29 + Ė 14 − Ė 15 (35)
56 V. Jain et al.
Absorber
ṁ 11 + ṁ 13 + ṁ 27 = ṁ 22 (36)
Q̇ A2 = ṁ 22 h 22 − ṁ 11 h 11 − ṁ 13 h 13 − ṁ 27 h 27 (37)

I˙A2 = Ė 15 + Ė 13 + Ė 27 − Ė 22 + Ė 16 (38)
Heat Exchanger
ṁ 25 = ṁ 26 (39)
ṁ 23 = ṁ 24 (40)
ṁ 25 h 25 − ṁ 26 h 26 = ṁ 23 h 23 − ṁ 24 h 24 (41)

I˙Hex2 = Ė 23 + Ė 25 − Ė 24 + Ė 26 (42)
Pump
Ẇ P2 = vLiBr/H2 O (PA − PG ) (43)
I˙p2 = Ė 22 − Ė 23 + Ẇ A (44)
Necessary arguments and parameters required for the analysis of the working of
the system, with respect to first two laws of thermodynamics, are: the irreversibility
of components and the whole system, the COP and the exergy efficiency.
Now, since COP work has been worked out already, therefore efficiency of our
system is calculated already.
The irreversibility for whole cycle I CYCLE is framed as
I˙CYCLE = I˙C(1+2) + I˙G(1+2) + I˙E(1+2) + I˙A(1+2) + I˙G(1+2) + I˙Hex(1+2) + I˙P(1+2)

(45)
Exergy efficiency can be estimated as
I˙CYCLE
ηsecond_ law = 1 − (46)
ExergyIN
ExergyIN = Q̇ G1 ∗ Carnot1 + Q̇ G2 ∗ Carnot2 + Ẇ P1 + Ẇ P2 (47)


T0
Carnot1 = 1 − (48)
Tgh1
where

TING1 + 273.15 − TOUTG1 + 273.15
Tgh1 =
(49)
(T +273.15)
ln T ING1 +273.15
( OUTG1 )

T0
Carnot2 = 1 − (50)
Tgh2
where

TING2 + 273.15 − TOUTG2 + 273.15
Tgh2 =
(51)
(T +273.15)
ln T ING2 +273.15
( OUTG2 )
4 Results and Further Discussion
The thermodynamic CAR model depicted is applied to examine the performance of

CAR as shown in Fig. 1. In the study done, the thermodynamic model contains very
high nonlinear behavior equations and is solved with the help of software package
Engineering Equation Solver (EES) (Klein, 2015). Many scholars and researchers
who are working around the world in the area of refrigeration used EES for the ther-
modynamic modeling of their refrigeration systems. EES determine and combine
equations that must be solved at same time on its own. This feature eases the oper-
ation for the operator and makes sure that the solver will always work at optimal
efficiency. EES uses a technique of Newton’s method to solve systems of nonlinear
algebraic equations. EES is made such so as to provide various built-in functions like
mathematical and thermophysical property functions. After deriving the complete
model, the process of simulation of the CAR is started under the variety of loading
and design conditions.
The refrigerant mass flow rate in NH3 /H2 O and LiBr/H2 O is 0.146 kg/s and
0.193 kg/s, respectively. Considering the data of low-grade and high-grade energies
of various components of CAR, rate of heat transfer in generator of NH3 /H2 O and
LiBr/H2O is 280.80 kW and 569.60 kW, respectively, whereas the circulation ratio
of two systems is determined to be 2.48 and 13.19, respectively. The rate of heat
transfer for condenser and absorber is 216.70 kW and 239.80 kW, respectively, for
NH3/H2O sub-system, whereas for LiBr/H2 O sub-system, values come out to be
485.30 kW and 540.70 kW, respectively. The pump’s effect on total energy inputs is
determined as negligible.
58 V. Jain et al.
The COP of NH3 /H2 O and LiBr/H2 O sub-systems is 0.6246 and 0.8015,
respectively. The total COP of CAR system is determined as 0.206.
After determining the COP of the components as a whole, exergy analysis has
been done to identify the irreversible losses and exergy efficiency of the novel CAR
system. Exergy analysis is a tool of great importance to locate the usage of useful
energy (exergy) which is required to proceed the thermodynamic processes. The
irreversibility rate of entire cycle comes out to be 135.90 kW; whereas the exergy
efficiency is 24.1%. Exergy input given to the system is 814.22 kW. The maximum
irreversible losses (29.32 kW) occur in the generator of NH3 /H2 O sub-system as
the thermal gradient is high. Higher is the temperature difference, higher will be
irreversible losses. Hence, generator of NH3 /H2 O sub-system is the most sensitive
component of the proposed CAR. The most efficient component of CAR system is
pumps and pressure-reducing valves, wherein the zero entropy generation has been
observed. In reducing order of irreversible losses, various components of CAR could
be aligned as generators, absorbers, condensers, heat exchangers, evaporators and
expansion valves.
5 Conclusions
CAR is made to produce −20 °C cold energy by consuming waste heat of low
grade. To establish the above-depicted system, model is built in EES, according
to the process data. A parametric study is performed to give the guidance for the
system design which is based on the model. Regarding the features of CAR, two sub-
systems are analyzed separately from each other. In NH3 /H2 O AR cycle, the energy
usage degree and other arguments are determined by concentration range which
is similar to LiBr/H2 O AR cycle. This study provides efficient and an innovative
lead to produce high-caliber cold energy using the redundant heat of low grade.
CAR system is designed to attain a maximal coefficient of performance and exergy
efficiency. The COP of the fashioned CAR is 0.206. The exergy efficiency of the
system is found to be 24.1%. Generator of NH3 /H2 O sub-system is the most sensitive
component of the proposed CAR, whereas the most efficient components are pumps
and pressure-reducing valves.
References
1. Chandhok M, Sachdeva S, Jain V. Energy analysis of combined hybrid absorption refrigeration

system. ISBN: 978-93-86256-88-1
2. Lian HK, Li Y, Shu GY, Gu CW (2011) An overview of domestic technologies for waste heat
utilization. Energy Conserv Technol 166(29):123–133
3. Gutiérrez-Urueta G, Huicochea A, Rodríguez-Aumente P, Rivera W. Energy and exergy analysis
of water-LiBr absorption systems with adiabatic absorbers for heating and cooling
4. Talbi MM, Agnew B (2000) Exergy analysis: an absorption refrigerator using lithium bromide
and water as the working fluids. Appl Therm Eng 20:619–630
5. Şencan A, Yakut KA, Kalogirou SA (2005) Exergy analysis of lithium bromide/water absorption
systems. Renew Energy 30:645–657
6. Orosuk T, Tsatsaronis G (2000) A new approach to the exergy analysis of absorption refrigeration
machines. Energy 33:890–907
7. Chinnappa JCV, Crees MR, Srinivasa Murthy S, Srinivasan K (1993) Solar-assisted vapor
compression/absorption cascaded air-conditioning systems. Sol Energy 50(5):453–458
8. Kairouani L, Nehdi E (2006) Cooling performance and energy saving of a compression–absorp-
tion refrigeration system assisted by geothermal energy. Appl Therm Eng 26(2–3):288–294
9. Xu Y, Chen F, Wang Q, Han X, Li D, Chen G (2015) A combined low-temperature absorption–
compression cascade refrigeration system. Appl Therm Eng 75:504–512
Geothermal Energy: An Effective
Resource Toward Sustainability
Suman Das and Arijit Kundu
Abstract Recently, the world’s biggest issue is climate change due to the greenhouse
gas emissions of several conventional technological applications and exhaustion of
fossil fuels. Thus, the importance has been given on the research of renewable energy.
Geothermal energy is a such renewable energy source of the earth. Geothermal
energy is the infinite source of energy, maintained to the nearly invariable level of
temperature into the earth at a certain depth, almost throughout the year. This concept
is being used as a sink for the geothermal heat pump coupled with a geothermal heat
exchanger. This research paper assesses the recent projects and the advancement of
the geothermal heat pump using for cooling and heating purposes or other business
purposes in India. By using geothermal energy, power consumption can be reduced
up to 50–60%.
Keywords Geothermal · Renewable · Underground · Heat exchanger · Heat pump
1 Introduction
Before, the air-conditioning devices were used as luxurious equipment, but in recent
years, it becomes a necessity in daily life. Therefore, the demand of energy for cooling
purposes has been increased. To meet this requirement, more amounts of fossil fuels
have been burnt, and as a result, more amount of CO2 has been produced and as
well as global warming has been increased. For reducing global warming problems,
geothermal energy can be used to cool the desired space [1]. In India, 30% of total
electricity has been consumed by the commercial sector-sand residential equipments.
Out of this, 60% of electricity is used for cooling purposes [2].
Geothermal energy is an energy that is stored into the earth as a temperature. This
geothermal energy is being generated by the absorption of solar energy on the earth’s
surface and radioactive decompose of minerals. Geothermal heat is evaluated around
5500 °C at the earth’s core, similar to the temperature of sun’s surface [3].
S. Das (B) · A. Kundu

Jalpaiguri Government Engineering College, Jalpaiguri 735102, India
e-mail: sdas5271@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_6
62 S. Das and A. Kundu
1.1 Utilization of Geothermal Energy
The geothermal energy can be utilized in two ways such as given below [4],
• Drilled bore wells at geothermal fields and use the hot water or gas of these bore
wells to generate electricity.
• By using geothermal heat pump with a geothermal heat exchanger for space
cooling and space heating.
1.1.1 Drilled Bore Well Technologies
Electricity can be produced in three ways by drilling bore wells as given below.
Dry Steam Power Plant
This is one of the simplest types of geothermal power plant. Dry steam-type power
plant was first established at Larderello, Italy, in 1904. This technology is currently
used in Northern California. This type of power plant uses hydraulic fluids which are
available primarily in the vapour state. The stream travels from the bore wells of the
geothermal field directly to the turbine and operates that. Then, the turbine operates
the generator and the generator produces electricity. This hot steam eliminates the
necessity to burn the fossil fuels and also eliminates the cost to store the fossil fuels
[5].
Flash Steam Power Plant
Among three types of geothermal power plant, flash steam power plant is the most
popular type of the geothermal power plan. Fluid (>182 °C) is pumped into a tank
under high pressure where the pressure of fluid has been dropped certainly and some
amount of fluid has been rapidly vaporized or flashed. Then, the vapor spins the
turbine, and then, the turbine starts to operate the generator for producing electricity.
If any fluid stays back into the tank, then it has been flashed in a secondary tank
to extract more energy. The steam is usually compressed in a direct contact-type
condenser, in which the cooled water of the cooling tower has been scattered into the
tank and has been mixed with the steam. Then, the circuit of the cooling water has
been formed by condensed steam, and a decent part is evaporated and is distributed
into the outside environment through the cooling tower. Then, the surplus cooling
water is released to the skin-deep injection wells. Alternatively, tube-type condenser
and direct contact condenser’s shell are being used sometimes, as shown in Fig. 1b.
In this plant, the compressed steam does not touch the cooled water and has been
released in injection wells. The size of this type of power plant has been varied
from 5 MW to over 100 MW. Depending on the specifications of steam, pressures,
Geothermal Energy: An Effective Resource Toward Sustainability 63
a. Dry steam Power Plant b. Flash steam Power Plant
c. Binary Cycle Power Plant
Fig. 1 Classification of geothermal power plant [6]
gas contents and design of power plant, the steam is required between 6100 kg
and 9100 kg per hour for producing 1 MW electrical power. Small power plants
(<10 MW) are defined as wellhead units. It requires only the vapor of a single well,
and it is installed alongside to the well on the drilling pad for reducing pipeline costs.
This wellhead unit consists of backpressure unit instead of condenser. Although the
installation cost of this type of small power plant is very low, efficiency is low and
also has a higher environmental impact [4, 5].
Binary Cycle Power Plant
Where the reservoir’s temperature is below 220 °C but above of 100 °C, binary cycle
plant is being used. The reservoir fluid has been flowed through a heat exchanger
to heat another working fluid of boiling point less than 100 °C. This fluid should
be an organic fluid for example isopentane which has been vaporized, and then, the
vapor drives the turbine. Then, the organic fluid has been compressed in an identical
Geothermal Heat Horizontal Loop

Exchanger Closed Loop
Vertical Loop
Open Loop
Fig. 2 Classification of geothermal heat exchanger
manner like a flash steam power plant to the steam, but here, a shell-and-tube type
condenser is not used. The heat is moved through the direct contact as shown in
Fig. 1c. The fluid of a binary cycle plant has been recycled and stored into the heat
exchanger to form a closed loop. Then, the fluid of cooled reservoir has been sent
back into the reservoir. Depending on the primary geothermal fluid’s temperature,
the efficiency of binary cycle-type power plants is varying from 7 to 11%. The size
of this power plant is varying between 500 kW to 10 MW [6].
1.1.2 Geothermal Heat Pump Technologies
At a particular depth, the underground temperature stays constant for all over the year.
So, this technology uses this temperature for space cooling and heating. To use this
temperature, a geothermal heat exchanger should be installed with the geothermal
heat pump at the particular depth of the ground. On the basis of installation, the
geothermal heat exchanger can be categorized as shown in Fig. 2.
Open Loop
This type of geothermal heat exchanger is also called earth loop where the under-
ground water has been used for cooling or heating purposes as shown in Fig. 3a. The
geothermal heat pump delivers the water from the well to the coil of heat exchanger
and then returns to the earth.
Horizontal Closed Loop
This type of geothermal heat exchanger is generally installed for commercial

purposes where enough amount of land is available because its installation cost
is lower than other types of geothermal heat exchanger. It requires channels at least
two feet to four feet deep. Generally, in a horizontal closed-loop system, the pipes
of the geothermal heat exchanger are installed in a parallel manner to each other as
shown in Fig. 3b. Although in some cases, the pipes are installed in slinky ways as
shown in Fig. 3c because it allows more pipes in a shorter trench.
a. Open b. Parallel
c. Slinky d. Vertical
Fig. 3 Different types of geothermal heat exchanger [7]
Vertical Closed Loop
Vertical closed-loop heat exchanger has been used in large commercial buildings
and schools because it requires a small land area. It is also used where shallow soil
trenching is needed. For a vertical loop, four inches in diameter holes are being drilled
about 15–20 ft distance and at 120–450 ft deep. Then, two pipes are installed in a
hole, and pipes are linked by the bottom side using U-bend pipe to design a vertical
loop. The upper side of the vertical loops is linked through a horizontal pipe which
is placed in channels and connected with the heat pump which is installed into the
building as shown in Fig. 3d [7, 8].
2 Historical Background
Recently, the historians found that humans have used hot spring for bathing from
Paleolithic Age. It is an example of direct utilization of geothermal energy. At first,
Romans started to use the geothermal energy for commercial purposes. They used
the water of hot springs for heating the room. At this time, the hot spring’s water was
also channeled to public baths which were not free to use. These are all the examples
of direct uses of the geothermal energy [9].
For the indirect uses of the geothermal energy, geothermal heat pump should be
installed which was invented by Lord Kelvine in the year of 1852, although this device
was used for the first time for drawing heat from the earth by Heinrich Zoelly in the
year of 1912. In 1940, Robert C. Webber used the homemade 2.2 Kw geothermal
heat pump as a direct heat exchange system. In 1946, J. Donald Kroeker designed
geothermal heat pump for commercial geothermal heating for the first time. Then, it
was installed into the Commonwealth Building, Poland. Open-loop geothermal heat
pump was cultivated by Professor Carl Nielsen of Ohio State University, USA, in
1948 for the first time. Then, in 1973, due to the oil crisis in Sweden, this technology
was used and got popularity. After that, this technology got a global acceptance as a
renewable energy source [10].
3 Literature Reviews
Yu et al. [11] conducted the study to evaluate the performances of a geothermal

cooling system connected with a geothermal heat exchanger and a solar chimney
enhanced with solar collector, in terms of soil thermal capability, passive cooling
capability and active cooling capability. The result indicates that in the vertical level
of the ground, a higher temperature gradient leads to lower heat dissipation than that
in the horizontal level of ground. The connected geothermal system is sensible to
provide cooled atmosphere in regular working mode without using electric power.
Hepbasli et al. [12] did a study on the advancement of geothermal energy utilization
in Turkey and did analysis on the historical development and opportunities of this
system. After analyzing, it has been concluded that GSHP system is economically
acceptable to the traditional room heating or cooling systems used in Turkey. The
fundamental obstacle for marketing the GHP systems in Turkey is the higher instal-
lation cost of geothermal heat exchangers. Soni et al. [13] reviewed the experiment
of geothermal heat exchanger system with parallel pipelines at Bhopal, India. The
experimental setup consisted of three galvanized iron. The internal diameter of each
pipe was 64 mm, and the length of each pipe was 3 m. The pipes were connected in
a parallel way to common exhaust and intake. And the total setup of the geothermal
heat exchanger was installed in a flat land at 1.5 m depth which is consisting of dry
soil. Research concluded that at 1.5 m depth, the temperature difference of air at inlet
and outlet sections is varied from 4.18 to 8.6 °C and the COP is varied from 6.4 to
3.6 when the air velocity is varied in a range of 4.1–11.6 m/s. This experiment also
shows that the lower air velocities resulted in higher temperature differences and
higher COP. The ground source heat exchanger has been installed at IIT Roorkee for
performing the experimental study of the thermal performances of geothermal heat
pump for space cooling and heating and found that the average COP of the GHP
system achieved during room cooling mode was 20% less than the value achieved
BEFORE GEOTHERMAL AFTER GEOTHERMAL

Free
Heating and Geothermal
A.C. 64% 51%
Heating and
A.C. 19%
Hot Water
22%
Hot Water
16%
Other 14%
Other 14%
Fig. 4 Energy savings by geothermal heat pump
for heating mode operation [14]. Dhepe et al. [8] reviewed on the advancements
of geothermal heating and cooling system in India and found that the electricity
consumption of HVAC system with using geothermal heat exchanger is saving up to
51% as shown in Fig. 4b.
Soni et al. [15] studied on hybrid GCHE systems in comparison with the passive
renewable systems and showed that GCHE systems are being widely implemented,
preferably in the locations where the fluctuation level of ground temperature is high.
On the basis of ground covered by the ground heat exchanger, a hybrid EAHE system
with evaporative cooler can increase the cooling effect by 70%. And the COP of the
evaporative cooling system can be doubled by the using of GHP with itself. Bisoniya
et al. [16] reviewed on the experimental and analytical studies of EAHE systems
around the world especially on the EAHE systems of the Indian universities and
concluded that the EAHE systems can minimize the energy consumption up to 60%
by preheating air for providing to buildings in winter and reversed in summer. Florides
et al. [17] showed that vertical loop geothermal heat exchangers are more expensive
than horizontal loops to install, but require small area and less piping is required than
horizontal loops because the underground temperature becomes cool in summer and
warm in winter, compared to the atmospheric air temperature. It also showed that
slinky types of horizontal loops are more effective than parallel horizontal loops.
4 Geothermal Energy Sources and Projects in India
4.1 Snow and Avalanche Study Establishment (SASE),

Manali
Snow and Avalanche Study Establishment (SASE) is a research center of the Indian
Defense Force’s Research departments (DRDO) situated at Manali. DRDO decided
to install a geothermal heat pump system in this site to provide heat energy to the
SASE research center because in this region, higher geothermal flux is present. From
this project, DRDO tried to evaluate the amount of electricity saving and COP of the
system [18]. Before installing the setup, a test borehole of 102 m depth and 127 mm
diameter was drilled to test the soil for getting confirmation of the GCHP system
installation. After approval of the site, 27 boreholes were digged and high-density
polyethylene pipes of 5200 m were installed into these boreholes and pipes are
formed a vertical U-shaped closed loop into the ground. After installation, a closed-
loop network has been coupled to a geothermal heat pump system of 100Kw capacity.
A closed-loop network has been filled with a mixture of 25% mono-ethylene glycol
with water (antifreeze solution). And R410a has been used as a refrigerant. From
this project, DRDO evaluates that the total energy saved for room heating purposes
is about 67% and the COP of the system has been calculated as 3.1 [19].
4.2 Puga Valley Geothermal Project, Ladakh
A huge number of hot springs are located at Puga Valley, Ladakh. The temperature of
these hot springs is varied from 30 to 90 °C. The discharge rate has been determined
as 310 L/min, and the range of geothermal gradient has been observed between 0.35
and 2.5 °C/m. Using this energy, very small-scale operations can be executed such
as greenhouse planting, poultry breeding and heating of desired space [20]. Also,
the research work has been done at Puga valley under 2 km depth and found that
5000 MWh geothermal energy is available at Puga valley, and this energy can be
used to establish 20 MW geothermal power plant which can save three million liters
of diesel per year, or in other words, this power plant can save $2 million per year
[21].
4.3 Indian School of Business (ISB), Mohali
The headquarter of ISB has been situated at Hyderabad. One campus of ISB has been
established at Mohali. The buildings of this campus spread over 70 acres, and all
buildings are covered by a central A.C. In this campus, all air conditioning system
has been linked with geothermal heat pump system. For using geothermal energy,
the whole air-conditioning system saves 1.2 million KWh power per year, and on
power bill, Rs. 87.16 lakhs have been saved annually.
4.4 Four Seasons Hotel, Mumbai
Four Seasons Hotel is a luxury five-star hotel in Mumbai. Before the installation of
GHP system, the hotel’s monthly power bill was Rs. 40 lakhs. But after the coupling
of GHP system with an air-conditioning system, the monthly power bill has been
reduced to Rs. 10–15 lakhs [22].
4.5 Geothermal Heating and Cooling System, Dholera,

Gujarat
This system was established by the cooperation of Green India Building Systems
and Services (GIBBS), Pandit Deendayal Petroleum University (PDPU) and Centre
of Excellence for Geothermal Energy (CEGE). It was inaugurated on December
13, 2016. Two bore wells of 1000 ft depth have been drilled which provide 45 °C
water. This GHP system provides some facility to the Swami Narayan Temple. The
cooled water of the system is used for cooling purposes into the temple premises.
The output from the heating side is utilized as an input to Organic Rankine Cycle
(ORC) for producing power. It serves hot water for cooking food, bathing, a 32TR
capacity of cooling, etc. It not only helps to decrease the consumption of water and
CO2 radiation, also 20% to 50% of energy use is reduced with the help of this system
without the use of any chemical products [23].
4.6 Tatapani Geothermal Field, Chhattisgarh
Tatapani geothermal field has been located on the Son-Narmada lineament in the
Balrampur district of Chhattisgarh. Chhattisgarh government takes a decision to set
up the first geothermal power plant of India in this location. The MoU has been signed
between National Thermal Power Corporation (NTPC) and Chhattisgarh Renewable
Energy Development Agency (CREDA) for this project. In this project, CREDA acts
as a coordinator and the duty of designing, establishing, financing, maintaining and
operating of the project has been handled by the NTPC. Geological Survey of India
has already drilled five bore wells of 1500 m depth at the Tatapani geothermal field
which discharges the hot water of above 100 °C on the surface. The average reservoir
temperature has been measured around 157 °C by the silica geo-thermometer. After
completing all research works, researchers concluded that from these bore wells,
10.9 MW electricity can be produced by a binary cycle method at 10% plant efficiency
[24].
4.7 Manikaran Geothermal Field
Manikaran geothermal field is situated in Himachal Pradesh at an elevation of 1760 m

(approx.). On the right bank of Parbati River, geothermal activity has been occurring
at a distance of 1.30 km (approx.), and on the left bank of the Parbati River, geothermal
energy manifests itself over a distance of 450 m (approx.). The range of generated
temperature on the right bank of the river is 30–95 °C, and on the other side, the
range of generated temperature is 26–38 °C. Nine bore wells have been drilled at
Manikaran, and the maximum depth is 715 m. The maximum thermal discharge from
a single bore well is 7 L/s, and total discharge from nine bore wells is 100 tons/h.
To utilize this geothermal energy, cold storage of 7.5 ton capacity (based on NH4
absorption) had been installed, and also, 5 Kw pilot power plant which is operated
by the binary cycle principle was established for the test run [25].
4.8 West Coast Geothermal Field
Sixty hot springs are spread over 350 km of the West Coast area in Maharashtra.
The belt covers mainly Raigad, Ratnagiri and Thane districts of Maharashtra.
The hot spring areas have been allocated into three different groups in the West
Coast. Southern sector consists of eight hot springs situated at Aravalli, Khed,
Sangameshwar, Tural, Rajapur and Rajawadi Math. Central sector consists of four
hot springs situated at Vadavli, Sov, Unahvre and Pali. The northern sector consists
of six hot springs situated at Paduspada, Koknere, Akloli, Haloli, Ganeshpuri and
Sativli. The geochemistry of hot spring water of Rajapur is a bicarbonate type. The
water of all other hot springs in the West Coast are of alkali chloride type. Twelve
experimental boreholes had been bored at the depth from 50 to 550 m in the West
Coast areas. The minimum temperature range of maximum geothermal fields of the
West Coast is 100–130 °C. Four bore wells have been drilled the Ganeshpuri–Akoli
range. Six bore wells have been drilled at Unhavare, and two bore wells at Tural–
Rajwadi range. After studying all reports which are collected from these bore wells,
it has been observed that enough amount of hot water can be delivered by drilling
small production wells at Khed, Unhavare, Ganeshpuri–Akloli range, Tural–Rajwadi
range and Sativli hot spring areas. Ganeshpuri hot springs are famous among tourists
for taking a hot water bath. Maharashtra government plans to use these geothermal
fields effectively for the development of animal husbandry, “Sauna baths,” freshwater
fish breeding, poultry farming and greenhouse production on a large scale to hike the
production of vegetables which will help to gain the higher economy of the country
[26].
5 Conclusion
Ground source cooling system and geothermal energy provide a lot of benefits
and facilities to the whole world as well as to India. The total capacity of an
installed system which is being operated through geothermal energy, in the world
is 12,000 MW, while the installed capacity of the same in India is almost 203 MW
which is very less amount with respect to the planet. India is developing day by day
in this field. Many Indian companies are collaborating with several famous compa-
nies of the world for installing more geothermal power plant in the future. Many
geothermal fields are being discovered in India, and the research work has been
continued on these geothermal fields. By using geothermal energy efficiently, the
economy of India will be raised day by day, and also, it helps to reduce greenhouse
gas emissions.
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cooling system with earth tube and solar chimney. Appl Energy 114:209–217
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thermal performance of a ground source heat pump system installed in a Himalayan city of
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applications. Renew Energy 32(15):2461–2478
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based geothermal heat pump system for space heating in the Himalayas. In: Proceedings of
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Analysis of Double Square Loop FSS
for Transmission Mechanism
Rahul Shukla and Garima Tiwari
Abstract In this article, we study the typical double square frequency selective
surfaces (FSS) structure with its dual stop-band behavior. These frequency selective
surface designs are etched over the FR4 substrate to attenuate the signal of 3–4.8 and
10.4–16.8 GHz frequency band and let transmit rest of other microwave signals. The
unit cell structure consists of double square loop, and these two loops are responsible
for the dual-band effect. In this article, we also study the performance and analysis
of the double square FSS transmission mechanism with the help of the simulation
software and also from the equivalent circuit model (ECM). This design of FSS was
obtained by performing the parametric simulation which gives the most optimized
result. On the other side, a simple equivalent model has been proposed the simple and
reliable equation close to provide the understanding of the transmission mechanism.
In this analysis, each and every parameter of the design under the parametric tuning
on the structure of the FSS observes the effect in the resonance and bandwidth.
On performing the parametric simulation for the optimized resultant transmission
coefficient S21, it provides the capacitance (C) and inductance (L) relation with
frequency [1]. The equivalent circuit modeling result is shown approximately in a
good concord with HFSS simulation result.
Keywords Square loop · Equivalent circuit model (ECM) · Simulation · FSS ·

Optimization
R. Shukla (B) · G. Tiwari

Department of EC, Jabalpur Engineering College, Jabalpur, Madhya Pradesh, India
e-mail: rahul.shukla.25m@gmail.com
G. Tiwari
e-mail: garima.tiwari29@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_7
74 R. Shukla and G. Tiwari
1 Introduction
Frequency selective surfaces (FSS) have been mostly used in various applications
like antenna gain modifier, spatial filters, and dichroic reflector. A large number of
articles describe the function of the FSS as the band-pass filter and band-stop filters.
In this article, we study the array elements having double resonant frequency selec-
tive surface with transmission analysis. In this study, the transmission S21 mechanism
because in the field of communication devices increases rapidly due to this reason
interference increases which are harmful for the safety systems and also downgrade
the capability of systems. In order to overcome this problem, FSS is used. The designs
of frequency selective surface attenuate the signal of frequency range of 3–4.8 and
10.4–16.8 GHz and transmitting other microwave signals.
In this paper, we also use the equivalent modeling circuit methods which are
efficient and common technique to validate the software simulation results. FSSs can
be modeled in the equivalent circuit as the energy storing component as inductive
and capacitive which depends on the design and structure of the frequency selective
elements. Equivalent circuit model has been proposed and it derives the efficient and
reliable equations which depend on the parameter of FSS structure that provide the
appropriate result which helps to understand the transmission mechanism of double
square FSS. In this case, with the help of the equation, calculate the capacitance (C)
and inductance (L); in the equivalent modeling circuit, capacitance and inductance
are connected in series and that combination connected in parallel or FSS follows the
periodicity so that this combination of capacitance and inductance is connected in
parallel, so calculate its transmission coefficient of double square loop FSS [2]. As
per the observation for the high transmission coefficient, there must be appropriate
matching of with the free space. For the maximum transmission mechanism, the real
part of input impedance of the structure must be approximate to free space impedance
(377 ).
2 Design of FSS
Figure 1a demonstrates the dimensions of unit cell of typical double square FSS.
We can use optometric method to optimize the parameters of unit cell so that it
can provide sufficient attenuation at 3–4.8 and 10.4–16.8 GHz bands. FSS structure
basically consists of two layers as substrate and perfect conducting layer. Design of
FSS is obtained by etching the perfect electric layer over the substrate to obtain the
double square FSS.
While designing the double square FSS for the bandwidth of each frequency band
in order to achieve band-stop element, we have to make sure that for which frequency
band we are designing it and frequency band depends on the dimensions of unit cell.
The square loop elements are designed over FR4 substrate with thickness t = 1.6 mm
and dielectric permittivity 1r = 4.4 [3]. When we design double square FSS in an
Analysis of Double Square Loop FSS for Transmission Mechanism 75
Fig. 1 Double square FSS a HFSS designs structure, b Equivalent circuit design
equivalent circuit model, the inductive components are in series with capacitive
components.
√ The resonant frequency of the FSS is inversely proportional to the
CL [4]. To tune the upper resonant frequency fr2 at 13.5 GHz, we need to optimize
the length of inner loop D2 to 8 mm. In the same way, to tune the lower resonant
frequency fr1 at 4.1 GHz we need to optimize the length of outer loop D1 to 12 mm.
The width of the outer loop S1 = 1 mm and inner loop S2 = 2 mm is optimized. This
structure is designed over the thin layer of the substrate FR4 (loss tangent 0.0002
and dielectric constant 4.4) with thickness of 1.6 mm. The transmission property of
the square loop FSS is evaluated through the simple and accurate equivalent circuit
(EC) modeling as shown in Fig. 1b [5]. EC method is the best alternative way for the
full-wave simulation analysis for the FSS design. The frequency selective surface
can be designed by equivalent circuit modeling as the resonant circuits be formed
by parallel combination of the two series capacitive (C) and inductive (L) resonator.
The values of C and L are basically affected by the dimension of the conducting
strips and the spacing between them. If the transverse electric (TE) wave incident
then vertical line acts as the L (impedance) and the horizontal grating acts as the C
(impedance) [6, 7].
In the case of the EC modeling, value of the L and C can be obtained by Eqs. (1)
and (2) in which the d, g, p, and s are dimensions of the double square loop as shown
in Fig. 1a and θ is incidence angle which is related to the normal incidence [8]. The
parameter ‘W ’ and ‘P’ as shown in Eqs. (4)–(7) should be modified on the basis of
Eqs. (1) and (2).
Xc
Inductance: = F(P, s, λ) (1)
Zo
Bc
Capacitance: = 4F(P, s, λ) (2)
Yo
where

P Πs
F( p, s, λ) = ln cosec + G(P, s, λ) (3)
λ 2P
and G is the correction term.
L f 1 = 2 ∗ (L 1 //L 2 ) ∗ (d1 /P) where, L 1 = F(P, W1 , λ) (4)
and
L 2 = F( p, W2 , λ)
C f 1 = 0.75 ∗ C1 ∗ (d1 /P) where, C1 = 4 ∗ F(P, g1, λ) (5)
L f 2 = L 3 ∗ (d2 /P) where, L 3 = F( p, 2 ∗ W2 , λ) (6)
C f 2 = (C1 in series with C2 ) ∗ (d2 /P) where C2 = 4 ∗ F( p, g2 , λ) (7)
3 Result and Discussion
Parametric simulation is basically used to optimize the simulation result. In this, para-
metric simulation of electromagnetic (EM), simulation software HFSS and equivalent
equation are performed which yield the result for the double square FSS [9]. A wide
set of parametric simulations are performed over the different parameter of the square
loop FSS such as d1, g1, s1, s2, and d2. As the parametric simulation is performed
over the different parameters of the FSS element, as a result, we get optimized results
as d1 = 12 mm, d2 = 8 mm, s1 = 1 mm, s2 = 1 mm, g = 1 mm with substrate
thickness of t = 1.6 mm of FR4 with permittivity is 4.4 and loss tangent is 0.002
(Fig. 2).
The most optimized result is obtained after the parametric simulation on the
parameter of double square FSS. This optimized result is compared with the ECM
results for the validation of the dual-band frequency selective surface curve [10].
In both the cases, HFSS simulation and the ECM results are approximate in fine
concord to each other as shown in Fig. 3.
Analysis of Double Square Loop FSS for Transmission Mechanism 77
Fig. 2 HFSS simulation results of double square FSS
Fig. 3 Optimized double square frequency response
4 Conclusion
In this article, analysis of the working of double square loops element for the S21
mechanism is elaborated. At both of the resonant frequency of 3–4.8 and 10.4–
16.8 GHz, the maximum attenuation of more than 37 dB is observed. The suggested
FSS design shows an excellent execution in the remote sensing area and also for the
satellite communication. The equivalent modeling results are in fine concord with
the HFSS software simulation results.
References
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a simple equivalent-circuit model. IEEE Antennas Propag Mag 54:35–48 (2012). Langley
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Development of High-Temperature
Shape Memory Alloys
Shyam Singh Rawat, Raghvendra Sharma, Maneeram Singh Gurjar,

and Manoj Sharma
Abstract Shape memory alloys are vigorous metallic smart materials used as
actuators and sensors in great technology as smart systems. The term shape memory
refers to the ability of certain materials to recall a shape; even later severe plastic
deformations. Many researchers all over the world are engaged in the development
of low-cost, high-temperature and commercially used shape memory alloys. The
present research has been done towards advance a shape memory alloy which is
Ni Free, low-cost, better shape memory effect and contains high transformation
temperature characteristics. The compositions (Cu–Al10.2 –Mn9.5 )100–x Znx (x = 0,
1.5 and 3 wt%) have made by using electrical induction furnace. The same material
is subjected to hot rolling at 850 °C and subsequently follows by quenching in salt
bath. The DSC analysis, tensile test, hardness test, microhardness and grain size
measurement have been done to characterize the material. The microstructure of the
material is also obtained by using optical microscope. In the present investigation,
it found that phase transformation temperature is increased with the addition of the
alloying element. It is also found that tensile strength and percentage of elongation
have increased, and hardness and grain size have decreased.
Keywords Shape memory effect · DSC · HTSMA · Microhardness
1 Introduction
Shape memory materials (SMM) are bringing out by the ability to recover their
innovative shape from a significant and superficially plastic deformation upon a
particular impetus is applied. This is identified such as the shape memory effect
(SME). Metals are regarded as physical qualities as malleability, tensile strength
S. S. Rawat · R. Sharma (B)

Department of Mechanical Engineering, ITM GOI, Gwalior, Madhya Pradesh 474001, India
e-mail: raghvendrasharma.me@itmgoi.in
M. S. Gurjar · M. Sharma
Creation of Work Research Center, Dholpur, Rajasthan 328001, India

https://doi.org/10.1007/978-981-15-5463-6_8
80 S. S. Rawat et al.
and conductivity. Shape memory alloys exhibit what is termed the shape memory
effect (SME). If such alloys are plastically misshapen at one temperature, they will
entirely recover their original shape on being raised to a sophisticated temperature
[1]. In mending their shape, the alloys can produce a displacement or a force as a role
of temperature. In many alloys, amalgamation of both is possible. We can variety
metals change shaping, change position, pull, compress, expand, Bend with heat
as the single activator. Key features of products that possess these shape memory
belongings include high force during shape transformation; large faction with small
temperature change a high firm strength; simple application, because no unique
tools are mandatory; a lot of possible shapes and arrangements; and uncomplicated
to use just heat up. Because of these things, shape memory alloys help to solve a wide
variety of tribulations [2, 3]. In one well-technologically advanced application, shape
memory alloys provide simple and virtually leak-resistant couplings for pneumatic
or hydraulic lines. The alloys have also been demoralized in mechanical and electro-
mechanical is in command of systems to afford, for example, a precise mechanical
comeback to minute and continual warmth changes. The SME can be exploited in
many fields, from aerospace engineering to medical devices [1, 4, 5].
2 Experimental Procedure
First of all, commercially pure Copper-10.2Aluminium- 9.5Manganese (wt%) was

melted in a induction furnace and casted in a steel mould into 1” diameter rods which
were then homogenized at 900 °C for 4 h. Then we took master sample, and then
(1.5, 3 wt%) of Zn was added to the Cu–Al–Mn alloy melt for production of two
different compositions [6, 7]. The homogenized rods were hot-rolled at 850 °C and
transform into 1 mm thickness sheet in multi-steps. These sheets were then cut into
small slices varying from 100 mm × 10 mm × 1 mm using a sheet cutter. All the
samples were solution-treated at 830 °C for 30 min and quench in ice brine. Shape
recovery at different temperature and thermal cycle was studied on sheet specimen,
and other tests are also performed for characterized by the materials [8].
2.1 Tensile Testing
Tensile testing of the alloys was carried out on Tinius Olsen Tensometer (Model–
H25kN). The machine has load capacity of 25 kN. The dimensions of the specimens
were 85 mm 7 mm 1 mm with gauge length of 50 mm which was marked on each
specimen. A stress vs strain diagram was plotted for each sample.
Development of High-Temperature Shape Memory Alloys 81
2.2 Shape Recovery Analysis
The sheet specimens of 50 mm × 6 mm × 1 mm were subjected to a bend test for deter-

mining the shape memory effect (SME) of the specimens by assessing the primary
and ending bend angles just previously heating, i.e. when the sheet samplings were
in the martensitic phase, and instantaneously after heating, i.e., when the samples
backslid to the austenitic phase of the alloys.
2.3 Hardness Measurements
In this project work, hardness was measured by Vickers hardness testing machine.
The indenter was a diamond square-shaped. The load applied was 5 kgf.
HVN = (1.854 ∗ F)/D 2
where
F = Load apply,
D = Avg. length of diagonal of square impression in mm.
2.4 Microhardness Test
Microhardness test was done in Spectro Analysis Labs by Vickers hardness testing
machine on the three samples at a load of 200 gm.
2.5 Grain Size Determination
Grain size was indomitable at Spectro Investigation Labs by means of Intercept open-
scale (Snyder and Graff) method. Grain size fortitude of metals and alloys is carried
out as per IS 4748 & ASTME 112 [3].
2.6 DSC Measurements
Differential scanning calorimeter was used for measuring transformation temper-

atures, i.e. M s , M f , As and Af, of the alloys in under nitrogen gas heaven. From
the temperature range of 0–400 °C, heating rate of 10 °C/min and cooling rate of
10 °C/min were originate to be the prime conditions for DSC testing of Cu–Al–Mn
and Cu–Al–Mn–Zn alloys to determine the transformation temperatures by the use

of the software program of the implement. Extrapolated onset and extrapolated offset
temperatures of M → β and β → M transformation graph are taken as As , M s , Af
and M f temperatures, respectively [9].
2.7 Optical Microscopy
Take pictures from an optical microscope that can be captured by normal light-
sensitive cameras to create a micrograph. Initially, imagery was captured by the
photographic film but current amplifications in CMOS and charge-coupled device
(CCD) cameras allow the capture of digital images. Generally, digital microscopes
are now available which use a CCD camera to look at a trial, performance the resulting
image directly on a computer screen devoid of the need for eyepieces [10].
3 Results and Discussions
Results for (Cu–Al10.2 –Mn9.5 )100–x Znx (x = 0, 1.5 and 3 wt%) under different condi-
tions have been presented in the form of calorimetric analysis. The effect of the Zn on
the TTs is presented first followed by observation of its effect on the microstructure
of the material. The mechanical results are presented in the later sections showing the
correlation of the effects of Zn on the microstructure and the mechanical belongings
of the material.
3.1 Tensile Testing
Tensile experiments were performed on the samples of various compositions. The

following results were obtained which were shown in Table 1.
Figure 1 shows that displays the stress–strain curve of (Cu–Al10.2 –Mn9.5 )100–x
Znx alloys at ambient temperature. The tensile strength of Cu–Al10.2 –Mn9.5 alloy
Table 1 Tensile experiments

Composition (wt%) Tensile strength (MPa) Strain (%)
were performed on the
samples of various Cu–Al10.2 –Mn9.5 + 268.1 3.4
compositions Zn0 (wt%)
Cu–Al10.2 –Mn9.5 + 281.4 5.2
Zn1.5 (wt%)
Cu–Al10.2 –Mn9.5 + 328.5 6.8
Zn3 (wt%)
Fig. 1 Graph showing the effect of increasing wt% of Zn on tensile strength and strain of the
Cu–Al–Mn high-temperature shape memory alloys
has obviously superior by the Zn addition. The highest tensile strength has obtained
in (Cu–Al10.2 –Mn9.5 )97 Zn3 alloy, nearly 328.5 MPa, which is higher than the (Cu–
Al10.2 –Mn9.5 )100 Zn0 (281.4 MPa) and (Cu–Al10.2 –Mn9.5 )98.5 Zn1.5 (268.1 MPa) alloy.
In addition, it is noted that the accumulation of Zn improves the ductility. The elonga-
tion of Cu–Al10.2 –Mn9.5 alloy growths gradually with increasing Zn content. These
effects prove that the proper amount of Zn addition significantly improves the tensile
properties of Cu–Al–Mn alloys.
3.2 Recovery by SMEs
Shape memory effects and testing were performed at different temperatures, and
thermal cycles on the samples of various compositions and the following results
were obtained. Effect of the number of cycle on shape recovery of the Cu–Al–Mn–Zn
high-temperature shape memory alloy at 200 °C temperature is shown in Table 2.
Figure 2 shows that the shape recovery of (Cu–Al10.2 –Mn9.5 )100–x Znx alloy has
obviously decreased by the cycle study. The highest shape recovery has obtained
in (Cu–Al10.2 –Mn9.5 )97 Zn3 alloy, nearly 53%, which is higher than the (Cu–Al10.2 –
Mn9.5 )100 Zn0 (49%) and (Cu–Al10.2 –Mn9.5 )98.5 Zn1.5 (22%) alloys at first cycle. The
highest shape recovery has obtained in (Cu–Al10.2 –Mn9.5 )97 Zn3 alloy, nearly 52%,
which is higher than the (Cu–Al10.2 –Mn9.5 )100 Zn0 (45%) and (Cu–Al10.2 –Mn9.5 )98.5
Zn1.5 (48%) alloys at second cycle. The highest shape recovery has obtained in
Table 2 Shape recovery of the Cu–Al–Mn–Zn high-temperature shape memory alloy at 200 °C
temperature
Composition (wt%) Shape recovery at 200 °C temperature for different
cycle
Ist cycle (%) IInd cycle IIIrd cycle
Cu–Al10.2 –Mn9.5 + Zn0 (wt%) 49 45 33
Cu–Al10.2 –Mn9.5 + Zn1.5 (wt%) 52 48 36
Cu–Al10.2 –Mn9.5 + Zn3 (wt%) 53 52 38
Fig. 2 Graph showing the effect of the number of cycles on shape recovery of the Cu–Al–Mn–Zn
high-temperature shape memory alloys at 200 °C temperature
(Cu–Al10.2 –Mn9.5 )97 Zn3 alloy, nearly 38%, which is higher than the (Cu–Al10.2 –
Mn9.5 )100 Zn0 (33%) and (Cu–Al10.2 –Mn9.5 )98.5 Zn1.5 (36%) alloys at third cycle.
These results prove that the effect of third cycle is more in decreasing the shape
recovery as compared to first and second cycles.
Effect of the number of cycle on shape recovery of the Cu–Al–Mn–Zn high-
temperature shape memory alloys at 300 °C temperature is shown in Table 3.
Zn1.5 (67%) alloys at second cycle. The highest shape recovery has obtained in
Table 3 Shape recovery of the Cu–Al–Mn–Zn high-temperature shape memory alloys at 300 °C
temperature
Composition (wt%) Shape recovery at 300 °C temperature for different cycle
Ist cycle (%) IInd cycle (%) IIIrd cycle (%)
Cu–Al10.2 –Mn9.5 + Zn0 (wt%) 65 60 41
Cu–Al10.2 –Mn9.5 + Zn1.5 (wt%) 74 67 46
Cu–Al10.2 –Mn9.5 + Zn3 (wt%) 79 71 47
high-temperature shape memory alloys with at 300 °C temperature
(Cu–Al10.2 –Mn9.5 )97 Zn3 alloy, nearly 47%, which is higher than the (Cu–Al10.2 –
Mn9.5 )100 Zn0 (41%) and (Cu–Al10.2 –Mn9.5 )98.5 Zn1.5 (46%) alloys at third cycle.
These results prove that the effect of third cycle is more in decreasing the shape
recovery as compared to first and second cycles.
Effect of the number of cycles on shape recovery of the Cu–Al–Mn–Zn high-
obviously decreased by the cycle. The highest shape recovery has obtained in (Cu–
Al10.2 –Mn9.5 )97 Zn3 alloy, nearly 82%, which is higher than the (Cu–Al10.2 –Mn9.5 )100
Zn0 (71%) and (Cu–Al10.2 –Mn9.5 )98.5 Zn1.5 (79%) alloys at first cycle. The highest
shape recovery has obtained in (Cu–Al10.2 –Mn9.5 )97 Zn3 alloy, nearly 75%, which
is higher than the (Cu–Al10.2 –Mn9.5 )100 Zn0 (69%) and (Cu–Al10.2 –Mn9.5 )98.5 Zn1.5
temperature
Cu–Al10.2 –Mn9.5 + Zn0 (wt%) 71 69 45
Cu–Al10.2 –Mn9.5 + Zn1.5 (wt%) 79 74 48
Cu–Al10.2 –Mn9.5 + Zn3 (wt%) 82 75 52
(74%) alloys at second cycle. The highest shape recovery has obtained in (Cu–Al10.2 –
Mn9.5 )97 Zn3 alloy, nearly 52%, which is higher than the (Cu–Al10.2 –Mn9.5 )100 Zn0
(45%) and (Cu–Al10.2 –Mn9.5 )98.5 Zn1.5 (48%) alloys at third cycle. These results
prove that the effect of third cycle is more in decreasing the shape recovery as
compared to first and second cycles.
Effect of the number of cycles on shape recovery of the Cu–Al–Mn–Zn high-
temperature
Cu–Al10.2 –Mn9.5 + Zn0 (wt%) 83 78 69
Cu–Al10.2 –Mn9.5 + Zn1.5 (wt%) 87 82 74
Cu–Al10.2 –Mn9.5 + Zn3 (wt%) 91 87 78
Zn1.5 (82%) alloys at second cycle. The highest shape recovery has obtained in (Cu–
Al10.2 –Mn9.5 )97 Zn3 alloy, nearly 78%, which is higher than the (Cu–Al10.2 –Mn9.5 )100
Zn0 (69%) and (Cu–Al10.2 –Mn9.5 )98.5 Zn1.5 (74%) alloys at third cycle. These results
prove that the effect of third cycle is less in decreasing the shape recovery as compared
to first and second cycles.
3.3 Hardness Testing
Vickers hardness testing was done on the samples of various compositions at 5kgf,
and the following results were obtained shown in Table 6.
Figure 6 shows that the hardness of Cu–Al10.2 –Mn9.5 alloy has been obviously
decreased by the Zn addition. The lowest hardness has obtained in (Cu–Al10.2 –
Mn9.5 )97 Zn3 alloy, nearly 286 HV, which is lowest than the (Cu–Al10.2 –Mn9.5 )100
Zn0 (326 HV) and (Cu–Al10.2 –Mn9.5 )98.5 Zn1.5 (305 HV) alloys. The hardness of
Table 6 Vickers hardness testing was done on the samples of various compositions at 5kgf
Composition (wt%) Vickers hardness (HV)
I reading II reading III reading IV reading Average
Cu–Al10.2 –Mn9.5 + Zn0 (wt%) 334.38 317.02 322.65 332.38 326.60
Cu–Al10.2 –Mn9.5 + Zn1.5 (wt%) 306.18 300.97 311.53 302.69 305.34
Cu–Al10.2 –Mn9.5 + Zn3 (wt%) 287.70 289.31 281.40 286.11 286.13
Fig. 6 Graph showing the effect of increasing wt% of Zn on Vickers hardness of the Cu-Al–Mn
high-temperature shape memory alloy
Cu–Al10.2 –Mn9.5 alloy decreases gradually with increasing Zn content. These effects
prove that the proper amount of Zn adding significantly the hardness and increases
the ductility of the alloys.
3.4 Microhardness Testing
Microhardness testing was performed on the samples of various compositions at

200 g load, and the result is shown in Table 7.
Table 7 Microhardness
Composition (wt%) Microhardness Microhardness
testing was performed on the
(range) (average HV)
samples of various
compositions at 200 gm load Cu–Al10.2 –Mn9.5 + 288–292 290
Zn0 (wt%)
Cu–Al10.2 –Mn9.5 + 238–242 240
Zn1.5 (wt%)
Cu–Al10.2 –Mn9.5 + 214–217 215.5
Zn3 (wt%)
Fig. 7 Graph showing the effect of increasing wt% of Zn on microhardness of the Cu–Al–Mn
high-temperature shape memory alloy
The results of hardness and microhardness are coming almost similar. Microhard-
ness of Cu-Al10.2 Mn9.5 alloy has obviously decreased 290HV to 215.5 HV by the
Zn addition as shown in Fig. 7
3.5 Grain Size Determination
Grain size measurement was performed on the samples of various compositions at

100 × magnification. The following results were obtained shown in Table 8.
Figure 8 shows that the grain size of Cu–Al10.2 –Mn9.5 alloy has obviously
decreased by the Zn addition. The lowest size has obtained in (Cu–Al10.2 –Mn9.5 )97
Zn3 alloy, nearly 1.25 mm, which is lower than the (Cu–Al10.2 –Mn9.5 )100 Zn0
(2.25 mm) and (Cu–Al10.2 –Mn9.5 )98.5 Zn1.5 (1.75 mm) alloys. Grain size has reduced
due to hot rolling and Zn addition.
Table 8 Grain size

Composition (wt%) Grain size (mm) Average grain size
measurement was performed
(mm)
on the samples of various
compositions at 100× Cu–Al10.2 –Mn9.5 + 2.00–2.50 2.25
magnification Zn0 (wt%)
Cu–Al10.2 –Mn9.5 + 1.50–2.00 1.75
Zn1.5 (wt%)
Cu–Al10.2 –Mn9.5 + 1.00–1.50 1.25
Zn3 (wt%)
Fig. 8 Graph showing the effect of increasing wt% of Zn on grain size of the Cu–Al–Mn high-
temperature shape memory alloy at 100x magnification
3.6 DSC Result
The following results were obtained by the DSC analysis as shown in Table 9.
Figure 9 shows that DSC graphs of the (Cu–Al10.2 –Mn9.5 )100–x Znx alloys. The
adding of Zn affects the phase conversion temperature of the (Cu–Al10.2 –Mn9.5 )100–x
Znx alloys. Then the rise of the Zn content, martensite transformation temperatures
(M s and M f ) and the lowest value of Ms and Mf is gained while the content of Zn
reaches 0%. However, the Ms and Mf temperatures increase with further increasing
the Zn content. Two contributions may be account for these phenomena. One origi-
nates from the formation of the Zn-rich phase, which causes the change of compo-
sition of matrix. Therefore, the addition of Zn that makes the M s , M f , As and Af
temperature has been improved. Hysteresis loss of alloys has depended on the differ-
ence of the austenite start temperature to martensite start. These effects prove that the
proper amount of Zn addition significantly decreases the hysteresis loss and improves
the transformation temperature of the alloys.
Table 9 DSC analysis

Composition (wt%) Transformation temperatures (°C)
Mf Ms As Af
Cu–Al10.2 –Mn9.5 + Zn0 (wt%) 80 106 95 120
Cu–Al10.2 –Mn9.5 + Zn1.5 (wt%) 90 117 113 128
Cu–Al10.2 –Mn9.5 + Zn3 (wt%) 94 123 120 152
Fig. 9 DSC graph of (Cu–Al10.2 –Mn9.5 )100–x Znx (x = 0, 1.5 and 3 wt%) alloys quenched in ice
brine
3.7 Microstructures
Microstructure was captured by an optical microscope. It was implemented on the

samples having various compositions on different scales shown in Fig. 10. The
following microstructures were obtained the information of the microstructure and
Fig. 10 Microstructure was captured by an optical microscope

the crystal structure of the thermally induced martensite, optical microscopy obser-
vations of different compositions of quenched in ice brine were carried out. The alloy
is in martenstic state at room temperature. The optical micrographs of (Cu–Al10.2 –
Mn9.5 )100–x Znx alloys; obviously, it also delicates the packet size of martensite.
However, prior grain boundaries of “β” phase are also resolved in the microstruc-
ture. This grain size prior presence of “β” phase is reported in earlier section. The
micrograph qualitatively sustains in which the observation reported each. The grain
size is clearly reduced with the increase of Zn content. Additionally, the addition of
Zn markedly changes the microstructure of the Cu–Al10.2 –Mn9.5 alloy. The ternary
Cu–Al10.2 –Mn9.5 alloy exhibits a single martensite phase, whereas all the Zn quater-
nary alloys contain a second phase besides the martensite phase. With the increase
of the Zn content, the volume fraction of the second phase increases gradually. It is
worth noting that the variant interfaces in the martensite show the movement parallel
to one another in each grain with the existence of the second phase.
4 Conclusion
From the current work, it is decided that we can use Zn for the creation of better
shape memory effect, comparatively low-cost and good mechanical properties shape
memory alloy. This can also solve the problem of cost, shape memory effect, and
transformation temperature of Cu–Al–Mn alloy.
• Hardness is diminished from 326 to 286 HV and microhardness is diminished
from 290 to 215 HV with an addition of Zn.
• Grain size is reduced from 2.25 to 1.25 mm at 100× magnification with an addition
of Zn.
• Strain is improved from 3.4 to 6.8% with an addition of Zn.
• Tensile strength is increased from 268 to 328 with an addition of Zn.
• Shape memory properties in these alloys can be improved by adding of Zn.
• Transformation temperature is improved, and hysteresis loss is decreased with an
addition of Zn.
References
1. Ma J, Karaman I, Noebe RD (2010) High temperature shape memory alloys. Lead Edge Rev
55:257–310
2. Huang WM (2012) Shape memory polymers (SMPs)—current research and future applications,
pp 325–357
3. Saburi T, Nenno S (1981) Proceedings of international conference on solid–solid phase
transformations. AIME, Warrendale, p 1455
4. Otsuka K, Ren X (1999) Recent developments in the research of shape memory alloys.
Intermetallics 7:511–528
5. Otsuka K, Wayman CM (1999) Shape memory materials. Cambridge University Press, pp

254–265
6. Sutou Y, Omori T, Wang JJ, Kainuma R, Ishida K (2004) CuAlMn base shape memory alloy.
Mater Sci Eng A 378:278–282
7. Wayman CM, Duerig TW, Melton KN (1990) An introduction to martensite and shape memory.
In: Engineering aspects of shape memory alloys. Butterworth-Heinemann, pp 23–36
8. Machado LG, Savi MA (2003) Medical applications of shape memory alloys. Braz J Med Biol
Res 36:683–691
9. Sidney AH (1997) Introduction to physical metallurgy, 2nd edn. TMH Publication, pp 461–546
10. Otsuka K, Wayman C (1998) Shape memory materials. Cambridge University Press,
Cambridge
FGM Plates with Elliptical
and Rectangular Cutouts Analysis
for Post-Buckling Resting on Elastic
Foundations in Thermal Environments
Rajesh Kumar
Abstract FGM plates with elliptical and rectangular cutouts supported by elastic
properties support for post-buckling and randomness in material under temperature
conditions are studied. The basic formulation is done in MATLAB code SFEM and
first-order perturbation technique for plate thickness and volume fraction index for
(W max /h) with foundation parameters. Outcomes of investigation are compared for
validation with published work and MCS. Applicability of this study is in aerospace
engineering.
Keywords FGM plates · Random material properties · Elastic foundations ·

Elliptical cutouts
Nomenclature
Aij, Bij, etc. Laminate stiffness

Vf , Vm Poisson’s ratio of fiber and matrix, respectively
V m, V f Volume fraction of fiber and matrix, respectively
Kl, Linear bending stiffness matrix
R. Kumar (B)
Department of Mechanical & Aerospace Engineering, NIET, NIMS University,
Jaipur, Rajasthan, India

https://doi.org/10.1007/978-981-15-5463-6_9
96 R. Kumar

p
C i jkl Reduced elastic material constants
element
u, v, w Displacements of a point on the midplane of plate
u1, u2, u3 Displacement of a point (x, y, z)
σ i j , εi j Stress vector, Strain vector
ψ y , ψx Rotations of normal to midplane about the x- and y-axes, respectively
ω, ω Fundamental frequency and its dimensionless form
T, C, Difference in temperatures and moistures
α1, α2, β 1, β 2 Thermal expansion and hygroscopic coefficients along x- and
y-direction, respectively
1 Introduction
FGM plates with elliptical, rectangular, round, equal side structures are on high
demand due to reduced weight and increased power cutouts.
Findings by earlier investigators are for the finding of post-buckled deformation
of FGM laminates [1–4]. Fever efforts are put earlier on the findings of post-buckling
of the laminate composites and FGMs having random system properties. Yang et al.
[5–7].
It is evident from the available literatures that no work related to FGM with ellip-
tical and rectangular cutouts is analyzed when plates are supported and temperature
is varied till now.
2 Formulations
In the present formulation, elastically supported composite laminates for functionally

graded nature are investigated whose load–displacement relation is expressed as
R = K1w − K2∇ 2w (1)

FGM Plates with Elliptical and Rectangular Cutouts Analysis … 97
Fig. 1 a Geometry of elliptical cutout. b Quarter plate with rectangular cutout
∇ 2 = ∂ 2 /∂x 2 + ∂ 2 /∂y2 and K 1 and K 2 are (normal) support and (shear layer) foun-
dation parameters, respectively, and w is the transverse displacement. The circular
cutouts are shown in Fig. 1. Elliptical hole and rectangular hole are shown as ellip-
tical cutout major axis (2d/a) = 20, minor axis (2e/a) = 10. (a0 /b0 = 1.5), where a0
is length and b0 is width of rectangular cutout.
Geometrical view of composite plate, displacement field, constitutive (stress–
strain relation), stress causing tension of the laminate, potential energy is given as
[8, 9].
3 Solution Expressions
δ(π1 + π2 + π3 + π4 )
Solution is obtained by differentiating the {q} = =0
δq T
[K o ]{q} = [Ft ]
Solving eigenvalue problem

[K o ] + λ K g = 0 (2)
98 R. Kumar
4 Numerical Outcomes Explanations
Coding in [R2010a] environment is done for finding out post-buckling response of

the FGM plates resting on Winkler and Pasternak supports, under thermal condition
and mechanical force applied for elliptical and rectangular cutouts [10].
The [TID] of FGM laminates are applied coefficient of variation. This is taken as
0.1 [11, 12].
(pi ) notations are denoted as:
where E c , E m , υc , υm , αc , αm , k1 , k2 , kc , km and n are having usual notations,
Winkler and Pasternak elastic foundations.
For the validation and foundation stiffness written as:
N x b2 Ncr a 2
Ncr∗ = , λ cr = ,
E2 h3 π 2 D0
Ec h3
where D0 = 12(1−νc2 )
, λT cr = λcr ∗ α0 ∗ T × 103 , and K 1 = k 1 * D11 /a4 , K 2 = k 2
* D11 /a2
where D11 = (E 2 * b3 )/(12) * (1 − υ 212 ). λcr = Ncr * αc * T * 1000
where λcr and λT cr are without units average deformed loading thermal condition,
respectively. In the above expression, T is considered as (T c − T m ). Thickness
ratio (a/h = 5, 10).
4.1 Validation Study for Mean Buckling Load
Table 1 FEM investigated outcomes are validated [13] and Lal et al. [6]. Input param-
eters are taken for study [13] Ef 1 = 220.0 GPa, Ef 2 = 13.79 GPa, Em = 3.45 GPa,
Gf 1 = 8.79 GPa, vf 12 = 0.2, vm = 0.35, _f 1 = 0.99 × 10e−6°/C, _f 2 = −10.08
Table 1 Validation for

Foundation Pandey et al. Lal et al. [6] Present
thermal deforming forces of
parameters [13] [HSDT]
[45/−45]3 laminates, plate
thickness ratio = 10 200, 10 12.3 11.10 11.0074
100,10 10.7 10.683 10.6884
50, 10 9.95 10.45 10.5213
0, 0 6.02 6.95 7.0074
50, 50 22.5 22.89 22.5930
50,30 16.24 16.77 16.1061
50,20 13.10 13.63 12.8265
Table 2 Elliptical hole

d/b e/b Buckling load Buckling load
Laminate having total
(Nxb2 /E2 h3 ) (Nx.b2 /E2 h3 )
thickness = 0.15 mm,
[0°/90°]2s is investigated Ghannadpour et al. Present [HSDT]
[14]
0.0 0.0 13.79 13.88
0.5 0.05 13.11 13.40
0.5 0.10 12.19 12.37
0.5 0.15 11.32 11.43
0.5 0.20 10.49 10.53
0.5 0.25 9.70 9.66
0.5 0.30 8.97 8.80
The length and width = (120 × 120) mm. Other notations are given
as E 1 = 130.0 GPa, E 2 = E 3 = 10.0 GPa, G12 = G13 = 5.0 GPa,
ν 12 = ν 13 = 0.35, ν 23 = ν 32 = 0.49
× 10e−6°/C, _m = 72.0 × 10e−6°/C, Tg0 = 216 °C. The following dimensionless

buckling temperature has been used in this study. λT cr = λcr ∗ α0 ∗ T × 103 .
Table 2 presents HSDT results which are compared for the purpose of validation
of the study, elliptical cutout studied by Ghannadpour et al. [14].
4.2 Validation Study for Random Post Buckled Deformation
Figure 2 compares the present results [5, 8].
4.3 Post-Buckling Response Outputs
Table 3 notices for plate (a/h) ratio on increasing n the mean and COV decreases;
however, on increasing amplitude ratio increases for different supports. It is higher
for Pasternak elastic foundations. On further increasing the plate thickness ratio the
mean and COV further decrease to lower values; however, it is higher for Pasternak
elastic foundations compared to without and with Winkler elastic foundations.
In Table 4, it is noticed that for the same length-to-height ratio on varying “f ”
the expected average and COV decrease; however on increasing amplitude ratio
increase for laminate without and with Winkler and Pasternak support. It is higher
for Pasternak elastic foundations. On further increasing, the plate thickness ratio
of the mean and COV further decreases to lower values; however, it is higher for
Pasternak support compared with Winkler support.
100 R. Kumar
0.16
n = 0.2
0.14 Laletal.[2]
Yangetal.[1]
0.12 Present [HSDT]
n = 0.8
0.10 Laletal.[2]
cr
COV, λ
Yangetal.[1]
0.08 Present [HSDT]
0.06
a/h = 10, a/b = 1, CCCC
0.04 biaxial compressed Al/ZrO 2 plate
0.02
0.00
0.00 0.02 0.04 0.06 0.08 0.10 0.12 0.14 0.16
COV , ( Ε , Ε
c m
, vc, vm )
Fig. 2 Comparison for coefficients of variations of deforming force caused by uncertainties
Table 3 Influence of (a/h), (n), (W max /h) [pi , (i = 1, …, 7) = 0.10] for average mean and coefficient
of variations, of deforming force due to temperature
a/h n W max /h Elliptical cutout
(k 1 = 0, k 2 = 0) (k 1 = 100, k 2 = 0) (k 1 = 100, k 2 = 10)
Mean COV Mean COV Mean COV
5 0.0 0.0 18.0951 0.1008 20.0833 0.1009 25.9056 0.1004
0.5 20.5640 0.1135 22.8005 0.1130 28.8118 0.1463
1.0 21.5395 0.1831 24.0683 0.1871 30.2498 0.2376
0.5 0.0 12.2444 0.0885 14.1904 0.0905 19.8169 0.0925
0.5 14.0338 0.0994 16.3112 0.1008 22.0194 0.1505
1.0 15.6878 0.1520 18.0028 0.2700 21.9574 0.1311
1.0 0.0 9.5437 0.0836 11.4060 0.0849 16.8520 0.0873
0.5 10.9902 0.0953 13.2283 0.0952 17.9482 0.0979
1.0 12.3627 0.1404 14.6527 0.2477 18.6494 0.1570
2.0 0.0 7.2988 0.0880 8.9750 0.0825 13.9594 0.0800
0.5 8.4251 0.1011 9.5020 0.0975 14.9891 0.0915
1.0 9.1524 0.0985 10.2248 0.0972 17.7496 0.1262
5.0 0.0 5.5397 0.0812 6.8445 0.0740 10.6840 0.0723
0.5 6.3652 0.0965 7.2533 0.0792 12.5427 0.0811
1.0 6.7826 0.1370 7.7351 0.1316 13.9652 0.0788
10.0 0.0 4.8096 0.0795 5.9162 0.0767 9.3708 0.0709
0.5 5.4813 0.0956 6.3357 0.0856 11.5556 0.0772
1.0 5.7066 0.1007 8.0576 0.1024 12.3028 0.0744
Elliptical cutouts. a/b = 1, a = 50, b = 50. Elliptical Cutout Major Axis (2d/a) = 20, Minor Axis
(2e/a) = 10
Table 4 Consideration of (a/h) with foundation parameters, (n), (W max /h) and [pi , (i = 1, …, 7)
= 0.10] on the expected average and COV, of post buckled due to temperature varying nonlinearly
functionally graded laminates having Rectangular shape of cutouts, (a0 /b0 = 1.5) for rectangular
cutout, where a0 is length and b0 is width of rectangular cutout CCCC support
a/h n W max /h Rectangular cutout
(k 1 = 0, k 2 = 0) (k 1 = 100, k 2 = 0) (k 1 = 100, k 2 = 10)
Mean COV Mean COV Mean COV
5 0.0 0.0 25.4316 0.1002 26.7811 0.1002 30.9904 0.1001
0.5 26.7029 0.1214 27.3323 0.1030 32.6295 0.1013
1.0 27.3246 0.1283 30.6273 0.1256 33.6641 0.1084
0.5 0.0 17.6350 0.0895 19.0086 0.0905 23.3530 0.0928
0.5 18.8645 0.0951 19.4499 0.0977 24.7476 0.0942
1.0 19.3669 0.1090 19.9161 0.1001 25.4917 0.0973
1.0 0.0 13.8745 0.0826 15.2274 0.0838 19.5000 0.0873
0.5 14.9482 0.1044 15.5912 0.0904 21.1872 0.0903
1.0 15.2547 0.1188 16.2418 0.1200 21.0254 0.0885
2.0 0.0 10.5205 0.0786 11.7487 0.0772 15.6608 0.0804
0.5 11.3051 0.0958 12.5308 0.1111 17.2849 0.0806
1.0 11.4908 0.1008 12.6278 0.1106 17.5308 0.0816
5.0 0.0 7.5994 0.0744 8.4284 0.0714 11.8140 0.0727
0.5 8.0088 0.0878 8.9446 0.0861 13.7132 0.0730
1.0 8.1928 0.1000 8.8703 0.0751 13.8186 0.0735
10.0 0.0 6.4463 0.0793 7.0072 0.0760 10.1795 0.0709
0.5 6.6220 0.0867 7.4030 0.0784 12.2882 0.0714
1.0 6.9254 0.1085 7.4558 0.0796 12.3289 0.0714
5 Findings and Concluding Remarks
Laminate is influenced by cutout size and shape change. It is lower influenced for
cutout plates without foundations compared to plates resting on elastic foundations.
Thin plate with the elliptical cutout is more sensitive for thermal condition changes
for average deforming forces and coefficients of variations of thermal forces than
other types of laminate. Elliptical cutout and rectangular cutout having low volume
fraction and Pasternak elastic foundation should be considered.
References
2. Shen Hui-Shen (2000) Hygrothermal effects on the postbuckling of composite laminated
cylindrical shells. Compos Sci Technol 60(8):1227–1240
3. Shen Hui-Shen (2000) The effects of hygrothermal conditions on the postbuckling of shear
deformable laminated cylindrical shells. Int J Solids Struct 38(36–37):6357–6380
102 R. Kumar
4. Shen Hui-Shen (2002) Hygrothermal effects on the postbuckling of axially loaded shear
deformable laminated cylindrical panels. Compos Struct 56(1):73–85
5. Yang J, Kitipornchai S, Liew KM (2005) Second order statistics of the elastic buckling of
6. Lal A, Kulkarni NM, Singh BN (2015) Stochastic thermal post buckling response of elastically
supported laminated piezoelectric composite plate using micromechanical approach. Curved
Layer Struct 2:331–350
7. Wu TL, Shukla KK, Huang JH (2007) Post-buckling analysis of functionally graded rectangular
Model
11. Kleiber M, Hien TD (1992) The stochastic finite element method. Chichester Wiley, New York
23:1831
13. Pandey R, Upadhyay AK, Shukla KK (2010) Hygrothermoelastic post buckling response of
laminated composite plates. J Aerosp Eng 23(1):1–13
14. Ghannadpour SAM, Najafi A, Mohammadi B (2006) On the buckling behavior of cross-ply
laminated composite plates due to circular/elliptical cutouts. Compos Struct 75:3–6
Water Quality Examining Using
Techniques of Data Mining
Sanika Singh, Sudeshna Chakraborty, and Saurabh Mukherjee
Abstract The paper contains various case studies in which techniques are applied
statistically on river qualities examining database in order to find the pattern of
deterioration of quality of water in rivers. If prediction of quality of water is done
beforehand, the degrading quality of water can be handled easily. Here to observe the
future quality of water, some of the techniques have been introduced. A dataset used
for examining and analyzing the quality of water collected in one hour of time span
from different Web sites includes 8451 total samples of water quality. 15 parameters
which are affecting water quality in adverse manner are included in this paper.
Keywords NAR · WQI · ANN · RMSE · Regression · MSE
1 Introduction
The quality of water is degrading day by day due to several factors, and therefore,
quality of water is becoming a serious issue nowadays, including commercial, indus-
trial activities, and poor sanitation infrastructure. Environment, health, and infras-
tructure are adversely being affected by water contamination. Hence, for future water
quality prediction, it is so much important to introduce some approach. This is signif-
icant to include time dimension as an attribute for conducting an effective predict
and analysis of water quality and pattern, so according to temporal variation, the
S. Singh (B) · S. Chakraborty

Department of Computer Science, Sharda University, Greater Noida, India
e-mail: sanika.singh@sharda.ac.in
S. Chakraborty
e-mail: sudeshna.chakraborty@sharda.ac.in
S. Mukherjee
Banasthali Vidyapith, Niwai, Jaipur, Rajasthan 304022, India
e-mail: mukherjee.saurabh@rediffmail.com

https://doi.org/10.1007/978-981-15-5463-6_10
104 S. Singh et al.
quality of water can be addressed. The algorithms for prediction, for analysis that
are being used in past, and the techniques from area like artificial intelligence(AI),
artificial neural network (ANN), Bayesian networks (BN), decision support system
(DSS),support vector regression (SVR), auto-regressive moving average (ARMA),
and neuro-fuzzy inference may have been included. However, it is difficult to predict
quality of water using nonlinear data.
The motive of the study is introducing a technique by using water quality param-
eters that would predict and analyze the quality beforehand. Total fifteen parameters
are used which are physical, chemical, and biological which affects the water quality.
A key is being proposed in this paper by introducing a machine learning (ML)
techniques based model for future water quality pattern prediction by historic analysis
of dataset of water quality. Technique ANN with NAR is effectively applied for
predicting water quality patterns and trend.
2 Related Work
Many researchers have been conducted to get insight which can monitor water
impurification. This part of paper compares and explains in brief the methods used
by several researchers and their concluding results. Description of some of those
methods is given in this part.
Khan et al. [1] collected data from National Water Information System (NWIS),
U.S. In six minutes, sample was taken for the efficient prediction quality of water.
Researchers introduced a technique for predicting quality of water through ANN with
NAR time series model. The model’s performances were evaluated by root mean
square error (RMSE), regression, and mean square error (MSE). In the proposed
model, the results are predicted as: MSE for pH is 3.7 * 10−4 which is lowest and
the regression value is 0.98 which is best of salinity predicted with more accuracy.
Another author Ting Nien Wu had acquired data from approx 84 monitoring wells
of Taiwan and introduced a method for knowledge analysis that has following steps
(Fig. 1).
The researcher detected four patterns of groundwater deterioration [2]:
1. Organic pollution,
2. Mineralization,
3. Salinization,
4. Arsenic dissolution.
And collected dataset from 84 wells in Chinanian region in 2009–2012. Dataset
collected contains arsenic concentration in groundwater that was considered as input.
A grey model was given by author, the model which performs prediction based on
single variable. 16 wells have high arsenic level among the 84 monitoring wells.
The prediction conducted on the basis of grey model improves the forecasting accu-
racy and data prediction on limited data. This model helped in the improving the
monitoring of ground water. Ivana, D. had collected data from five sampling sites
Water Quality Examining Using Techniques of Data Mining 105
Fig. 1 Flowchart of knowledge analysis process
and included 968 sample of Gruza reservoir to keep in dataset to perform analysis.
172 samples were collected from three sampling sites of Grosnica reservoir which
was taken for analysis [3]. The method of clustering and classification was used by
author with k-means and decision trees for water quality prediction and coliforms.
The approach proposed by Ivana D. Radojevic was proved reliable for predicting the
final number of coliforms in the dataset.
Another author Maqbool, taken water samples from 12 different sites of Rawal
(watershed). The data collected for four years 2009 to 2012 consist of 663 samples
from various locations. It contains chemical as well as bacteriological, and also
the physical parameters, for analyzing water quality. The proposed methodology of
author is splitted into five sections. In section one, the parameters pattern was shown
on month basis. However, in second part, analysis satisfying parameters are given.
In the next section, the dataset is pre-processed and removes the impurities. The
last section has best quality index (QI) which is found using different methods of
clustering. At last section, those month having high fecal coliforms contamination
was detected [4]. Result analysis of the paper is given as follows: Use of hierarchical
clustering along with ALM and adding Euclidean distance to find out WQI gave more
effective results as compared with other techniques. Author Neetu Arora also created
dataset of River Satluj in seven years. An approach given by author is beneficial in
106 S. Singh et al.
Fig. 2 pH value analysis result
knowing the pollutants which mainly affect the quality of water. Author’s proposed
case study includes cluster-based analysis to examine the spatial as well as temporal
deviation in surface water quality of River Satluj. This approach helped to understand
the basic cause that affects water’s quality and to reduce number of monitoring
stations [1, 5] (Table 1).
3 Methodology
In this part, the proposed methodology is presented that would be used for examine
dataset of water quality. This methodology includes use of ANN with NAR technique
on dataset being collected containing fifteen parameters of qualities of water. The
classes are labeled as excellent, good, average, and bad as a first step using WQI
calculation [1, 6].
Water quality index is evaluated providing one single numeric value that expresses
the overall quality of water, which is based on various quality parameters. Also
it identifies the rating of water qualities, i.e., either its good or its bad based on
parameters.
Table 1 Comparison of various methodologies
Yafra Khan; Chai Soo Ting Nien Wu et al. Jan-Yee-Lee Ivana. D. Radojevic Maqbool Ali et al. Neetu Arora et al.
See et al.
Algorithm Artificial neural PCA Grey model Clustering and Classification Hierarchical
networks Cluster Analysis classification using techniques MLP, clustering
Using k-means decision trees RBF, KNN, SVM
Clustering techniques
k-means
Hierarchial
Attributes 4 attributes 14 attributes Only arsenic Only coliforms 12 attributes 8 monitoring stations
Conclusion This model proves The clustering divides Accuracy level is Better prediction of High accuracy with Better understanding
reliable with high the dataset as follows: good with error <0.01 coliforms in water prediction fecal of parameters that are
prediction accuracy. 35% for salinization quality to maintain coliforms was high in most important for
Water Quality Examining Using Techniques of Data Mining
High regression value 11% for arsenic ecological balance July. March, June, and water quality
for specific dissolution. 19% for October
conductance being organic pollution, and
0.98 35% for
mineralization
Future work User-centric approach Time series Principal component
forecasting model analysis
107
108 S. Singh et al.
WQI is evaluated by below given equation. Wi is calculated by given formula:
Unit Weight: Wi = K/Si;
K = Proportional constant
1
K =
(1/Si)

Water Quality Index = Qi W i/ Wi
where
Wi = Unit weight
Qi = Sub-index of the quality rating for ith parameter
Qi = 100 * (Vi/Si)
Vi = Value taken from laboratory;
Si = Standard value of ith parameter
n = Count of parameters
The quality pattern based on fifteen parameter is being predicted in the next step
using ANN with NAR model.
Water Sample
Defining class label using WQI
Prediction of attributes using ANN with NAR
Analyse result
This flow diagram shows the use of artificial neural network with nonlinear auto regressive for
predicting water quality by analyzing attributes.
4 Results and Conclusion
Using ANN with NAR model, implementation results are shown. The model’s perfor-
mance is measured through mean squared error and regression value. With the
proposed technique ANN with NAR time series model, it is proved to be a best
technique giving pH value 0.87492, and prediction accuracy results into MSE of
phosphate being 0.0006.
The data strongly suitable for the purpose of training, validation, and testing are
represented by plot of regression analysis. As close as the regression value is to one,
as better is the prediction accuracy. The plot used to show pH and phosphate is shown
in Fig. 3, and Fig. 6 shows regression plot.
Fig. 3 MSE graph
Fig. 4 Phosphate prediction using ANN with NAR

110 S. Singh et al.
Fig. 5 Mean square error
The count of epochs considered to converge testing, training, and validation is

shown by mean square error graph. Here, in Figs. 4 and 6, mean square error graph
is depicted for pH and phosphate. In Figs. 2 and 4, the blue color dot is the predicted
values and red color dot is the target values in the proposed model (Figs. 3 and 5;
Table 2).
Fig. 6 Regression analysis graph

112 S. Singh et al.
Table 2 Comparison table of

Attribute name Regression value MSE value
measured performance for
parameters PH 0.87492 0.009155
Conductivity 0.58 0.007658
Dissolved oxygen 0.58091 2.6906e−08
Turbidity 0.6263 0.021035
Nitrite 0.6345 1.5695e−05
Nitrate 0.30305 0.008596
Total coliforms 0.31438 1.3511e−05
E. coli 0.6189 3.1997e−05
Fecal Streptococci 0.31438 3.1997e−05
B.O.D 0.021035 0.021035
C.O.D 0.68581 3.1997e−05
Phosphate 0.5809 0.00063082
Salinity 0.7415 0.0079619
Ammonium 0.6513 0.005879
References
1. Khan Y et al (2016) Predicting and analyzing water quality using Machine Learning: a
comprehensive model. In: IEEE conference (LISAT)
2. Goldblatt M et al (1997) Realising the right to sufficient water in South Africa’s cities. Urban
Forum 8:255–276
3. Kang G et al (2017) Data-driven water quality analysis and prediction: a survey. In: IEEE third
international conference on big data computing service and applications
4. Griffiths J et al (2017) Reach-scale variation surface water quality in a reticular canal system in
the lower Yangtze River Delta region. J Environ Manage
5. Andre N et al. Design of smart sensor for water quality monitoring. IEEE Access 4
6. Kamakshaiah K et al (2013) Groundwater quality assessment using Data Mining Technique.
IJCA
Application of Block Chain in EHR’s
System for Maintaining the Privacy
of Patients Record
Ifra Salaudin, Shri Kant, and Supriya Khaitan
Abstract Electronic health records (EHR’s) system provides improved care of

patients and allows easy access to information about their data about health.
According to Health Insurance Portability and Accountability Act (HIPPA), secu-
rity rules are accountable for maintaining security and privacy of patients. There are
three main issues that we face with EHR’s, i.e., legislative gaps, lack of trust and lack
of patient control. To address these issues, we collaborate EHR’s with blockchain
to provide a platform where we have increased transparency, tracking information,
ledger (hard to tamper), cost reduction, immutability and unforgeability. It allows
patients to have complete access to their medical data which instead were controlled
by hospitals only. Attribute-based signature allows us to sign a message without
displaying any information; it only displays an evidence that he has signed it. By
using DES and RSA, we provide unforgeability and privacy of attribute signer. SHA-2
as a hashing technique ensures security of stored data.
Keywords Blockchain · Attribute-based signature · Electronic health record ·

Hash function SHA-2(512) · DES and RSA
1 Introduction
Medical history of a patient can be quite massive and date back to decades as such it
becomes cumbersome for doctor to go through all the sheets of paper and also for the
patient to keep an account of all these records, this is where EHRs come to rescue
S. Kant
Research and Technology Development Centre, Sharda University, Greater Noida, India
e-mail: shri.kant@sharda.ac.in
I. Salaudin (B) · S. Khaitan
Department of Computer Science and Engineering, Sharda University, Greater Noida, India
e-mail: sheikhifra26@gmail.com
S. Khaitan
e-mail: supriya.khaitan@sharda.ac.in

https://doi.org/10.1007/978-981-15-5463-6_11
114 I. Salaudin et al.
and provide a friendly approach for accessing this data. Because of the universal
protocols of blockchain, accessing data becomes much easier, and security issues
are also resolved. Blockchain was initially developed for Bitcoin (crypto currency)
as mentioned in white paper published by Nakamoto [1]. In last few years, blockchain
technology has become very popular and has been of application in different domains,
because of the confidentiality, integrity and security, it provides and remains trans-
parent among users. Healthcare is one of the fields in which blockchain is applied for
higher results, owing to the requirement of an additional patient advocatory process
and increase the accuracy of electronic attention records (EHRs). Being a patient-
centred approach, new challenges and considerations concerning security, privacy
and incentives should be addressed for information sharing. Blockchain technology
provides this transition through five mechanisms: (a) digital access rules, (b) infor-
mation aggregation, (c) information liquidity, (d) patient identity and (e) information
fixity. We tend to then investigate barriers to patient advocatory; blockchain-based
medical information group works on huge amount of data, security issues, privacy
concerns, etc. Keeping patients as the centric care, a paper was published by IBM,
titled ‘Healthcare Rallies for Block chain’ [2]. According to this white paper, an inves-
tigation more than 70% of industrial predictions showed that there is a huge potential
of blockchain in field of healthcare. As per HIPPA and security rules ensuring privacy
and security of data, it provides patients right over their own health records in spite of
its form [3, 8–12]. The authentication from multiple departments and attribute-based
signature [13] provides a constructive way to maintain the privacy of EHR’s and also
provides attestation that affirmation has been provided by correct patient.
Five ways in which blockchain can benefit healthcare are:
• Maintaining a single record for all the longitudinal medical history of the patient.
• Many a times, health records get duplicated or mismatched, and with blockchain,
whole of the dataset is hashed due to which in spite of multiple keys or multiple
address, all point out towards a single patient. This term can be called as master
patient indices.
• For supply demand cycle’s blockchain can be used for monitoring the contracts
to see if there are any delays.
• Electronic health record interoperability and storing data become a reliable
process by using blockchain on it.
• Since in blockchain we do not have a central authority and it works on validation-
based exchange, this claims adjudication.
2 Related Work
First attribute-based signature to construct cryptographic primitives was introduced

by Sahai and Waters [4]. EHRs are a secure and easy way of organizing the patient’s
medical records and data. In current system, only doctors have access to patient’s
data but because of EHRs patients can have access to their own data and they can
decide which data they want to share by using multiple attribute signature schemes
Application of Block Chain in EHR’s System for Maintaining … 115
[5]. An efficient key management scheme was designed for protecting psychological
data. In health blockchain, there is a problem of monopoly of psychological data, and
there is a huge need to improve the robustness of data [6]. There has been research
on investigation of how EHR adaptation by physicians can enable better healthcare
provision. MeDShare allows the participants to look at the data for deficit users, all
the records maintained in it are in a tamper proof manner, and by implementing this
technique, we provide a minimum risk to the privacy of data [7]. Attribute-based
signature gives signer control over identifying his information and keeps the identity
of user hidden. The signature only reveals that the message has been verified by a
genuine signer, and nothing about his identity is disclosed. A prototype of group
signature was organized by Khader [14] as a prototype of attribute-based signature.
For reducing the cost for computation of the ABS, a better model than that of Maji
was proposed by Gu et al which consists of monotone predicates [15]. Another model
was proposed by Liu et al. [16] to maintain integrity of health records. Escrow-free
ABS scheme was introduced by Cui et al. [17] to lower the dependency on authority
of attribute and allows verifying that the signer is the authorized person/group.
3 Our Work
In this paper, we have met the requirements of EHR’s and blockchain that includes
an attribute-based signature (MA-ABS). To ensure the security of key exchange, we
make use of DES and RSA instead of the regular Diffie–Hellman key exchange. To
provide security of the data, we make use of SHA-2. The work done in this paper is
as follows:
• First, we are combining the blockchain technology and multiple attribute schemes
in EHR’s for monotone predicates. We can have more than one person as the
authorized person, and the person can be verified by his signature.
• Second, we have to ensure safety from attacks while encrypting and decrypting
of data and transfer of keys, and for that, we are making use of DES and RSA as
the encryption techniques.
• Finally, we are using SHA-256 as the cryptographic hash function to enhance the
security as it is very hard to break.
4 Organization
The remainder of the paper follows as, Sect. 2 has preliminaries defining previous
models, Sect. 3 contains the enhancements in the model, Sect. 4 consists of the results
and the conclusion, and Sect. 5 presents the future scope of work.
4.1 Preliminaries
Notations and definitions utilized during this work are outlined below.
• Blockchain Technology:
A blockchain is outlined as a growing list of records referred to as blocks coupled and

secured exploitation cryptography. A single block in a blockchain consists of two
components: header and transactions. Header includes the hash of previous block,
timestamp, nonce and the Merkle root. It is a distributed ledger that works on a peer-
to-peer fashion, and all the transactions are visible to the members of the blockchain.
In order to make any changes in the blockchain, entire blockchain needs to be updated.
A random number ‘nonce’ is used to determine the difficulty of mining algorithm
and hence makes tampering difficult. Every node in the blockchain maintains its own
local copy of transactions, and these transactions can be anything as records about
events, records related to medical issues, identity management (used for management
activities), etc. Blockchain is consolidation of three ideas, i.e., cryptography, theory
of games and technology engineering.
Cryptography: It ensures that a legitimate user is initiating a transaction and no
fraudulent transactions are taking place. Cryptography specifically provides: confi-
dentiality (for assuring only an authorized user is having access and can under-
stand the message), non-repudiation (the sender cannot deny the ownership of the
message and vice versa), data integrity (no accidental errors or intended user has
forged or modified the document) and authentication (sender is assured and verified
by receiver).
Cryptographic Hash Function: is defined as a one way function, and it converts
input data of any length and gives an output that is of fixed length. The output
that we get is often referred to as the ‘hash value’ or ‘message digest’. Some of
the important properties of a hash function are: it should be deterministic, collision
resistant, pre-image resistant and avalanche effect (hide the original message).
Game Theory: defines the study of techniques in troublesome games and decides
concerning the simplest move or strategy in line with given scenario. It models reality
scenario in style of a game and providing the simplest steps for a fruitful outcome.
This theory is used in consensus protocol for best known attacks. Consensus protocol
is used to provide irrefutable system of agreement among devices on a distributed
network. The problems we come across in blockchain are: tragedy of commons (in
shared resources where individuals act according to their own interest, then common
good to everyone on the chain) and prisoner’s dilemma (when two rational individuals
do not cooperate even if it is in their best interest)
Computer Science Engineering: Computer science binds together cryptography
and game theory. It binds pieces of data structure and peer-to-peer network
communication technique.
Fig. 1 EHR system
• Existing Models and the new system:
EHRS is on whole controlled by hospitals instead of patients as shown in Fig. 1.

Patients encounter a lot of hardships with their medical records if they need to seek
assistance from different medical institutes. With the help on introducing blockchain
in electronic health records, we can overcome this problem as we do not have a single
authority governing our records in blockchain environment. Another challenge that
we face is the issues with trust that we face while sharing our data to unknown entities
for any referral purpose because of the decentralized and tamper proof nature of
blockchain we ensure that our data is safe and also our privacy is maintained while
sharing our data. It has transferred the right of patient’s data to the patient itself
rather than the doctors, i.e., patient driven. Patient records are immutable and also
free from overhead charges of service suppliers and websites providing necessary
medical assistance. In this paper, we have EHRs and blockchain with attribute-based
signature scheme which includes number of authorities, patient validates a message
and gives the proof that he has the real access to the data without disclosing the data.
Fig. 2 Data transfer from data owner site to client site
4.2 Enhancements in Model
The previous model lacked the security in terms of key exchange. In the previous
model, we made use of Diffie–Hellman key exchange, and in this model, we are using
RSA and DES for the key exchange and encryption. Further for the authentication
and security, we are making use of SHA-512. RSA encrypts the data in the block of
the blockchain by its public key, and the private key is sent by doctor to the patient
by public channel which is also encrypted using DES. DES encrypted key is used
for downloading data by the patient (RSA private key is sent with patient ID), the
system decrypts the key when entered by the patient. DES decryption (RSA private
key, user id and access) is used to view the downloaded data. The block ID is checked,
private key is used to decrypt the patient’s data, and the file gets downloaded from
the server. The encryption and decryption techniques are handled within the system
itself. Hashing technique SHA-2 of 512 is used for cryptographic part which works
on the Merkel–Damgard hash construction as shown in Fig. 2.
Modules:
• Admin: is the administrator of the cloud. Admin has all the access, granting and
revoking the permissions to the auditors and data owners. They also generate key
(using RSA) for the data owners. Admin holds departments and designation to
which a particular data owner belongs.
• Data Owner: The doctors are the data owners; they add users, upload files and
grant access of the files to the users. Transactional data gives the details of the
files downloaded with time and all. DES is used to decrypt the private key send
via RSA.
• Users: The users can edit their profile info, download the file they have been
permitted to download by the doctors (data owners), see the transactions (which
files they have downloaded), and they can send request to the auditor for checking
if the file has been damaged, corrupted or tampered with.
• Auditors: These check the data file for any kind of damage or tampering, in the
verification panel, they select the request no., then data is checked (can be viewed
in eclipse) for any modification with an e-mail sent to the auditor.
Figure 3 shows how the method starts and the way in which completely different
Fig. 3 Context analysis diagram
modules work along to provide a secure attribute primarily based signature theme
with multiple ranges of authorities for blockchain in electronic health record systems.
• File Downloading Process:
As shown in Fig. 4, in order to download a file, the user selects the file to be down-
loaded from the server and requests for key generation, key generation process is
activated, the secret key is encrypted by DES algorithm, and the key has an expira-
tion time, and therefore, we call it the ‘session key’. Session key is received by the
Fig. 4 File download process from the blockchain

e-mail on the provided e-mail ID. After receiving the key, the file can be downloaded.
Session key is uploaded by the doctor every time he uploads or updates any docu-
ment, so every login demands a new key as input. If the user is verified as an authentic
user, he gets access to download the file, and if the authentication process fails, the
user is denied access. After gaining access to the metadata, the file is downloaded
from the cloud but is in compressed form, so we need to decompress it, then the file
is decrypted and downloaded in user system. In the end, a confirmation message is
displayed there.
Rivest, Shamir and Adele (RSA)

It is an asymmetric key algorithm, and it makes use of two keys: public key and
private key. RSA works on the idea that it is hard to factorize two large integers. The
public key is generated by multiplying two large prime numbers, and same numbers
are used for generation of private key as well. Encryption strength totally lies in the
key length. Encryption and decryption time of RSA key length is shown in Figs. 5
and 6, respectively.
Public key generation:
• Select two prime numbers,
• Public key c = A * B
• Let us consider ‘e’ as a small exponent. ‘e’ must not be a factor of ‘c’ and must
be an integer.
• 1 < e < ȹ(c),
• Public key is made of c and e.
Private key generation:
• Calculate ȹ(c) = (A − 1)(B − 1),
• Private key p = (p * ȹ(c) + 1)/e, for some integer k
• Now, we can use the keys to encrypt and decrypt our data.
The security for the SHA functions is shown in Table 1 with their respective hash
sizes.
Fig. 5 RSA encryption time

(different keys)
Fig. 6 RSA decryption time (different keys)
Table 1 Hash functions and security

Hash functions SHA-1 SHA-2
256 384 512
Size of hash value (n) 160 256 384 512
Complexity of the best attack 280 2128 2192 2256
Message size <264 <264 <2128 <2128
Message block size (m) 512 512 1024 1024
Word size 32 32 64 64
Number of words 5 8 8 8
Digest rounds number 80 64 80 80
Constant Kt Number 4 64 80 80
5 Results
The main objective of this method is to ensure that the privacy of patients is main-
tained in EHRs on a blockchain. We have designed a model that is way more secure
than the previous model as we have modified the key exchange rule from Diffie–
Hellman to RSA and DES. We have conjointly jury-rigged the hashing technique by
creating use of SHA-512. EHRs blockchain ensures that the data is patient driven,
authentic, confidentiality is maintained provides a smoother way of accessing records
both for hospitals as well as patients and also reduces overhead costs. Multiple
authorities facilitate in overcoming written agreement downside.
6 Experimental Results
The experimental results show that the system is secure under attacks like DOS and
DDOS, collision attacks as it is an authorized system. Confidentiality, authentication,
integrity and anonymity of the patient’s data are maintained. Patients get the complete
control over their medical data which was earlier in complete control of doctors.
7 Inferential Results
In this system, we have four departments (as shown in Table 2): administrator, data
owners, data users and the auditors. In administrator section, we have data the depart-
ment of the doctors and their designations, data owners are mostly doctors as they
are the ones who prepare the reports or prescriptions of patients, data users can be
patients or anyone who needs to have access to the patients data, but they will have
to seek permission from the data owners to access the data. Data auditors can be the
doctor himself or any third entity that ensures us that the data has not been tampered.
Let us take an example as given in Table 2, Dr. Anshka is an orthopaedition and
Anu is her patient after seeking her medical assistance, Dr. Anshka will upload her
medical details on the cloud, if Anu wants to download a copy of that report she
needs to seek doctors permission, Anu can also request the auditor to confirm that
the file has not been tampered in transit. Dr. Prakash is a dentist and has no patient,
and hence, no one asks auditor for verification. Dr. Ved is a paediatrician and has
uploaded a file f2 with the patient Kiran requesting the data verification. Kiran gets
Table 2 Inferential results

System
Administrator Data owner User Auditor
Departments/designation Doctors, files Patient, download file Verifiers of data to be
uploaded authentic
Orthopaedic/orthopaedition Dr. Anshka, Anu, requests data Asked for data
uploaded f1 owner to download f1 verification
Dentistry/dentist Dr. Prakash No patient No verification
Paediatric/paediatrition Dr. Ved, Kiran, requests auditor Data is authentic
uploaded f2 for authentication of
data
Cardiology/cardiologist Dr. Ali, Sam, requests data Did not ask for
uploaded f3 owner to download file authentication
f3
Opthamology/opthomologist Dr. Tara, Vivan, requests data Data is not authentic
uploaded f5 owner for file
download and
authentication of data
a verification email, showing data is authentic data. Dr. Ali is a cardiologist and has
uploaded f3, Sam is his patient and f3 belongs to him, he asks data owner permission
to download file f3, he is satisfied with the content of the file and hence does not
seek authentication from the auditor. Dr. Tara is ophthalmologist and has uploaded
f5, Vivan is his patient and he has requested to download the file f5, Vivan is not
satisfied with his file, he requests data auditor for authentication, auditor provides
him the report that his data is not authentic, and his data is tampered in transit, he
can then ask the doctor to re-verify his results and upload a new report.
8 Conclusion
This model is very secure then the previous model because of the change is hashing
technique. It also provides a convenient way of accessing the medical data both for
patient as well as the doctor and any other agency that needs to access the patient’s
data such as life insurance department, etc. It is economical, less time consuming
and secure way of storing medical records of patients.
9 Future Work
Since blockchain is one of the blooming techniques and much new advancement is
being made in it, we can improvise the security by strong hash function. The authentic
data of EHR’s system may be linked to the departments of insurance, banking, etc., in
the same block, so every data related to the health of a person including his personnel
details that are required for any process is just a single click away.
References
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2. Healthcare rallies for blockchains: keeping patients at the centre. IBM 12 Dec 2016
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17. Cui H et al (2016) Escrow free attribute-based signature with self-revealability. Inf Sci
Solar Power-Based Smart Greenhouse
Padma Wangmo, Vinay Kumar Jadoun, Anshul Agarwal,
and Harish Kumar
Abstract Despite huge advances in technology, such as improved irrigation systems

and genetically modified organisms, weather still plays the chief role in agriculture
and as well the soil quality. Today, smart technology and efficiency are practically
synonymous. By integrating average tasks like watering plants, turning lights on/off,
and managing humidity in a smart greenhouse, people can analyze the efficiency
of their processes and then also regulate them to increase productivity. Greenhouses
have experienced many transformations and still are evolving, but their basic purpose
remains the same. They create microclimate to enable crop growers to be active all
year round. The most significant change in the greenhouse has been the introduction
of automation. The purpose is to create such a greenhouse which is suitable to the
environment of any region especially cold and arid regions and create an efficient
system for maximum productivity with ease. These greenhouses can control the
prime factors that influence crop yields, such as temperature, moisture, light exposure,
ventilation, and more to create the most suitable climate for growing a plant according
to the cultivator with the aid of solar energy.
Keywords Solar energy · Greenhouse · Sustainable energy
P. Wangmo (B) · V. K. Jadoun · A. Agarwal · H. Kumar

National Institute of Technology Delhi, New Delhi, India
e-mail: piwang.wangmo@gmail.com
V. K. Jadoun
e-mail: vjadounmnit@gmail.com
A. Agarwal
e-mail: anshul@nitdelhi.ac.in
H. Kumar
e-mail: harishkumar@nitdelhi.ac.in

https://doi.org/10.1007/978-981-15-5463-6_12
128 P. Wangmo et al.
1 Introduction
Greenhouse plays a major role in agriculture and horticulture sectors. It can be used
to increase crop production through a controlled environment. Greenhouses have
remarkably increased crop production as well as the quality which has helped to
cope up with the growing demands.
Greenhouses enable extensive control over the microclimate created inside for
growing the plants. The key factors for growing crops can be controlled depending
upon the requirements of the crop—like temperature, atmospheric humidity, fertil-
ization and irrigation, and levels of light/shade. Greenhouses can also be used to
overcome certain limitations such as poor soil quality, brief cropping season, or poor
solar radiations, and they can thereby improve the yield in marginal environments.
Greenhouses, specially used in hot, dry climates to impart shade, are generally known
as “shade houses.”
Greenhouses as seen in Fig. 1 are great for extending the growing season. Green-
houses are becoming more vital in the food supply of temperate and polar countries
as they allow certain crops to be grown round the year. One of the most successful
and largest greenhouses cover in the world (almost 200 km2 or 49,000 acres) is in
Almería, Andalucía, Spain,
The closed setting of a greenhouse has its own distinctive needs, as compared
to the usual outdoor cultivation. Intense heat and humidity, pests and diseases, and
irrigation have to be controlled. Greenhouses mostly irrigate through sprinklers or
trickle/drip method of irrigation. High inputs of heat and light are also needed, notably
with warm-weather vegetables production in winter.
Fig. 1 Gowanus whole foods greenhouse (Image downloaded from https://inhabitat.com/nyc)

Solar Power-Based Smart Greenhouse 129
In the contemporary world where automation has entered into almost every field,
there are still some crucial areas in our country where it is lacking full-fledged imple-
mentation or has not been integrated yet, perhaps due to various reasons. Develop-
ment in the primary sector is critical for the growth of economy of the country.
Unfortunately, even today farmers practice traditional farming method which leads
to low yields. With the replacement of humans with automation, it has resulted in
improved and efficient results in every field that it has been implemented. Hence,
modern science and technology needs to be integrated with the agriculture sector to
improve the produce.
Greenhouses even have applications beyond agriculture. GlassPoint Solar, in Cali-
fornia, utilizes greenhouse to encase solar fields to create steam for solar thermal
enhanced oil recovery.
2 Related Work
A superior method to guarantee the increase in production is to control the environ-

ment of the plant through automated greenhouses. Most extensively used technolo-
gies are ZigBee innovation [1], microcontroller [2], and the Internet of Things (IOT)
[3].
These days solar technologies are becoming crucial in the cold region such as
Ladakh. Active and passive solar heating are the most commonly utilized heating
techniques. Reference [4] has fused passive and active heating to improve the effi-
ciency and energy cost of a traditional greenhouse. To implement this innovation,
there is need to be acquainted with the aggregate solar radiation accessible in an
area. For example, Ref. [5] had gathered solar data in 1996–98 in certain regions
of Ladakh. The mean solar radiation accessible annually in this time period was
5530 Wh/m2 /day on a horizontal plane, and at a tilt of 35° (South), the yearly mean
energy was 6360 Wh/m2 /day. Additionally, as indicated by Ref. [6], Ladakh has solar
radiation as one of its assets, with annual mean solar radiation of 7–7.5 kWh/m2 /day.
Based on the above-mentioned solar data, it can be analyzed that there is a sufficient
amount of solar radiation available in the region.
Reference [7] has implemented solar energy to power office appliances. The profi-
ciency of the photovoltaic system can be expanded furthermore [8] for utmost effi-
ciency. As researched in [9] solar water heating, solar space heating and solar photo-
voltaic thermal (PVT) system supply thermal energy. These can be incorporated to
warm the greenhouse to retain the ideal developing temperature required for plants.
Such frameworks have already been used for indoor space heating [10]. Solar-aided
warming of the underfloor is another heating technique that is more appropriate for
cold regions [11].
A solar-assisted heat pump (SAHP) machine comprises of a thermal solar panels
and heat pump in a single unit where thermal energy is utilized instead of light energy.
Direct Expansion Solar-Assisted Heat Pump (DX-SAHP) is an upgraded variant of
SAHP examined by [12] by which the cost is reduced and performance is improved.
Reference [13] has investigated all these diverse methods of solar heating.
3 Proposed System
The solar energy-based smart greenhouse comprises of different sensors—soil mois-

ture sensor, temperature sensor, and humidity sensor. These three sensors detect and
read different parameters and feed data to the microcontroller. Arduino UNO is
utilized here to control the greenhouse. The entire system is solar powered.
Soil moisture, temperature, and humidity sensors are analyzed, and thereafter,
the program has been written on to the Arduino for a certain environment setting to
actualize a controlled greenhouse climate setting.
Figure 2 represents a block diagram of solar powered smart greenhouse system
design with the various hardware components connected together. The microcon-
troller is the chief component here. Three sensors have been used to feed data to the
microcontroller. It reads these data from the sensors and generates output in line with
the program written into it. It generates a digital output after reading digital or analog
inputs. For example, Arduino reads analog or digital data from the temperature sensor
and then according to the set-point in the program, generates digital high/low output.
The microcontroller constantly monitors the output from the sensors and compares
these data with the threshold values which is written in the program and performs
corrective action if needed at that instant by activating the actuators. Hence, the
greenhouses’ environment is automatically controlled.
Fig. 2 Block diagram of the proposed system

4 Hardware Design and Development
Figure 3 is the graphical representation of the application of the system. The system is
developed with combination of different parts. To control the temperature, humidity,
and soil moisture, corresponding sensors have been used. The efficiency of a green-
house is largely dependent on the type of greenhouse structure and material used to
build it. Different design can be adopted according to the requirements of an indi-
vidual and the local climatic conditions. The most commonly employed structure is
the Quonset design with a curved roof and military hut-style design.
4.1 Air Temperature Control
Plants growth is influenced by the process of photosynthesis. Furthermore, temper-

ature influences photosynthesis, and therefore, temperature and radiation must be
balanced so that higher radiation level results in higher temperature. Due to this,
a temperature set-point is usually considered. It becomes crucial to ensure that the
temperature does not go below 13 °C so as to acquire high quality and high yield.
Ventilation is also necessary to maintain the temperature. As a result of the vari-
ation between the external and internal temperatures, the natural ventilation takes
place through the air exchange and air flow in the greenhouse. When the tempera-
ture reaches a high level, then it is important to ventilate for humidity and CO2 gas
optimization.
Fig. 3 Graphical representation of the solar energy-based smart greenhouse (Image downloaded
from https://projectabstracts.com/16904)
4.2 Humidity Control
Humidity plays a very crucial role since high humidity may decrease transpiration
and increase the chance of pests and diseases, and low humidity may cause hydric
stress, shutting the stomata, and thus decreasing the photosynthesis due to reduction
in the CO2 assimilation. Temperature and humidity are interdependent functions. To
keep the humidity within an appropriate range, the temperature can be set according
to the relative humidity value inside. Hence, humidity control is fundamental to
maintain a healthy growing environment.
Ventilation is necessary to bring the humidity to a controlled point. But if the
internal and external air needs to be mixed properly, fans are important to perform
the task. Integrating fans also assures an ideal environment for the plants in the
greenhouse.
4.3 Soil Moisture Control
An optimum soil moisture level is needed so that plant can easily absorb water from
the soil. The water in the soil also helps to dissolve minerals and nutrients in the soil
which is then absorbed by the plants.
The volumetric water content of soil is measured by the soil moisture sensor.
It monitors soil moisture content to control irrigation. When the moisture level is
inadequate in the soil, the sensor senses it and prompts the microcontroller to take
action. The microcontroller then alerts the corresponding devices to turn on the pump.
Moreover, when the soil has reached the adequate moisture, the microcontroller alerts
the same device to switch off the pump.
The simulation circuit for temperature analysis is shown in Fig. 4. This particular
model is designed to analyze the temperature of the greenhouse only. When temper-
ature of the greenhouse is less than the set-point, then the heater will work to heat
the greenhouse.
The external temperature varies sinusoidally as shown in Fig. 5, but the internal
temperature is maintained around the of “set-point” temperature (within ±10 °C).
This is the desired result, that is, to maintain an almost constant temperature inside
the greenhouse.
Figure 6 represents the executed circuit of the purposed system. Since the system
is a microclimate controller, the climatic parameters are automatically controlled by
using a microcontroller with desired threshold values of sensors. Due to this reason,
the three sensors (temperature, soil moisture, and humidity sensor) are integrated in
Fig. 4 Simulation circuit for temperature analysis
Fig. 5 Output of greenhouse temperature analysis
this system. The microcontroller is programmed for the desired microclimate created.
The threshold values set in this system are tabulated in Tables 1, 2, and 3 for temper-
ature, humidity, and soil moisture level, respectively. The set-point temperature and
humidity are maintained by switching the fan on/off. The water level in soil can be
similarly managed by switching the motor on/off.
Fig. 6 Solar powered-based smart greenhouse
Table 1 Temperature control

Temperature value (in °C) Fan
Below 30 OFF
Above 30 ON
Table 2 Moisture control

Soil moisture value (in % MC) Water pump
Below 15 ON
Above 15 OFF
Table 3 Humidity control

Humidity (in %RH) Ventilator
Below 80 OFF
Above 80 ON
6 Conclusion
Solar energy is among the different forms of sustainable energy source that is clean
and pollution free. Its thermal or electrical form of energy can be utilized in the green-
house system. This energy source is becoming new environmental technology. The
key role of this technology is to reduce environmental stress and produce minimum
wastes.
This type of automated greenhouse system supported by solar energy source
helps in growing of plants by proving a controlled environment with ideal lighting,
fertigation, and temperature which is essential for the development of plants in any
region. If all of these are integrated and executed, it can be one of the best ways to
promote a cooler and greener environment.
The other renewable energy sources like wind energy, biogas energy, tidal energy,
geo-thermal energy, etc. can also be implemented in smart greenhouses in different
regions of the world. The development of technology and proper utilization of this
energy depending on the local climate and accessibility of the particular regions can
provide maximum output and minimum cost.
Moreover, the system is more reliable than manual systems with higher efficiency
and accuracy. Humans can merely observe whether the soil is wet or not. However,
this system can gauge the level of soil moisture. Again, it is extremely hard for
human to evaluate the actual temperature and humidity which this system can do
very efficiently and precisely. It eradicates the risk of human blunders to main-
tain the specific environmental conditions in a greenhouse. Furthermore, it is also
environment-friendly. The system can be made even more efficient, economical, and
easy to implement with the inclusion of wireless technologies. The current system
is more suited to small scale agriculture.
References
1. Gaikwad A, Ghatge A, Kumar H, Mudliar K (2016) Monitoring of smart greenhouse. Int Res
J Eng Technol (IRJET) 3:573–575
2. Arif KI, Abbas HF (2015) Design and implementation of smart greenhouse. Int J Comput Sci
Mob Comput (IJCSMC) 4:335–347
3. Imam A, Gaur D (2018) Smart greenhouse monitoring using internet of things. Int J Adv Res
Electron Commun Eng (IJARECE) 7:519–523
4. Ahamed MS, Guo H, Tanino K (2019) Energy saving techniques for reducing the heating cost
of conventional greenhouses. Biosyst Eng 178:9–33
5. Jacobson A (2000) Solar energy measurements for Ladakh, India. In: Proceedings of the 24th
national renewable energy convention 2000 of the solar energy society of India. Solar energy
measurements for Ladakh, India
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Zone 54(3–4):109–117
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photovoltaic power system to generate electricity for office appliances. Eng J 17(1):29–39
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Open J Energy Effi 4:45–52
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Solar heating and cooling: present and future development. Renew Energy 126:1126–1140
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a hybrid solar heating system applied in cold rural areas. Energy Build 182:242–250
11. Karimi MS, Fazelpour F, Rosen MA, Shams M (2019) Comparative study of solar-powered
underfloor heating system performance in distinctive climates. Renew Energy 130:524–535
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direct expansion solar-assisted heat pump. Energy Convers Manage 39(3–4):181–191
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In: 1st national conference on advances in mechanical engineering NCAME–2019, NIT Delhi
Modelling of Slag Produced
in Submerged Arc Welding
Brijpal Singh and Sachin Dhull
Abstract This study has been conducted to reveal the effects of flux composition on
slag produced and wire consumption. RSM was used for designing the experiments.
Mathematical modeling was done for the output in terms of flux composition. The
study reveals that the slag produced is dependent upon the basicity index of the flux
and CaF2 used as a flux ingredients. Fluxes were made by agglomeration technique.
CaF2 , FeMn, NiO were added to study their effect on slag produced and bead geom-
etry. The elements transferred to the welds from the flux were also found to have
significant effect on slag produced and properties of weldments.
Keywords Flux · Slag · SAW · RSM
1 Introduction
In submerged arc welding, a consumable electrode is bare wire in the form of a contin-
uous wire. The arc is shielded by a layer of granular and fusible flux which blankets
the molten weld metal. The fused flux protects the weld metal from atmospheric
contamination. The machine consists of a hopper for the flux and wire feeding rollers
with a contact tube through which the wire passes. The contact tube is connected
to one of the leads of the power source. A control unit ensures the proper feed rate
of wire and power supply to the arc. The heat of the arc melts the electrode, base
plate, and the flux. In SAW, there is no need of using any shielding gas as the arc
is being shielded by a molten slag and granular flux. In SAW process, high welding
currents are used. The molten flux is usually highly conducting. The flux also acts to
supply the deoxidizers and alloying elements. The electrodes are coated with copper
B. Singh (B) · S. Dhull

MSIT, C-4 Janakpuri, New Delhi, India
e-mail: brijpalsingh101@gmail.com
S. Dhull
e-mail: sachindhull1989@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_13
138 B. Singh and S. Dhull
covering to prevent it from corrosion. This also increases the electrical conductivity
of the electrode wire.
In SAW, the weld obtained is of high quality and good finish. There is double
protection from the atmospheric contamination [1]. In this process, the arc is not
visible to the operator and it is submerged in the molten flux. Both AC and DC
currents can be used. The main limitations of this welding process are large flux
handling and large slag removal as the flux consumption and currents are high. The
flux may also absorb the moisture.
1.1 Function of Fluxes
The basic functions of the fluxes are as follows [2]. It protects the weld pool from
the atmospheric contamination by covering the metal with molten slag at the top of
the bead. With the application of proper fluxes, the weld of desired chemical compo-
sition can be made. The fluxes can also improve the slag detachability, mechanical
properties, welding speed, and current carrying capacity. For proper fluxing action,
the melting point of flux should be lower than the melting point of the metal to be
welded and it should have high viscosity so that gases are not entrapped in the weld.
1.2 Slag Detachability
Slag produced in SAW is in large quantity and it is thrown as a waste. It cannot be

reused. It is not degradable in nature. The flux in SAW produces a lot of slag which
is generally disposed off as a waste. The disposal of slag imposes many problems
related to the storage and environmental problems. A recycling technology has been
suggested for reusing the slag as a fresh flux by adding suitable deoxidizers, elements
by agglomeration. The recycling involves the mixing of slag with the fresh flux. The
recycling needs experimentation so that the optimal composition of recycling flux
can be found out. Slag detachability can be defined as the ease with which the slag
can be removed from the weld metal. If the slag detachability is poor, slag inclusion
can occurs. The bead appearance and corrosion resistance are also affected by slag
detachability. The slag detachability mainly depends upon the flux composition.
The physical and chemical properties of the flux determine slag detachability. The
differences between the thermal coefficients of the slag and the metal and the phase
transformations in the slag during cooling are some properties. Steel fabricators are
concerned about slag detachability. Residual slag on the weld deposit promotes slag
stringers in multi-pass weldments and limits the effective use of narrow-gap-flux-
related welding processes. It also reduces the corrosion resistance of the weldments.
The corrosion resistance of the weldments also gets reduced. To reduce this problem,
welding flux formations have modified flux compositions [3]. The slag use as a fresh
flux using recycling technology helps in overcoming the problem of replenishment
Modelling of Slag Produced in Submerged Arc Welding 139
of non renewable resources [4]. The mechanical and chemical analysis of the results
in case of submerged arc welding is done in case of pressure vessels and effect of
recycled slag on bead geometry is checked [5].
Poor slag detachability has been reported to occur when the flux contains
fluorite. Slag containing spiral generally attaches tenaciously to weld deposit.
Difficulties have been reported while removing slag that contains cordierite and
[Cr,Mn,Mg]O,[Cr,Mn,Al]2 O3 spinel phases. However, slag readily detaches when
CaO2 , SiO2 , Cr2 TiO2 are present. Slag detachability improves on increasing Al2 O3
content in the flux.
Agglomeration technique is used to prepare the fluxes. The base contents CaO,
SiO2 , and Al2 O3 were added in the ratio 7:10:2 based on ternary and binary phase
diagrams. The additives CaF2 , FeMn, and NiO were selected as control parameters.
The element transfer and bead geometry are affected by these additives. Table 1
Table 1 Design matrix in

Number of CaF2 wt% (A) FeMn wt% (B) NiO wt% (C)
percentage
experiment
1 8 2 2
2 5 8 5
3 8 2 8
4 2 2 2
5 5 5 5
6 5 5 5
7 8 8 8
8 5 5 5
9 5 2 5
10 8 5 5
11 5 5 8
12 2 2 8
13 5 5 5
14 5 5 5
15 8 8 2
16 2 5 5
17 5 5 5
18 5 5 2
19 2 8 8
20 2 8 2
Table 2 Showing wire and plate composition

Composition Carbon % Silicon % Manganese % Sulfur % Phosphorus % Nickel %
Base plate 0.03 0.07 0.34 0.017 0.022 –
Wire 0.11 0.09 0.45 0.021 0.021 –
Table 3 Welding parameters

S. No. Voltage Current Travel speed
1 30 V 475 A 20 cm/min
shows the design matrix and the composition of wire and base plate is shown in
Table 2. The welding parameters are kept constant for all the welds. Table 3 shows
the parameters. All the components, base constituents, and additives were mixed in
a container and potassium silicate was used as a binder for making these fluxes. The
fluxes were then heated in a furnace at temperature up to 400 °C for more than six
hours to remove any traces of moisture. Before making weld, the fluxes were again
heated up to 100 °C. CaCO3 was used in place of CaO because of its hygroscopic
nature. The bead on plates has been shown in Fig. 1.
The beads were laid one over the other in order to minimize the effect of dilution.
In this study 10%, dilution from the base plate has been considered. After making
beads, the slag was removed.
The slag formed in welding process has strong influence on the mechanical properties,
bead geometry, and surface finish of the welds. There exists be a definite relation-
ship between the flux composition and the slag produced in SAW. The mechanical
properties are decided by the elements transferred to the weld from the flux. The
microstructure formed may be affected by the flux composition. To do this study, a
definite relationship between the flux composition and amount of slag produced is
to be determined. The measured experimental results for slag produced are given in
Table 4. These data have been used to develop the mathematical models between the
predictors and responses.
Slag produced = 5.2693 + 0.10911 ∗ CaF2 (1)
Anova Table 5 shows that the model is significant as the P-Value, prob. > F is less
than 0.05. The model shows that CaF2 has a significant effect on slag produced in
submerged arc welding figure. The slag produced increases with increase of CaF2 .
This may be because of reduction in viscosity with increase of CaF2 [6]. From Fig. 1a,
it can be revealed that the flux consumption has a direct correlation with the slag
produced and as the flux consumption increases, the slag produced is also increased.
700 700
Slag produced in gms 600 600
Slag produced in gms

500 500
400 400
300 300
200 200
100 100
0 0
150 350 550 750 950 1150 0.6 0.8 1 1.2
Flux consumed in gms BI of the flux
(a) (b)
(c) (d)
Fig. 1 a Effect of flux consumed on slag produced, b effect of BI on slag produced, c effect of
CaF2 on slag produced, d bead on plate welds
The study also reveals that the slag produced increases with increasing BI of the flux
Fig. 1b. The reason may be that with an increase in BI, the viscosity of the molten
slag is reduced and it can be removed easily.
4 Conclusions
From the above study following conclusions have been drawn:

1. Flux consumption and slag produced are directly correlated with each other.
2. The slag produced increases with increasing BI of the flux.
3. The slag produced is directly correlated with the flux consumption.
Table 4 Consumption of flux, wire, and slag detachability

Weld No. Flux consumed (g) Wire consumed (g) Slag produced (g) Slag detachability
1 300 760 550 Good
2 950 550 600 Very good
3 700 500 600 Very good
4 850 600 500 Good
5 900 550 500 Poor
6 900 750 550 Good
7 700 650 500 Good
8 300 750 550 Good
9 600 850 550 Very good
10 550 850 500 Good
11 500 550 250 Good
12 550 550 250 Poor
13 200 500 250 Good
14 300 700 200 Poor
15 350 750 200 Good
16 600 750 150 Poor
17 250 600 200 Good
18 300 700 250 Very good
19 300 700 250 Very good
20 350 700 200 Very good
Table 5 ANOVA table for slag produced

ANOVA for response surface reduced linear model
Analysis of variance table (partial sum of squares—type III)
Source Sum of d.f Mean F value p-value prob. >
squares square F
Model 1.07 1 1.07 4.606722 0.0457 Significant
A-CaF2 1.07 1 1.07 4.606722 0.0457 Significant
Residual 4.19 18 0.23
Lack of fit 2.92 13 0.22 0.884294 0.6078 Not significant
Pure error 1.27 5 0.25
Cor total 5.26 19
References
1. Hould Croft PT (1989) Submerged arc welding, 2nd edn. Abington Publishing, Cambridge
2. Kumar V (2011) Modelling of weld bead geometry and shape relationships in submerged arc
welding using developed fluxes. Jordan J Mech Ind Eng 5(5):461–470
3. Olson DL, Liu S, Frost RH, Edwards GR, Fleming DA (1993) Nature and behaviour of fluxes
used for welding. ASM Handb 6:55–63
4. Singh K, Pandey S (2009) Recycling of slag to act as a flux in SAW. Resour Conserv Recycl
53(10):552–558
5. Singh K, Pandey S, Arul MR (2005) Effect of recycled slag on bead geometry in submerged
arc welding. In: International conference on mechanical engineering in knowledge area, 12–14
Dec, DCE Delhi
6. Van Vlack LH (1964) Physical ceramics for engineers. Addison-Wesley, Reading
Automatic Land Defense System
for Borders Using Radar, Laser Gun
and Related Tools
Rishab Kumar Bhardwaj, Sudhir Ranwa, Ranjan Kumar, Lokesh Meena,

Anshul Agarwal, and Vinay Kumar Jadoun
Abstract This paper is about detecting the object and its location as soon as it enters
the border and then firing the object if necessary. Starting from a prototype, made
with an Arduino and sensors, and suitable software (IDE processing 3.3) is used
for the detection of shape. The aim of this paper is to not only monitor the border
continuously without human interfere but also to fire the object with Radar- Laser gun
set, as soon any mismatch in statistics of the sensors occur or alarm rings. Robotic
support is available at the end of the process. Any time, system can be overruled
by Soldiers and also activities can be monitored at the control room. Here, Arduino
and Laptop are being treated as Control room in the proposed model. Various nodes
(Arduino—sensor set) can communicate with each other with the help of interrupt
signals. Alarm is in the form of LEDs and Buzzer with variable sound pattern. US
Sensors are used here in Radar and whole model is Solar energized.
Keywords Automatic land defense system · Radar · Laser gun · Arduino · Ultra
sonic sensors
R. K. Bhardwaj (B) · S. Ranwa · R. Kumar · L. Meena · A. Agarwal · V. K. Jadoun

e-mail: rishab.theindian@gmail.com
S. Ranwa
e-mail: ranwasudhir5@gmail.com
R. Kumar
e-mail: ranjan007rishu@gmail.com
L. Meena
e-mail: lokeshnitd@gmail.com
A. Agarwal
V. K. Jadoun

https://doi.org/10.1007/978-981-15-5463-6_14
146 R. K. Bhardwaj et al.
1 Introduction
Border security is a highly sensitive issue in many countries. To stop the physical
intruders, terrorist, drug dealers from crossing the border, for this a smart fencing has
to be deployed so that we can provide effective Border Patrolling. Different wire-
less sensors are used to provide continuous monitoring and security. These wireless
sensor’s networks create a virtual fence that consists a large number of sensors
and wireless devices. Sensor nodes cover entire the border depending on poten-
tial intrusion and common routes. Sensor data is collected through the network of
communicating nodes on a radio channel. These signals are used to connect with the
components of environment that generate variable events, such as movement, motion.
Distance of the object and the average speed is measured by the continuous signal
reflected from the object. India has been continuously making such defense systems
and this lead to the inventions of various Radars and similar technologies. In the same
stream, DRDO has been developing several versions of Radars. Following informa-
tion has been taken from the DRDO’ sources which show some Radar developed
indigenously in India.
1.1 Rajendra Radar
Rajendra Radar is a multifunction Radar, it is the core component of Aakash air

defence system (AADS) as in Ref. [1]. Rajendra Radar is a passive and PESA i.e.
electronically scanned array radar and it is used for guidance of Aakash missile to its
target. It fulfils multiple functions of radar like surveillance, guidance and tracking.
At a time, it can engage 4 targets and track 64 targets. Range of this radar extends
up to 80 and at 18 km altitude.
1.2 Central Acquisition Radar
Central Acquisition Radar is a 3D S-Band Radar which is developed by DRDO for

our Indian Forces. Army uses Rohini variantwhere as Air Force always uses Revathi
variant as in Ref. [2]. Targets can be tracked by this Radar up to a range more than
180 km and low-altitude targets also can be detected and supersonic aircraft flyies
at over Mach 3 speed. This system consists of digital receiver, signal processor that
is programmable and providing high resolution, response, accuracy and information
availability.
Automatic Land Defense System for Borders … 147
1.3 Swathe Weapon Locating Radar
As described in Ref. [3], it is a C-Band pulse Doppler Radar which is used to locate
hostile artillery and also to tracks friendly fire to locate the impact of point of artillery
fire to implementing necessary corrections. It can also track 7 targets at a single time.
The detection range is 30 km for Calibre artillery and 40 km for unguided Rockets.
1.4 Ashwini Radar
It is a 4D Low Level Transportable Radar. It is developed to track the hostile targets

with fool proof up to a range of 200 km, as provided in Ref. [4]. It can detect
wide range of Object from Ariel Aircraft to slow moving Object. It uses 7 different
technologies.
1.5 Arudhra Radar
It is a Medium Power Radar (MPR). It is active phased array multifunction 4D radar

and can detect automatically and tracking of aerial targets which are ranging from
fighter aircrafts to slow moving targets, and this Radar has various advanced features,
which are named in Ref. [5].
1.6 PJT-531 Battle Field Surveillance Radar
It is a man portable perimeter surveillance radar and 2D short-range battlefield. It

operates in 21 frequencies in J Band, and it can detect group of men, crawling men,
Heavy Vehicles, Armored Vehicles at varying distance. This one is highly used Radar
by Indian forces at LOC, details of which is given in Ref. [6].
Due to sensitive border near Pakistan and Bangladesh, ISRO and DRDO has been
jointly making projects. ISRO recently provided the indigenous GPS which gives
vital real time information to the Radars. Hence before any disturbance, Military is
alerted. This synchronization of the automation and Real time monitoring emphasise
the importance of automatic defense system. This proposed model is inspired by the
same. So, in this paper, Automatic Land Defense System model is proposed, which
detects the object as soon it enters the border and then fire it. This proposed model is
used not only to predict nature of the object, but also the next position of the object.
The position of object that is going to be tracked by Ultra Sonic (US) sensors as data
of the UV sensor is used to make a virtual real time ground on Laptop screen. This
scheme can also detect objects or obstacle which is moving at an average speed of
5 km/s and its accuracy depends on the quality of sensor. This is small effort in the
direction of automating the security systems of borders especially on Land. Since
high power laser is providing good replacement for bullets, so we have considered
laser gun instead of bullets, for the proposed model.
2 Components of Automatic Land Defense System Using

Laser Gun
Ultra sonic sensors and Thermal sensors have been added with motors to use as
Radar facility. The Infra-Red Sensors are statically placed on strategic locations
to detect intrusion of Object as Shown in Fig. 1. Sound sensors are used near the
sensor nodes to detect the harm or threat to sensor nodes by intruders. The Radio
Channel is provided by Arduino: Receiver pin collect sensor data and transmit pin
send position, angle of object with radar and similar data to the control set up of
Gun, Here Laser is being used as gun because Continuous laser can melt the object
easily without noise. Solar Batteries are being used to energize the whole circuit.
Fig. 1 Complete components of automatic land defense system using laser gun. a Battery and solar
plate, b laser and US sensor attached over servos, c UV sensor with laser diode, d cascaded servo
motors
Table 1 Components used in the prototype of automatic land defense system using radar and laser
gun
S. No. Component Rating Quantity
1 IR sensor 5 V DC supplied 2
2 Ultrasonic sensor (HCSR04) 5 V DC supplied 4
3 DC motor 12 V supplied, 1500 rpm, 4 pole 2
4 Servo motor 3 pole ferrite, 4.8–6 V, 0.12 s/60°, 6
9g
5 Arduino 16 MHz, 6–12 V Atmega328 Chp 3
Arduino Uno
6 Laser 5 V supplied laser diode 3
7 Camera OV7600 camera module 2
8 Arduino cable Arduino USB cable 5 V output 3
One plate contains multiple modules to generate sufficient voltage. These batteries
can also be charged from the live current wires of LOC using a simple converter
giving additional advantage as per aspect of supply. The detail description about the
Components used in the Prototype of Automatic Land Defense System using Radar
and Laser Gun is presented in Table 1.
2.1 Introduction to Arduino Uno
It consists of all necessary things to perform microcontroller operation; simply

connect it to computer with a USB cable or power it with an AC-to-DC adapter or
battery. It features the Atmega16U2 chip programmed as a USB-to-serial converter.
It has 13 digital pins and 7 analog pins, rest pins are voltage and ground pins. Analog
pins here are used for IR sensors; Digital pins are generally used for other operations.
Pin out: in this added SCL and SDA pins near to the pin AREF. And also two other
new pins are placed near to the reset pin. In this the IOREF allows the shields for
adapting the voltage that the board provides.
2.2 Cross Synchronized IR Sensor
IR sensor send Infrared signal from transmitter, these signal are reflected from object
and received by receiver. Here one sensor is sending signal to the receiver of the
other sensor as shown in Fig. 2, so that when any object is passed between these two,
both or either of the sensor receiver stops receiving the signal. Advantage of cross
synchronization is that one sensor failure will alarm the complete system and if any
Fig. 2 Cross synchronised IR sensors
sensor stops working, or give error, system will be alarmed. Otherwise it is possible
to damage one sensor and hence entering the border without being sensor.
2.3 Servomotor
A servomotor is a linear actuator or rotary actuator that allows for precise linear
position control or angular control, velocity and acceleration. It consists of a suitable
motor which is coupled to a sensor for position feedback. One servo is mounted
on other servo. Shaft of lower servo rotates in vertical direction and shaft of upper
(cascaded) servo is rotating in horizontal direction. Servo used is Tiny and lightweight
with high output power, 9 g in weight, with 01 s/60° speed and 1.8 kg f cm torque.
2.4 Ultrasonic Sensors HC- SR04
Ultrasonic HC-SR04 provides 2–400 cm range, with the accuracy about 3 mm.
These modules include ultrasonic transmitters, receivers, and control circuit, within
measuring angle of 15°. IO trigger is used in this for at least 10 us high-level signal,
The Module automatically sends eight 40 kHz signal and detect whether there is
a pulse signal back. If the signal is returned, through high level, the time from
sending ultrasonic to returning is time of high output IO duration. Following are the
component details.
3 Connections of the Automatic Land Defense System

for Border Prototype
Since Arduino is used so the low power prototype circuit consists of Arduino wires,
Arduino cables, HCSR sensor, UV sensor, servo motors, Camera, IT sensor and other
equipments. Following table shows the quantity and details of component used.
3.1 Connecting the Servo Motor
A servomotor is used for more precise controlling of angular position, acceleration

and velocity. A servo motor has following terminals:
1. GROUND 2. PULSE 3. VCC
Servo motor normally works at 4.8–6 volts. And is provided by Arduino ground.
The total time taken by a servo motor pulse is generally 20 ms. For moving it to one
end that is 0° angle, a pulse of 2 ms is used and also to move it to other end that
is 180°, pulse of 2 ms is applied. Hence, by this to move servo motor axis to the
center, a pulse of 1.5 ms is required. Aurduino provides the digital pulses for PWM
modulation of the pulse and servo motor pulse wire is connected to the Arduino.
3.2 Connecting the Ultrasonic Sensor
The ultrasonic sensor is fixed on the servo motor and further connected to the Arduino
board. Ultrasonic sensor is working on the principle of the reflection. When it is
connected to the Arduino, the Arduino provides a pulse to the sensor and the ultra-
sonic waves in provided in same forward direction. So, whenever there is object or
obstacle detected or present in forward direction, it reflects the waves which are then
received by the ultrasonic sensor. If these are detected, the signal is provided to the
Arduino and hence to the PC/laptop to the 3.3 processing software that shows the
presence of the object on the rotating type RADAR screen and shows distance also
and the angle at which object has been detected. In this all wiring connections are
done by I2C bus. Connections are as shown in the Fig. 3.
3.3 Using the Arduino IDE
It is an application of type cross-platform written in Java. A code or programme

which is written for Arduino itself is called a “sketch”. Programs of Arduino are
usually written in C++ or C. The Arduino IDE generally comes with a software
library which is called “Wiring” from the main Wiring project, that makes various
common operations of I/P much easier. User have to define any two functions to
complete executive program which is run able cyclic.
Fig. 3 Block diagram of the circuit of automatic land defence system for borders using radar and
laser gun
3.4 Arduino programming to display the RADAR screen
When electronic components used to form any circuit require some amount of trou-
bleshooting to make the circuit work as per our expectations. In this paper, there
were some problems that we had to deal with.
3.5 RADAR Code for Processing 3.3
Since the Shape of Object is detected using processing IDE and general code for the
circular Radar is used here. Basic Code for the Processing 3.3 has been taken from
the website source given in Ref. [7]. Basic function of radar is to detect location of
object so the source code is modified and used in the proposed model.
Since, Radar in 3D space has been used so the radar each time will be giving
the search result of the horizontal movement of UV sensor and each time, since the
vertical angle of Sensor changes and so the screen will be giving output of horizontal
shape, from lower height to more height, in each horizontal rotation of the Sensor.
So the processing part is modified for the same and hence by merging the multiple
results, the object in 3D space can be observed.
4 Working Procedures of the Proposed Model
Flow chart is helpful in the working procedure as the code used may be different
depending on the Language ‘or’ the platform used but Algorithm remains almost
same. Code is written according to the algorithm and Rate at which one complete
flow chart (or the code in given language) runs is decided by the baud rate and
operating frequency of the board selected.
Working of the proposed module can be divided into six sections based on Algo-
rithm as shown in Fig. 4. First section is about Algorithm, Second and Third section
gives description about Arduino and Processing Codes, fourth section is about search
procedure of the radar and fifth section is description of analysis of object.
Sixth section is nothing but the block diagram of the proposed model. Algorithm
section consist of three parts, detecting the object near border (4.1), then Searching
and firing the object (4.2) and at last, again searching the object and standby mode
(4.3). Algorithm may be same for the various codes in Different languages. Code
complexity, sensor quality and processor speed decides the accuracy and hence the
credibility of the proposed model.
With the advanced and supersonic radars used by DRDO, now days have the
capability to detect any missile or aircraft and even can respond within fraction of
milli seconds. Hence if adopted, proposed model has the capability to compete the
enemy’s warfare.
4.1 Detecting the Object Near Border
First, the Object is detected near the border. Alarm warns the object so that it doesn’t
cross the border. Once it crosses the border, it is sensed by either the infra-red sensors
placed in cross synchronization, and the UV sensor, acting as laser wall or the sound
sensors placed at nodes as shown in Fig. 5. Transmitter of one IR sensor is sending
IR rays to the receiver of the other sensor. Whenever the object comes between any
two IR sensors, Rays are interrupted and Arduino detects the difference in readings
and hence starting the Alarm. Advantage of cross synchronization is that one sensor
is dependent of the other one. Fault in one sensor will trip the alarm condition and
also if one Sensor if bypassed, other will interfere catching the object.
Fig. 4 Algorithm for automatic land defense system for borders
4.2 Motor—Laser Gun Operation
If the Object is detected once in ‘or’ near the border by the UV Sensor (or IR Sensors)
wall as shown in Fig. 5, the DC motor brings the servo, Sensor and laser set above
and radar starts searching the object. As soon Object is detected within the danger
limit, Laser fires it. Since there are multiple set of laser gun working simultaneously,
so multiple fires are done at the object from different position, keeping it deadly for
the moving Object.
Fig. 5 Laser wall using UV and IR sensors
4.3 Standby Mode
Even the object is fired; Radar-gun set still keeps on searching and again firing the
object for a specified time. If Object is not detected for a long duration, System goes
to standby mode and again Steps repeated from ‘4.1’. We connected the Ultrasonic
Sensor to the pin number TrigPin = 10, EchoPin = 11 on the Arduino Board & the
servo motor to pin number 12 on the Arduino Board shows circuit structure for this
paper. We made a base form plastic box for servo motor and ultrasonic that allows
servo motor to move circularly.
4.4 Writing and Uploading Sketch to Arduino
After making a sketch in IDE, for this paper, we need to include some libraries. We
use (Serial.h) built-in library to transfer data through the serial port with processing
3.3 software. Therefore, we add the last library for servo. Ultrasonic Base. Final
appearance motor (Servo.h) and added NewPing library which includes the last
update functions and features for the ultrasonic sensor.
4.5 Writing and Uploading Sketch of the Model to Processing

3.3
The values for the angle and the distance measured by the sensor will be read from
the Arduino board by the Processing code IDE using the SerialEvent() function and
reads the data from the Serial Port. These values are used to drawing the lines, the
detected objects and some texts. For drawing the radar display, we make this function
drawRadar() and which consist of line() and arc() functions. To draw the moving lines
we will make this function drawLine(). Its center of rotation is set with the function
translate() and by using the line() function in which the iAngle variable is used to
redraw each degree line to illustrate the text on the screen, we make the function
drawText() for drawing texts on some particular locations. All of these functions are
called in the main draw() function which is repeated in each iteration to draw the
screen details.
For simulating motion blur and slow fade of the moving line, we are using the
fill() function with 2 parameters. Data from the Ultrasonic Sensor of a Radar type
display is represented in Graphical form. If within the range the Ultrasonic Sensor
detects any object, the same will be displayed on the screen graphically.
4.6 Searching the Object in 3D Space and Firing the Object
Since Two servomotors are cascaded on each-other such that for each step movement
of shaft of horizontal motor, Cascaded motor completes on cycle of rotation and
hence covering the complete space, line by line as shown in Fig. 6. As soon Object is
detected by the UV sensors put on the servomotors, Laser hit the object. High power
Fig. 6 Shows how the UV sensor covers the 3D space by going horizontally and moving up to top
after each horizontal cycle and then coming down
lasers can even melt the object and speed of laser is exceptionally high. Even if the
object is moving, it cannot beat the speeds of UV Rays and the laser.
Since there is multiple numbers of servos laser set installed or more the one gun
will simultaneously fire at the object making it more beneficial in terms of accuracy
and Harm to object in per unit time.
4.7 Analyzing the Object
Before any object cross the border, an Alarm starts so the object is warned. If the
Object still crosses the proposed limit of Border, Laser-motor set starts and keep firing
the object. Once no motion is observed for 5 min after continues firing of object,
laser stops and search continues, and simultaneously Images of the spot are taken by
Camera. Using 8266 Wifi module, these Images can be sent for image processing to
identify the object. Since object here is being fired as soon it comes to warning area,
but still to identify the object, images can be helpful. Also Soldiers can interfere the
situation any time by interrupting the Motor—Gun set. Since we are not bothered
with the bird or animal, any object crossing the border may contain explosive, birds
may contain micro-cameras installed on body, and also intruders may use animal get
up, so due to high risk, Laser is firing the object, may it be a bird or the Intruder. Since
UV sensors are continuously running near border, so it keeps Birds away because
too much UV radiation causes irritation to birds.
4.8 Block Diagrams
The whole set up can be represented by a control system with feedback as shown in
Fig. 7. Whenever the object is detected, process starts again.
Fig. 7 Block diagram of the automatic land defence system for borders using radar and laser gun
It has been very clear that the future trend of the defence systems is about Automation
and Robotics and similar works are very useful in this regard. The automatic land
defence system using servo motor and laser gun is small effort in the same direction.
In this paper, the Processing 3.3 software has been used for simulations of the results
on the computer screen as shown in Fig. 8. Graphical results are shown.
Figure 9 shows green lines whenever it covers the area. For drawing the moving
lines we make drawLine() function. Its rotational centre is set with the function
Fig. 8 Radar screen using processing 3.3
Fig. 9 Radar lines

Fig. 10 Detection lines of any objects
translate() and by using function the line() in which to redraw the line for each
degree the iAngle variable is used.
Whenever any object enters in the range of our sensors, it will detect the object
and the Processing software converted green lines into red lines on the Computer
screen that is shown in Fig. 10.
A graphical representation of final Radar screen using Processing 3.3 is shown in
Fig. 11.
This is how our system responds to any objects enters in the restricted area. We
can also fire the object at the same time.
Fig. 11 Final radar screen using processing 3.3

Generally, our system is under grounds no one guess about the system, it active
only when some intruder or any objects comes in the range of the sensors. So we
can save the extra electrical energy, we are also using the solar cell to overcome
the problems where electrical energy is not available 24 h and extra energy can be
utilizing by feeding back to the power grid. Using the solar Charged battery makes
it very independent of Grid supply and it can easily work even in black out.
Since object is alarmed before it enters the border and if it enters the border, it is
found with exact location and fired with laser gun. Laser gun is quite fast and cost
effective and hence more deadly for the intruders. Cameras capture the object so that
it can also be used for image processing and object can be identified. If saves time
and increase response time. It decreases man force and cost of military in long run.
It can be controlled with one control room and anytime soldiers can take over the
border.
It covers the three-dimensional space means whenever any object is coming
through the Air, we can also detect that object and able to shootout the object in
the air itself using Laser gun.
This whole setup can be secured by RFID, Or the Password Keys or the finger
Print Sensors. Accuracy of such system can be very high when number of Radar-
Laser gun set increased. These type of monitoring systems can mostly be used in
surveillance, not in case of Wars.
Radar associated Guns can fir large number of objects in very less time. So Radar
Laser Gun Towers with Motors and belt attached at base can do wonderful job in
war time as well.
6 Conclusion
It has been very clear that the future trend of the defence systems is about Automation
and Robotics and similar works are very useful in this regard. The automatic land
defence system using servo motor and laser gun is small effort in the same direction.
Since object is alarmed before it enters the border and if it enters the border, it is
found with exact location and fired with laser gun. Laser gun is quite fast and cost
effective and hence more deadly for the intruders. Cameras capture the object so the
It can also be used for image processing and Object can be identified. If saves time
and increase response time. It decreases man force and cost of military in long run.
It can be controlled with one control room and anytime soldiers can take over the
border. The System used here is underground so it is very unlikely for the enemy
Radars to detect the position of Laser gun. The Radar and laser gun set comes up
only when it needs to fire the object. After firing the object also, system goes to
stand by condition and again hiding it under the ground. This whole setup can be
secured by RFID, Or the Password Keys or the finger Print Sensors. Accuracy of
such system can be very high when number of Radar-Laser gun set increased. This
type of monitoring systems can mostly be used in surveillance, not in case of Wars.
Using the solar Charged battery makes it very independent of Grid supply and it can
easily work even in black out.
References
1. Rajendra Radar is developed by DRDO, with the help of Electronics and Radar Development
Establishment (LRDE). https://defencelover.in/7-radar-systems-developed-by-drdo-for-indian-
armed-forces/
2. Central Acquisition Radar is designed by LRDE (a DRDO laboratory) and the joint operation
of Larson &Tubro, BEL and Entec. More info available at: https://en.wikipedia.org/wiki/Cen
tral_acquisition_radar_(3D-CAR)
3. (WLR) Swathi Weapon Locating Radar is jointly developed by LRDE (a DRDO venture) and
BEL. More information available at https://en.wikipedia.org/wiki/Swathi_Weapon_Locating_
Radar
4. Ashwini (Low level transportable radar LLTR) uses Rotating Active phased array, time synchro-
nizing receivers, Beam focusing, DBF based active array calibration, Multi beam focusing and
Real time monitoring with mechanical packaging. For more Info: https://www.drdo.gov.in/drdo/
English/lltr.pdf
5. Arudhara {Medium Power Radar (MPR)} uses 7 technologies of Ashwini radar and indepen-
dently rotating IFF Radar. It is developed by LRDE project. For more info: https://www.drdo.
gov.in/drdo/English/mpr.pdf
6. {Short Range (BFSR-SR)} Battle field surveillance radar is developed DRDO’s Bangalore based
LRDE laboratory and manufactured by BEL. https://en.wikipedia.org/wiki/BEL_Battle_Field_
Surveillance_Radar
7. Processing code has been modified but It was basically taken from the following Website: https://
howtomechatronics.com/projects/arduino-radar-project/
A Wideband Star-Shaped Rectenna
for RF Energy Harvesting in GSM Band
Vishal Singh, Vinay Shankar Pandey, and Vivek Shrivastava
Abstract This paper presenting the wideband printed star-shaped slot rectenna for
the RF energy harvesting. This rectenna provides wideband rectifier at 900 MHz for
global system for mobile (GSM) application. In this design, two rhombus-shaped
slots are used to merge the resonant modes near the centre frequency. The proposed
antenna provides the wide bandwidth of 47.58% (823–1336.9 MHz) than the conven-
tional rhombus-shaped slot. In rectifier circuit, the conversion efficiency of 61.7%
at −8dBm at 900 MHz for GSM band has been achieved. The received waves is
rectified and converted into DC power by using Schottky diode HSMS 2850. L-type
equivalent circuit is used to get total output power at the load. The output voltage
provides 2 V at 0 dBm. This device is good for RF energy harvesting. This proposed
rectenna can be utilized for the GSM applications.
Keywords Efficiency · Energy harvesting · Rectenna · Slot · Wideband
1 Introduction
With the advancement in technology, energy harvesting is developing day by day.

These technologies are widely used in the sensors, cell phones and electronic devices
[1]. For commercial purposes, the designing of the high efficiency radio frequency
in harvesting system is a challenging task. Due to the availability of low power
V. Singh (B)
Department of Electronics and Communication, National Institute of Technology, Delhi, New
Delhi, Delhi, India
e-mail: vs03011994@gmail.com
V. S. Pandey
Department of Applied Sciences, National Institute of Technology Delhi, New Delhi, Delhi, India
e-mail: vspandey@nitdelhi.ac.in
V. Shrivastava
Department of Electrical and Electronics, National Institute of Technology Delhi, New Delhi,
Delhi, India
e-mail: shvivek@nitdelhi.ac.in

https://doi.org/10.1007/978-981-15-5463-6_15
164 V. Singh et al.
regions, energy harvesting is in great demand at some locations. In this motive, the
most important requirement is the replacement of batteries with the rectenna. The
researchers focused on how to increase the efficiency of rectenna device [2]. Recently,
many technologies have been used to harvest energy [3]. However, these energy
harvesting systems are limited at the same time. The solar energy can be used during
the day time and thermo-electric energy is generated at a constant temperature for
example at a temperature gradient of 100 °C, the efficiency reaches 20% [4]. Mostly,
rectenna are used for energy harvesting purposes and tested by using particular
sources rather than ambient RF energy [5]. To achieve high efficiency of 80%, the
input power level should be greater than 300 uW/cm2 [6]. An efficiency having
value 60% is achieved using density (i.e. 1.49 uW/cm2 ). External sources that give
low input power levels at operating frequency of 2.4 GHz used with the compact
dual circularly polarized antenna has been proposed [7]. An efficiency of 60% was
achieved at a −22.6 dBm input power [8]. In addition, a high efficiency broadband
rectenna for RF energy harvesting operating in the frequency range of 1.8–2.5 GHz
is presented in [9] with 55% conversion efficiency measured at −10 dBm input
power. In [3], four symmetrical slot antennas has gain of 2.5 dBi and operate in the
frequency range of 815–3000 MHz with radiation efficiency 50%. Antenna arrays
have also been recently used to achieved maximum gain and radiation characteristics
of the transmitting antenna. However, there is a limitation with the increased number
of elements as it creates problem in the communication between the transmitting
and receiving antenna. In addition, any disturbance in the coupling leads to the
narrow bandwidth [3]. In this research work large bandwidth achieved at the resonant
frequency 900 and 1227 MHz The rectenna consist of one single monopole antenna
with the combination of rhombus over square slot antenna with one rectifier circuit.
This rectifier circuit has one Schottky diode HSMS 2850 with breakdown voltage
3.8 V, series resistance 25 and junction capacitance C jo = 0.18 pF to rectify the
receiving signal from the antenna. L-type matching circuit has been used to get the
total output power at the load with the conversion efficiency 61.7%.
2 Antenna Design
Figure 1a shows antenna-1 geometry. The slot antenna has been printed on the FR-
4 epoxy substrate having thickness 0.508 mm and dielectric constant, ∈r = 4.4.
The physical dimensions of the proposed antenna is 120 × 120 × 0.578 mm3 . The
description of the proposed antenna is detailed in Fig. 1b.
where, wr is a side of the rhombus slot,
ws = side of the antenna,
s = side of the square slot

A Wideband Star-Shaped Rectenna for RF Energy Harvesting … 165
Fig. 1 Geometry of a antenna-1, b antenna-2, c side view and d front view of the antenna
wm = width of the feedline
a = length of the feedline
H = width of the substrate
The antenna-1 is a rhombus-shaped slot antenna with a 50 microstrip feedline

for the RF excitation. The width and length of the feedline is 2.3 mm and 72.2 mm,
respectively. The wide slot is chosen in the shape of rhombus for the excitement
of two corresponding modes having resonant frequencies closer to each other [10].
The proposed antenna provides the dual-band impedance response at 900 MHz and
1227 MHz, respectively. This simple design of antenna can be utilized for the GSM
band applications. The position of the feedline should be kept at optimal position to
maintain the coupling between the slot and monopole. In the proposed antenna design,
increasing the stub length leads the resonance frequency band shifting towards the
lower band. On changing the stub dimensions i.e. length and width, maximum gain
has been achieved. Thus, improves the impedance passbands of the antenna.
Figure 1b shows that the proposed antenna has the overlapped rhombus and square
shaped slot cut from the ground plane at the top of the substrate. The square slot
creates notches at the four edges of the rhombus slot. The parametric analysis has
been done in order to find the optimum dimensions of the square slot. When the
proper size of the square slot is chosen, then resonant modes generated near the
center frequency of the rhombus-shaped slot has been merged and wider bandwidth
has been obtained. The similar radiation pattern and polarization has been achieved
due to resonant modes, [11]. In the antenna-1, rhombus slot is calculated by using
the formula given below as [12].
c
width = (1)
2 f0 εr +1
2
166 V. Singh et al.
Fig. 2 Reflection coefficient

of the antenna-1 and
antenna-2
⎡ ⎤
εr + 1 εr − 1 ⎢
⎢ 1 ⎥
⎥
εeff = + ⎦ (2)
2 2 ⎣
1 + 12 H
Wr
⎛
⎞
c (εeff + 0.3) + 0.264
H
Wr
length = √ = 0.824⎝ ⎠ (3)
2 f 0 εeff (εeff − 0.258) WHr + 0.8
where, r = permittivity of the substrate,

eff = effective dielectric constant of the substrate
and f = operating frequency.
Figure 2 shows that the simulated results of S 11 parameters of the antenna-1
and proposed antenna. The corresponding impedance bandwidth of the antenna-
1 is 15.32% (1241.6–1447.7 MHz) and that of the proposed antenna is 47.58%
(823.73–1336.9 MHz). Hence, bandwidth enhancement is obtained with the merging
of resonant modes at 900 and 1227 MHz using the specific shape of the slot. This
proposed antenna design is used for the GSM application.
3 Experimental Results and Discussion
In this passage, the results are simulated using CST software to analyze the simulated
S11 parameter, surface current distribution, gain, directivity and efficiency of the
antenna. The parametric analysis of the square slot has been done carefully. The
size of the square slot has been optimized from 68 to 80 mm to obtain the desired
Fig. 3 Return loss of the

antenna-1 and antenna-2
with different values of Wr
response of the antenna. Figure 3 shows the variation in W r . A wider impedance

bandwidth has been obtained by the merging of nearby resonant modes achieved by
the parametric analysis of the proposed antenna design (Figs. 4 and 5; Table 1).
Figure 6 shows the antenna efficiency of the antenna-1 and proposed antenna.
The antenna efficiency of the proposed antenna at 900 MHz and 1227 MHz is 80.8%
and 90.2%, respectively. Figure 7a, b shows the first and second resonant mode
in the antenna design, respectively. In star-shaped antenna, square slot works at one
wavelength mode with the current distribution at the notch of the slot. Second resonant
modes generated due to the wide slot of rhombus approximately at a distance of λ/4
and current distribution is mainly at the monopole therefore impedance bandwidth
is large as compared to the antenna-1.
Fig. 4 Gain of the antenna-1

and antenna-2
168 V. Singh et al.
Fig. 5 Directivity of the

antenna-1 and antenna-2
Table 1 Comparison of the

W r (mm) Gain at 900 MHz (dBi) Gain at 1227 MHz (dBi)
gain with the variation in
dimensions of the square slot 68 2.56 3.75
72 2.92 3.76
74 2.96 3.62
76 3.19 3.61
80 3.12 3.59
Fig. 6 Antenna efficiency of

the antenna-1 and antenna-2
Fig. 7 Surface current distribution of the antenna-2 at a 900 MHz and b 1227 MHz
4 Design of RF Energy Harvesting Circuit
The conventional rectifier circuit has been designed in ADS simulation tool. The
diodes are used to rectifying the AC into DC and Schottky diodes (such as HSMS
2850, HSMS 2852, HSMS 2860 etc.). The input impedance of Schottky diodes is
7.980 – j198. These values are calculated by using AVAGO advanced design system
(ADS) software. In the rectifier circuit, the impedance matching circuit is introduced.
It contains the inductor and capacitor components in the circuit. The value of the
component of the rectifier circuit is decided by smith chart utility in ADS software.
Low pass filter (LPF) is used to reduce the higher order harmonics. It is connected
before the load to get pure DC output voltages. It is very important to note that the
input impedance should be equal to output impedance to get maximum power at the
load. If it is not equal then matching circuit are inserted between source and rectifier
circuit. The schematic of the rectifier circuit is shown in Fig. 8.
Figure 8 gives a voltage doubler configuration. A Schottky diode HSMS 2852 is
designated as D1 and D2. The parameters values of the components of this circuit
as given below in Table 2. In this rectifier circuit, L-type matching is used and LPF
Fig. 8 Circuit diagram of the voltage doubler using ADS

170 V. Singh et al.
Table 2 Analogy of the proposed antenna with the other reported antennas
Refs. Centre freq. Bandwidth (%) Gain (dBi) Efficiency (%) RF energy
(MHz) harvesting
[10] 4500 48.90 <2 – No
[11] 3750 102.9 4.01 – No
This work 1080.3 47.58 3.75 61.7 Yes
Table 3 Component parameters of the circuit

Components L1 L2 C1 C2 C3 R
Values 56.6 nH 0.5 nH 30 pF 25 pF 28 pF 10 k
is used to reduce the higher order harmonics generated by nonlinear behavior of the
Schottky diode as a result to get high voltage as compared without using LPF. The
input RF power supply is applicable to the −8 dBm to the rectifier circuit with the
frequency of 900 MHz and the source impedance of 50 (Table 3).
5 Parametric Analysis of the Characteristic Components
The performance of the rectenna is based on the conversion efficiency. The efficiency
will be affected by changing the value of load and number of Stages.
5.1 Parametric Analysis
(a) Effect of load impedance
This section shows the factors which affect conversion efficiency on various the load
impedance. Figure 9 shows that the high efficiency is achieved at the −8 dBm up to
61.7% with 10 k Load. This Fig showing that on increasing the load, the efficiency
is increased up to optimal point. After optimal point the efficiency decreasing up to
null. On increasing the load, the efficiency will decrease.
(b) Consequences of the different of stages
On increasing number of stages, the output voltages and conversion efficiency

increase up to optimal values after that voltages and efficiency decays. It is clearly
shown in the Fig. 10 that the conversion efficiency is highest at 2nd stages as compare
to other stages because power loss is introduced in the low power region. Figure 11
Fig. 9 Efficiency versus

input power for various loads
Fig. 10 Different stages of

conversion efficiency of
energy harvesting circuit
shows that the conversion efficiency with L-type matching circuit and first stages of
rectifier circuit as achieved 61.7%. At 900 MHz, the maximum efficiency achieved
at −8 dBm is 61.7%.
172 V. Singh et al.
Fig. 11 Simulated results of

conversion efficiency versus
input power
6 Conclusion
A wideband impedance response with the bandwidth enhancement technique is

obtained by using the specific shape of the slot. Further, modes of the near reso-
nant frequencies are merged in order to obtain the wideband antenna response. By
optimization, parametric analysis has been done and the antenna with gain 2.96 dBi
and radiation efficiency is 80.8% is proposed. Furthermore, the antenna gain can
reach 2.96 dBi at 900 MHz and 3.62 dBi at 1227 MHz. The impedance bandwidth
of the proposed antenna is 47.58% (823.7–1336.9 MHz) which provides the wide-
band antenna response. Additionally, matching network is used to achieve the single
band rectifier circuit having conversion efficiency 61.7% at 900 MHz for GSM band
applications.
References
1. Paradiso JA (2005) Energy scavenging for mobile and wireless electronics. IEEE Pervasive
Comput 4(1):18–27
2. Humble P (2003) Optimization of nickel-zinc microbatteries for hybrid powered microsensor
systems
3. Khemar A, Kacha A, Takhedmit H, Abib G (2017) Design and experiments of a dual-band
rectenna for ambient RF energy harvesting in urban environments. IET Microwav Antennas
Propag 12(1):49–55
4. Belhadj-Yahya C (2010) Energy options for wireless sensors. In: 2010 IEEE international
energy conference on exhibition EnergyCon, pp 564–569, 2010
5. Monti G, Corchia L, Tarricone L (2014) Ism band rectenna using a ring loaded monopole. Prog
Electromagn Res C 33:1–15
6. Takhedmit H et al (2010) Efficient 2.45 GHz rectenna design including harmonic rejecting
rectifier device. Electron Lett 46(12):811–812
7. Haboubi W et al (2014) An efficient dualcircularly polarized rectenna for Rf energy harvesting
in the 2.45 GHz ISM band. Progr Electromagn Res 148:31–39
8. Le T, Mayaram K, Fiez T (2008) Efficient far-field radio frequency energy harvesting for
passively powered sensor networks. IEEE J Solid-State Circ 43(5):1287–302
9. Fan S et al (2018) A high-efficiency radio frequency rectifier-booster regulator for ambient
WLAN energy harvesting applications. In: 2018 IEEE MTT-S international wireless sympo-
sium (IWS) IWS 2018—Proceedings, pp 1–3
10. Jan J-Y, Su J-W (2009) Bandwidth enhancement of a printed wide-slot antenna with small
slots. AEU—Int J Electron Commun 63(10):896–900
11. Jan JY, Wang LC (2009) Printed wideband rhombus slot antenna with a pair of parasitic strips
for multiband applications. IEEE Trans Antennas Propag 57(4 PART 2):1267–1270
12. Shi Y, Fan Y, Li Y, Yang L, Wang M (2019) An efficient broadband slotted rectenna for wireless
power transfer at LTE band. IEEE Trans Antennas Propag 67(2):814–822
Cylindrical Shell Panel of FGM Analysis
Elastically Supported and Uncertain
Material Parameters
in Hygrothermomechanical Loading
Rajesh Kumar
Abstract Present study is carried out on cylindrical shell panel of FGM

elastically supported hygrothermomechanical loading conditions. Analysis tech-
nique is extended for cylindrical shell panel earlier applied for FGM plates. The
study is focused on variations of volume fraction index with moisture and temperature
combined effect for validation study and change in plate thickness ratio, foundation
parameters, change in hygrothermomechanical loading, and simultaneously, change
in amplitude ratios. Comparison is carried out with available published work and
robust method MCS approach. Applicability of this study is in aerospace engineering.
Keywords Cylindrical shell panel · Foundation supports · Uncertain parameters
Nomenclature
Aij , Bij , etc. Laminate stiffnesses

νf , νm Poisson’s ratio of fiber and matrix, respectively
V m , Vf Volume fraction of fiber and matrix, respectively
R. Kumar (B)
Department of Mechanical and Aerospace Engineering, NIET, Nims University, Jaipur,
Rajasthan, India

https://doi.org/10.1007/978-981-15-5463-6_16
176 R. Kumar

N x , N y , N xy In-plane thermal buckling loads
p
C̄i jkl Reduced elastic material constants
element
u, v, w Displacements of a point on the mid plane of plate
ū 1 , ū 2 , ū 3 Displacement of a point (x, y, z)
σ̄i j , ε̄i j Stress vector, strain vector
ψ y , ψx Rotations of normal to mid plane about the x- and y-axes, respectively
ω, ω̄ Fundamental frequency and its dimensionless form
RV s Random variables
α1, α2, β 1, β 2 Thermal expansion and hygroscopic coefficients along x- and y-
directions, respectively
1 Introduction
A number of methods are used earlier for analysis of cylindrical shell panel of
FGM based on either analytical methods or SFEM with first-order shear deformation
theory. Noted work of [1–8].
In literature review, it is found that buckling of the composite laminated shell panel
investigation in temperature and moisture combined conditions with mechanically
loaded environment on foundation supports with uncertainty is not studied so for [9,
10]. In this work, SFEM with FOPT and HSDT combined is applied to find out mean
values and COV values using MATLAB code [7, 11].
The detailed formulations are expressed as [4, 12].

A typical cylindrical shell panel with its coordinate definitions and direction
dependent of a typical lamina is shown in Fig. 1. It is assumed that laminates are
composed of thin orthotropic layers and are perfectly bonded together. A shell of
radius R, h and in-plane loads is taken for investigation. Modified coordinates used
Cylindrical Shell Panel of FGM Analysis Elastically Supported … 177
Fig. 1 Geometric view of cylindrical shell panel
for the study are ξ1 axial, ξ2 circumferential, and ζ radial surface metrics. For an
arbitrary composite cylindrical panel, the displacement field model can de expressed
as [4].
3 Governing Equations for Solutions
FOPT, average deformation investigation, and COV are given in [4].
In this investigation, a total 567 DOFs has been used for the present HSDT model
[11] for investigation.
The outcome is found out in terms of coefficient of variations of the uncertainty
of 0.10 [13, 14] as expressed for limitation of first-order perturbation method [13].
E 1 , E 2 , G12 , G13 , G23 , υ 12 , α 1 , α 2, β 2 , k 1 and k 2 expressed as:
p1 = E 11 , p2 = E 22 , p3 = G 12 , p4 = G 13 , p5 = G 23 , p6 = α11 ,
p7 = α22 , p8 = β2 , p9 = k1 , p10 = k2
Ncrl b2
λcrl = ,
E 22 h 3
178 R. Kumar
where, N crl is the dimensional hygrothermal buckling load KW [E 22 studied at C

= 0%, T = 0 °C, V f = 0.06] [15].
The dimensionless foundation parameters used for the analysis can be illustrated
as [16].
k1 = K 1 b4 /E 22
d 3
h ; k2 = K 2 b4 /E 22
d 3
h ;
For validation, the material properties are given in [16]. Other material properties
are given in [1, 2, 17]
E f 1 = 220 GPa, E f 2 = 13.79 GPa, E m = 3.45 GPa,

G f 1 = 8.79 Gpa, ν f 12 = 0.2, νm = 0.35
a f 1 = −0.99 × 10e−6 ◦ /C, a f 2 = −10.08 × 10e−6 ◦ /C,

βm = 0.33, Tg0 = 216 ◦ C
The presented geometry used is characterized by side-to-thickness ratios (a/h) =

5, 20, 40, 60, 80, and 100, radius to side ratio(R/b) = 10, 40, 50, and 70, respectively,
and fiber matrix ratios (V f ) = 0.4, 0.5, 0.6, and 0.7.
4.1 Comparison Study of Average Thermal Deforming Force
Table 1 Moisture and temperatures have dominant effects and the present results are
in good agreement with the available analytical published results [3] and FEM results
of Lal et al. [4].
4.2 Validation Study for Random Hygrothermal Deformed

Force
Figure 2 The validation study of present SFEM has been done by [13].
Table 2 For initial environments average and coefficient of variations are lower
for cylindrical shell panel, mean increases and COV decreases for Winkler and
Pasternak elastic foundations. When there is increase in thickness ratio, i.e., thick
cylindrical shell panel to thin the mean decreases drastically; however, COV increases
to maximum values. Mean and COV is less for Pasternak elastic supports in compar-
ison to Winkler elastic supports. Thickness ratios are noticeable for design. SSSS
shell panel is more susceptible for variations as compared to CCCC shell panel.
Table 3 For given fiber volume fractions, initial environmental conditions, the
mean and COV of cylindrical shell panel are higher for Winkler and Pasternak support
Table 1 Validation of deforming force (KN) for cross-ply-cylindrical shell panels under different study conditions (a/h = 100, R/b = 10, a = 0.1 m, b = 0.1 m)
Environmental conditions V f = 0.5 V f = 0.6 V f = 0.7
Lal et al. [4] Shen [3] Present Lal et al. [4] Shen [3] Present Lal et al. [4] Shen [3] Present
T = 0 °C, C = 0% 9.2623 9.1853 9.0749 11.053 10.8900 10.8733 13.2750 13.0708 12.8457
T = 100 °C, C = 1% 8.8731 8.7211 8.6855 10.632 10.3696 10.3737 12.8860 12.4859 12.1730
T = 200 °C, C = 2% 8.2563 8.2439 8.3743 10.231 9.8304 9.9785 12.0324 11.8729 11.6473
T = 300 °C, C = 3% 8.1680 7.7530 8.1299 9.9248 9.2710 9.6717 11.7361 11.2295 11.2433
Cylindrical Shell Panel of FGM Analysis Elastically Supported …
179
180 R. Kumar
Pandey et al.[9]
25
Lal et al . [8]
Present [HSDT]
δ T= 0, δC= (0,1,3) %
20
Vf =0.4, 0.5, 0.6
0 0
[0 /90 ]2T , a/h=10
15
Tcrl
10
0
0.0 0.1 0.2 0.3 0.4 0.5 0.6
Vf
Fig. 2 Validation of dimensionless deformed force due to combined effects of moisture and
temperature, CCCC, [0°/90°]2T laminate, (N x ) V f (=0.4, 0.5, 0.6), a/h = 10, T = 0 °C
compared to without foundations; however, mean and COV seem more in case of
other support. On increase of fiber volume fractions, the mean further increases and
there is slight change in COV. On increase of temperature and moisture, the mean
decreases and COV increases for both elastic foundations.
Table 4 It is noticed that for initial environmental conditions the mean and COV
is higher for Winkler and Pasternak elastic foundation support of cylindrical shell
panel compared to without foundations. On increase of temperature and moisture
conditions the mean further decreases and COV increases. Mean and COV is higher
for Pasternak support compared to without and Winkler support.
5 Concluding Remarks
Average hygrothermal deforming force in moisture and temperature environments

for laminated composite cylindrical shell seems more influenced in E 11 , E 22 , and
G13 . In terms of uncertainty are to be looked in.
1. It is also observed that for similar supported deforming force rises in moisture
and temperature conditions for (0°/90°) lay-up. Variations in (R/b) have lowest
impact on the hygrothermal deformation force for [0°/90°] lay-up.
2. The combined influence of moisture and temperature on deforming force is much
higher compared to moisture and temperature conditions separately applied due
to more degradation.
Table 2 Influence of (a/h), pi , {i = (1 to 10) = 0.10} on average (T crnl *1.0e + 2 KN) and COV (λcrnl ) of hygrothermomechanically induced buckling load of
[0°/90°]2s laminated cylindrical shell panel supported by Winkler and Pasternak foundations with (SSSS) and (N x ), R/b = 50, V f = 0.6
a/h W max /h (T = 0 °C, C = 0%) (T = 200 °C, C = 2.0%)
Without foundations Pasternak foundations Winkler foundations Pasternak foundations
Average Coeff. of variation Average Coeff. of variation Average Coeff. of variation Average Coeff. of variation
5 0.0 796.5922 0.0816 2459.00 0.1082 331.8793 0.0783 1018.60 0.1080
20 0.0 44.440 0.1117 71.750 0.1151 33.620 0.1124 54.180 0.1157
40 0.0 06.000 0.1139 09.440 0.1165 5.1432 0.1164 8.0844 0.1178
60 0.0 1.8148 0.1146 2.8357 0.1169 1.6299 0.1243 2.5460 0.1211
Cylindrical Shell Panel of FGM Analysis Elastically Supported …
80 0.0 0.7733 0.1152 1.2046 0.1172 0.7117 0.1422 1.1084 0.1290

181
182 R. Kumar
Table 3 Effect of volume fractions (V f ), pi , {i = (1 to 10) = 0.10} for dimensional mean (T crnl ) KN
and COV (λcrnl ) of hygrothermomechanically influenced deforming force, cross-ply [0°/90°/0°/90°]
cylindrical shell, SSSS conditions (N x ), a/h = 30, R/b = 40
Vf W max /h (T = 0 °C, C = 0%) (T = 200 °C, C = 2.0%)
Winkler Pasternak Winkler Pasternak
foundations foundations foundations foundations
Mean COV Mean COV Mean COV Mean COV
0.4 0.0 550.4749 0.1475 881.4444 0.1637 455.8679 0.1532 730.6475 0.1673
0.5 0.0 679.2304 0.1480 1089.20 0.1643 558.1921 0.1526 895.7618 0.1674
0.6 0.0 813.4893 0.1476 1304.60 0.1639 657.7374 0.1516 1055.50 0.1669
0.7 0.0 958.0859 0.1459 1534.70 0.1623 750.7772 0.1499 1203.20 0.1654
Table 4 Effects of environmental conditions, pi , {i = (1 to 10) = 0.10} for dimensional mean

(T crnl ) KN and COV (λcrnl ) of hygrothermomechanically influenced deforming force of cross ply
[0°/90°/0°/90°] shell panel, SSSS uniaxial (N x ), a/h = 80, R/b = 70, V f = 0.6
Winkler foundations Pasternak foundations Winkler foundations Pasternak foundations
Average Coeff. of Average Coeff. of Average Coeff. of Average Coeff. of
variation variation variation variation
(T = 0 °C, C = 0%) (T = 100 °C, C = 1.0%)
44.3544 0.1487 70.4123 0.1640 42.0497 0.1731 66.7954 0.1739
(T = 200 °C, C = 2.0%) (T = 300 °C, C = 3.0%)
40.2802 0.2104 64.0316 0.1901 38.9581 0.2470 61.9774 0.2073
(T = 400 °C, C = 4.0%) (T = 500 °C, C = 5.0%)
38.0196 0.2776 60.5325 0.2225 37.4250 0.3001 59.6352 0.2343
References
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shells. Compos Sci Technol 60(8):1227–1240
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deformable laminated cylindrical shells. Int J Solids Struct 38(36–37):6357–6380
3. Shen H-S (2002) Hygrothermal effects on the postbuckling of axially loaded shear deformable
laminated cylindrical panels. Compos Struct 56(1):73–85
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cylindrical shell panel subjected to hygrothermomechanical loading. Compos Struct 93:1187–
1200
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composite plates with circular cutout subjected to in-plane shear. Jordan J Civ Eng 3(2):184–195
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laminated composite plates. ASCE 23, 0893–1321
17. Shen H-S (2001) Hygrothermal effects on the postbuckling of shear deformable laminated
plates. Int J Mech Sci 43:1259–1281
Influence of Digital Technologies
on Migration Flows and the Regional
Labor Market of Russia
Kruglov Dmitrii , Tsygankova Inga , Reznikova Olga ,

and Mikhailov Sergey
Abstract The article examines the state of migration processes in the regional labor
markets of Russia. Using correlation and regression analysis, revealed the rela-
tionship between the share of foreign labor force and indicators of St. Petersburg
economic security. On the basis of official statistics, a tendency of growth in the
need of the city for highly skilled workers has been determined. The features of the
employment new forms impact (telework and virtual employment), related to digital
technologies, on the regional labor market and the situation in the field of migration
are considered. Recommendations on the development of employment forms, using
digital technologies, are proposed.
Keywords Digital technologies · Labor force · Distance employment · Telework ·

Virtual employment · Migration · Labor market
1 Introduction
Digital technologies significantly influence on many aspects of our life over the
past decades, without having left aside the sphere of employment and the labor
market. New forms of employment are emerging, closely related to the use of infor-
mation and telecommunication systems: distance employment (telework, telelabor)
and employment in virtual enterprises. Telework is an activity that is organized
K. Dmitrii · T. Inga (B) · M. Sergey

St. Petersburg State Economics University, Saint-Petersburg 191023, Russia
e-mail: icygankova@list.ru
K. Dmitrii
e-mail: kdvspb@list.ru
M. Sergey
e-mail: premia1000@rambler.ru
R. Olga
KFU Vernadsky, Simferopol 295015, Russia
e-mail: os@crimea.com

https://doi.org/10.1007/978-981-15-5463-6_17
186 K. Dmitrii et al.
remotely from the employer and is performed using information and telecommu-
nication systems (digital technologies). A number of publications by domestic and
foreign researchers [1–8] are devoted to the specifics of labor organization in the
framework of telework, it advantages and disadvantages. However, employment in
a virtual enterprise remains little explored. There are almost no publications on this
topic in the domestic literature. In the western specifics of labor organization in the
framework of telework, it advantages and disadvantages. However, employment in
a virtual enterprise remains little explored. There are almost no publications on this
topic in the domestic literature. In the western literature, concrete examples of the
activities of virtual enterprises are mainly described [9, 10]. Sometimes authors do
not distinguish between the terms “telework” and “virtual employment,” using them
as synonyms, although telework and virtual employment differ significantly from
each other, having their own specific characteristics [11].
Usually, a virtual enterprise is a voluntary form of cooperation between individ-
uals and organizational structures. They operate independently and geographically
separated, but have common goals, ready to pool any resources and use mainly
electronic means of communication. Such an enterprise either has no buildings and
facilities at all, or there is a small office with a very small number of jobs. Employees
either work at home, or use satellites office and communicate with each other using
telecommunication systems. Virtual enterprises are created and operate in various
sectors of the economy, but most often in the field of information technologies and
industry.
In our opinion, the differences between telework and employment in virtual
enterprises follows:
• employment on a virtual enterprise involves communicating exclusively in the
virtual space, while telework in most cases supposes partial performance of
labor functions in the enterprise. However, traditional communication within the
company’s territory is necessarily required for a certain period of time;
• the organization of labor when, using telework, is more traditional: the enter-
prise, where the employees work, has its own building, facilities, etc., although
geographically it can be located remotely from the actual places of the employees
work;
• the programs, which are used for work and transfer of the labor results in distance
employment, are more specialized, designed for certain professional groups, or for
using in a particular sector of the economy, while programs, used in a virtual enter-
prise, are more universal and are mainly intended to provide good communication
between participants of labor processes;
• teleworkers are usually employees of one company, cooperation takes place
within the same enterprise. Virtual employment implies that cooperation can take
place not only between individual employees, but also between various structural
departments, that have economic independence.
Influence of Digital Technologies on Migration Flows … 187
Work in the virtual space has led to the fact that the labor process has ceased to
be tied to the certain area. Due to online platforms, workforce teams are created, that
work on the same task or one project, but are located in different countries and in
different enterprises.
2 Formulation of the Problem
Telework and employment in virtual enterprises have particular interest for those who
want to find employment in another country or in a region other than the region of
residence. The modern globalization processes not only have strengthened the devel-
opment of the digital economy, but also the intensity of migration flows throughout
the world. Migration influences on the world economic system and the economy
of individual countries seriously. A large number of publications by Russian and
foreign scientists are devoted to labor migration issues. Researchers, studying the
economic aspects of migration, most often focus on:
• the main trends in the field of migration and migration flows direction (S.
Aslakhanova, O. Rybakovsky, S. Martynenko, S. Chantavanich, P. Vungsiriphisal)
[12–14];
• the impact of migration on the economic situation of the donor country (S. Chanta-
vanich, P. Vungsiriphisal) [14];
• causes of migration, poverty and income inequality of migrants and the indigenous
population of the recipient country, as well as migrants’ vulnerability from labor
laws (H. Esser, V. Milanovic) [15];
• the influence of migration on the labor market and the economic situation of
the recipient country, as well as problems of migrant integration (J. Huguet, A.
Chamratrithirong, C. Natali, L. Salaris, N. Tedesco) [16, 17].
But it should be noted that external migration directly affects on not only the
economy of the country as a whole, but also on the economic security of the state.
Russia is a migrant recipient, that is, the number of arrivals in the country is much
higher than the number of people who left the country. So, in 2016, the migration
increase in the country amounted to 261,948 people, in 2017—211,878 people [18].
The migration processes, occurring in the country in recent decades, are different
from those, took place at the beginning of the twenty-first century. Internal migration
is characterized by the fact that there is a return of people from the oil and gas
producing northern regions of Russia to Moscow and St. Petersburg, as well as to the
Southern Federal District. They are differentiated by favorable climatic conditions,
outflow of population from Siberia and the Far East, reducing of migration from
village to the city. External migration is characterized by intensive migration flows to
Russia from the CIS countries and the People’s Republic of China, by the emigration
of highly skilled
Russians to countries with developed economies.
Table 1 Population size (PS) and migration growth coefficient (MGC) on districts of Russia in
2016–2017a
Region of Russia 2016 2017
PS, thousand people MGC, % PS, thousand people MGC, %
Central region 39,209 45.0 39,311 50.6
North-Western region 13,899 40.5 13,952 54.7
Southern region 16,429 48.3 16,442 26.9
North Caucasus region 9776 −21.3 9823 −25.9
Volga region 29,637 −4.8 29,543 11.7
Ural region 12,345 12.4 12,356 0.3
Siberian region 19,326 −6.5 19,288 −15.7
Far Eastern region 6183 −28.1 6165 −27.7
a The table was compiled by the authors on the basis of Rosstat data [18]
The direction and intensity of migration flows and the degree of their influence in
different regions of the country vary (Table 1).
Intensive migration processes in modern conditions led to the transformation of
the demographic structure in the country and the emergence of problems in the
economic sphere that affect the security of the state or its individual regions:
• the population in Siberia and the Far East is decreasing, and the process of
replacement of the region’s indigenous population by the migrants is taking place;
• population density in the southern regions of Russia is increasing, there is an
overabundance of labor force in the labor market;
• the average wage level in sectors, where a large number of migrants are employed,
is declining, as people from lower-income countries agree to work for lower
wages;
• employment opportunities for the indigenous population are decreasing in sectors,
where a large number of migrants works;
• there is an influx of predominantly low-skilled labor force, while the country needs
highly skilled workers and specialists to build an innovative type of economy;
• the level of education, received in another country, does not always satisfy Russian
requirements.
3 Analysis of the Migration Processes Impact on the Labor

Market of St. Petersburg
The increased concentration of migrants in individual regions has an impact on

regional labor markets. The North-Western Federal District is a developed region
of Russia and plays an important role in the economic development of the country.
The center of foreign labor force attraction in it is St. Petersburg—the second largest
city in Russia. In this case, we are interested in the situation with the influx of
foreign labor force to St. Petersburg, and how it impacts on the economic security of
the Russian Federation subject. Here, the quality parameters of migrants should be
assessed and taken into account for improving the efficiency of measures to regulate
labor migration. Table 2 shows the number of foreign workers who came from the
CIS countries to St. Petersburg over the past 5 years.
As can be seen from the data of Table 2, the number of foreign workers, who
arrived in the Russian Federation from almost all CIS countries, with the exception
of Turkmenistan, is higher, than the number of those who left the country. At the
moment, the largest suppliers of labor force are Kyrgyzstan, Ukraine and Belarus.
More than half of all labor migrants arrive from there (58.87%). Also, the main
suppliers of labor force are Armenia and Moldova. Analysis of the region need for
employees and citizens of foreign countries, working in certain types of activity,
showed, that the largest number of vacancies was noted in construction, agriculture,
wholesale and retail trade. At the same time, a significant part of foreign workers
occupies jobs that are unattractive for the local population.
But a surplus of low-skilled foreign labor force in certain sectors of the economy
creates tension in the labor market in the same sector. It connects with a large number
of illegal migrants who do not have work permits and the necessary documents. Their
number is not taken into account by official statistics, because they are very difficult
to estimate. To identify illegal migration and attract foreign workers to work without
documents, law enforcement officers systematically conduct raids to prevent and
combat offenses in the field of migration. The prosecutor’s office in this matter
also does not stand aside. In 2017, prosecutors managed to identify violations of
Table 2 Dynamics of change in the number of foreign workers from the CIS countries in St.
Petersburg in 2013–2017, pers.a
Country 2013 2014 2015 2016 2017 MG
A/D A/D A/D A/D A/D
Azerbaijan 1525/567 1572/1285 1135/894 901/748 1048/821 227
Armenia 884/314 973/631 1076/676 771/721 2797/624 2173
Belarus 3829/2926 4246/3393 3347/3584 2142/2697 3841/1550 2291
Kazakhstan 2878/989 3149/2207 3189/2504 2653/2285 3318/1900 1418
Kyrgyzstan 2348/873 2491/2227 1870/2045 1630/1569 10,140/1634 8506
Moldova 3312/1628 4080/2971 2795/3023 2511/1723 2559/1650 909
Tajikistan 9034/2778 9585/9886 2200/8461 1359/1427 1498/1034 464
Turkmenistan 902/532 1163/793 776/1121 589/637 542/543 −1
Uzbekistan 27,867/9316 28,355/31,100 4435/25,032 1472/2236 1474/1118 356
Ukraine 3918/1428 6506/3090 5506/4165 4728/2998 4969/3555 1414
Symbols
A/D—The number of migrants arrivals and migrants departures
MG—Migration growth: MG = A − D
a Data are collected by the authors on the materials of Petrostat [19]
Table 3 Pair correlation coefficients of the economic security indicators dependence on the share
of foreign labor force in the number of St. Petersburg employed, %
Factor indicator Result indicator
R1 R2 R3 R4 R5 R6 R7
The share of foreign labor force in the number of 0.27 0.3 0.6 0.74 0.75 0.82 0.4
employees 2
Symbols
R1—GRP growth rate to the previous year (in comparable prices)
R2—Industry volume index to previous year
R3—Retail turnover to GRP
R4—Volume index of agricultural output to the previous year
R5—Investment in fixed assets to GRP
R6—Revenues of the consolidated budget to GRP
R7—The scope of work for type of activity “construction”, divided by GRP
immigration legislation in the amount of 31 thousand cases. As a result of such

checks, the number of migrants from other countries, who were sent back to their
homeland, was reduced.
In order to determine the impact of the foreign labor force use on the indica-
tors of St. Petersburg economic security, a correlation and regression analysis were
conducted. The indicator of the foreign labor force share among the employed popu-
lation was used as a factor indicator, and indicators of economic security (GRP—
gross regional product, investments, budget revenues) were taken as result indicators
(Table 3).
In August 2018, there were 3012.4 thousand employees in St. Petersburg, among
them the share of foreign labor force was 32,186 people from the CIS countries,
3033 people—from countries far abroad. The coefficients in Table 3 were calculated
on the basis of St. Petersburg statistical data by the main economic indicators for
the period 2011–2018. Analysis of the results showed that there is a link between
the share of foreign labor force in the number of employees and indicators of the
region’s economic security (the value of the pair correlation coefficients with a sign
“+”).
There is an influence on:
• revenues of the consolidated budget (correlation coefficient 0.82);
• investment in fixed assets (correlation coefficient 0.75).
This is explained by the activities of enterprises with 100% foreign capital in St.
Petersburg.
According to V. Milanovic, poverty and lack of employability are the driving
force of labor migration. The key motives that determined the intention of migrants
to leave their homeland were: lower inflation level and higher earnings in Russia; lack
of suitable vacancies in the homeland. In addition, the orientation toward the Russian
Federation, including St. Petersburg, was formed as a result of the transparency of
interstate borders, the territorial proximity of countries, the preservation of ties with
Russian enterprises and the knowledge of the Russian language. Statistical data shows
that migration from the former Soviet republics mainly covers people with secondary
and secondary special education. One of almost ten migrants has incomplete higher
and higher education.
So, in 2017, in St. Petersburg, the need for unskilled workers decreased on 82.8%
from the needs of 2016, as well as for machinists and drivers–on 83.7%. First of all,
this is caused by the introduction of a ban on the labor activity of persons, who do
not have driving licenses of the Russian sample, what can now be easily controlled,
using digital technologies.
In 2018, 2904 employers declared about the need for them to fill vacant jobs
in St. Petersburg. At the same time, from the 42 thousand people, required by the
city’s economy, 11,500 people accounted for the construction and transport, and
9400 people were required to fill the vacancies of specialists with a high level of
qualification in various fields of activity [20].
An analysis of the migrant’s professional composition indicates that workers asso-
ciated with the construction sector mainly come to St. Petersburg. Among them: crane
operators, building decorators, tillers, bricklayers, joiners, carpenters, plasterers and
electrical installers, although their share from 2015 to 2017 decreased by two times.
Similar trends can be traced both for low-skilled and high-skilled workers (Table 4).
Table 4 Quotas for work permits of foreigners in St. Petersburg during the period 2015–2017
(fragment)
Migrants professions 2015 2016 2017
1. Employees of low qualification, including: 14,891 11,411 6026
1.1. Workers, employed in the mining, mining and construction, 8913 6883 4411
and installation, repair and construction works
1.2. Unskilled workers, common for all sectors of the economy 3023 2446 421
1.3. Employees of the sphere of individual services, protection of 1645 905 822
citizens, property
1.4. Workers of metalworking and machine-building industries 877 574 274
1.5. Drivers and machinists of mobile equipment 433 603 98
2. Employees of medium and high qualification, including: 8838 6366 4420
2.1. Heads of institutions, organizations and enterprises and their 2691 1537 901
structural departments
2.2. Other personnel’s groups 2079 918 889
2.3. Operators, machinists, mechanics, fixed equipment 1864 1598 862
assemblers
2.4. Other professions of skilled workers 1168 1507 1489
2.5. Specialists in the field of natural and engineering sciences 711 492 168
2.6. Middle-level specialists of physical and engineering 325 314 111
directions of activity
Total 23,729 17,777 10,446
On the number of issued quotas, a group of unskilled workers in various sectors

of the economy in 2015–2016 took a second place. In 2017, they seriously lost their
positions (in 7.2 times), giving up their place to skilled workers. Quotas for the
work permits of qualified workers during the period 2015–2017 increased by almost
28%. The smallest number of quotas falls on the groups of drivers and machinists of
mobile equipment, middle-level specialists of physical and engineering directions of
activity.
The identified trends of the increase demand for skilled foreign labor force are
also confirmed by the data from the site headhunter.ru. As at March 12, 2019, there
it was placed:
• 8276 vacancies in the field of information technology and telecommunications
(primarily programmers, Java developers, software testing engineers and interface
designers);
• 2220 vacancies in medicine and pharmaceutical field (engineers, technologists on
production of liquid and soft pharmaceutical forms, chemists, pharmacists, biol-
ogists, genetics, bioinformatics, general practitioners, plastic surgeons, dentists
and ophthalmologists);
• 1813 engineer vacancies (design engineers of electric power supply systems,
circuit design engineers, gas analysis and metrology equipment developers).
In St. Petersburg, the shortage of qualified personnel will remain in the next three
years. This is most acute in health care, education and IT. The sphere of informa-
tion technologies remains one of the key ones, regarding the positive dynamics of
employment in St. Petersburg. As of 2017, the share of this type of activity accounted
for 3.03% of all employed in the regional economy, while by 2021 the proportion of
employed will reach 3.7%. Employment growth is projected in almost all specialties;
however, significant growth is predicted in cloud technologies, design and database
analytics. In the next five years, the demand for IT specialists and managers of such
departments will increase. Another growing segment will be the educational services
market. Demand will be observed across all levels of education. Employment growth
is also expected in the segment of additional education. Already today there is a need
for teachers in the visual arts, music, computer literacy and a foreign language [21].
Thus, the analysis shows that among migrants people with a low level of education
and qualification still dominate (their share is about 60%). But the need for them in
St. Petersburg and the North-Western Federal District is decreasing (for the period
2015–2017 it reduced by 5%). At the same time, there remains an unmet need for
highly skilled employees, especially engineering and technical profile, requiring
knowledge, skills of work with digital technologies.
4 Proposals for the Use of Digital Technologies to Regulate

Employment and the Level of Migration in the Regions
of the Russian Federation
The situation in the employment sector of St. Petersburg and the North-Western
Federal District is not an exception for the developed regions of Russia. In other
federal districts, where there is an influx of migrants, similar trends in the direction
of increasing the highly skilled employees share are observed.
Therefore, it is appropriate to spread telework and virtual employment in devel-
oping regions, in which the level of remuneration is quite high in comparison with
depressed regions of Russia, from which there is an outflow of migrants. This will
help attract highly qualified employees from depressed regions of Russia (Siberia,
the Far East), as well as from foreign countries, such as China, India, countries of
Southeast Asia without migratory movements, which will lead to:
• employment growth in depressed regions of the Russian Federation and devel-
oping countries with high unemployment rates;
• raising the standard of people living with a high level of education, but a low
income;
• the development of the regional economy in which there are many jobs for highly
skilled employees.
Undoubtedly, telework and virtual employment are not suitable for all professions
and specialties, but they can be successfully applied to engineers, programmers,
designers, translators and scientists (exactly in the prospective areas) [22].
For the development of such forms of employment, using digital technologies, it
is necessary:
(1) development of the regulatory framework that determines the use of distance
employment and employment in virtual enterprises;
(2) the formation of a system for monitoring the state of these employment forms in
Russia and its individual regions and a system of statistical accounting, involving
the collection of information about the number of employed teleworkers and
vacant workplaces, where distance employment can be applied; as well as about
the number of virtual enterprises in the context of economic activity types and
the number of vacant jobs for them;
(3) creation of conditions for information accessibility of monitoring results for
persons, wishing to find a job in a virtual enterprise or distance employment
(e.g., posting information on the Web site of the Ministry of Labor and Social
Development of the Russian Federation).
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Analysis of Actuators Prognostic Health
Monitoring in Spacecraft Attitude
Control Systems
Kaustav Jyoti Borah
Abstract Developing a prognostic health monitoring framework is a critical task

for reaction wheel (RW) and control moment gyroscope (CMG) onboard satel-
lites because of computational budget and limited availability of health monitoring
sensors. RW and CMG as the most commonly used actuators onboard satellites are
prone to faults and failures. This paper deals with reviewing a prognostic health
monitoring for a satellite actuator system that uses both CMG and RW as a pyramid
configuration as actuators. This paper also deals with reviewing data-driven tech-
niques and other prognosis methods that only work with attitude measurements from
the satellites.
Keywords Health monitoring · Reaction wheel · Control moment gyroscope ·

Data driven
1 Introduction
In the recent years, intelligent and autonomous systems have attracted a wide range
of scientists as well as industries. The need for more intelligent systems comes from
the fact that “technological systems are vulnerable to faults” [1]. A report conducted
by the secretary of defense (USA) says 80% of incidents in unmanned aerial vehi-
cles (UAV) are due to system faults [2]. Recent advancements in microprocessors
and computational intelligence algorithms in complex engineering systems have
been continuously increasing. Nowadays, all systems are converting from manually
operated to autonomous systems. There must be framework to ensure the systems
performance without the human intervention. Another reason for health monitoring
is to avoid expenses due to unexpected downtimes and irreversible failures, which
inspired researchers to develop health monitoring systems (HMS) such as condition-
based maintenance (CBM) and prognostics and health management (PHM) systems
[3]. Hence, the concept of having smart aerospace systems capable of self-monitoring
K. J. Borah (B)
Aerospace Engineering, Ryerson University, 350 Victoria Street, Toronto M5B 2K3, Canada
e-mail: kborah@ryerson.ca

https://doi.org/10.1007/978-981-15-5463-6_18
196 K. J. Borah
and maintenance is still an ongoing research topic. Again, over recent years, CBM
and PHM have emerged as powerful and remarkable technologies that have positively
influenced the military and commercial sectors. We are observing a rapid model shift
in the way these systems are designed, monitored, and maintained [3]. And there is
a need to design and develop monitoring systems that match this shift in the systems
evolution. Fault detection refers to evaluating the available data from the measure-
ment sources (sensors) to conclude whether or not there is an anomaly in the system
performance (fault). Isolation refers to determining which component in the system
is faulty and the location of the fault occurrence. Identification refers to identifying
the type and severity of the fault.
Finally, fault prognosis refers to the ability to detect accurately and exactly calcu-
late the reaming useful life (RUL) of a failing component or subsystem. Three
different types of fault could occur in a system: (1) abrupt and permanent (2) tran-
sient (3) intermittent. These faults could be injected into the system in forms of (1)
additive (2) incipient (3) multiplicative [1]. A reliable FDI algorithm should be able
to encompass all three components of the package. The most probable area for a
fault to occur in an aerospace system is its attitude control system (ACS). Actuators
are one of the most probable components of the ACS that could experience faults or
in some cases complete failures. Therefore, it is important to have a scheme in place
to monitor performance of such subsystems and take necessary actions to prevent
catastrophic consequences. This research will focus on enhancements to the existing
knowledge in this area. The goal is to predict the remaining useful life (RUL) of the
faulty component as early as possible to take necessary actions.
We all know the spacecraft is generally operated in outer space, and hence, it is
not possible to carry all the maintenance activities at all the time. Due to this reason,
the fault must be identified at the first place and must calculate the RUL to prevent
the spacecraft from going to an uncontrollable state. Figure 1 shows the subsystem
of a spacecraft that are prone to malfunctions [4, 5].
Fig. 1 Subsystems of satellite [4, 5]

Analysis of Actuators Prognostic Health Monitoring … 197
2 History of Failures of Spacecraft AOCS Actuators
International space station (ISS) used four 4.7 KNm double gimballed CMGs with
360° gimbal rotation for both the axes [3]. This provided ISS with attitude control
capabilities without the use of a thruster system. Their life expectancy was approxi-
mately 10 years. These CMGs consisted of a flywheel spinning at 6600 rpm which
can produce an output of 258 Nm of torque. One of the CMGs failed after 1.3 years
of operation and the next one developed fault after 6 years of operation [6]. Since
this was a human mission, CMG’s were used for redundancy and thrusters were
available as a backup for attitude control. There have been repair activities carried
out previously in ISS for CMGs [7]. It must be noted that the current, temperature,
and vibrations were measured from for the CMG. ASA’s Kepler Space Telescope
used four RWs as attitude control actuators. It was launched on 2009. After 3 years of
operation, the first reaction wheel was failed in July 2012 [8]. As three wheels were
enough for a complete three axis attitude control, one failure did not compromise
the mission. Later in May 2012, the second wheel failed leaving the spacecraft with
only two working reaction wheels [8]. This led to under actuation in attitude control.
NASA scientists and engineers have tried their best to recover at least one of the
failed reaction wheels to get the spacecraft back on control but were unsuccessful.
The primary objective of any telescope is to observe different celestial bodies by reori-
enting the spacecraft toward the target object. Since reorientation was not possible
without attitude control, Kepler mission was compromised. Other notable reaction
wheel failure would be from the Dawn mission of NASA where two of the reac-
tion wheels stopped functioning on April 23, 2017 [9]. In Hubble Space Telescope,
already two service missions have been carried out to fix the RWs. Also, Hayabusa
spacecraft from Japan Aerospace Exploration Agency had two RW failures.
3 Fault Classification
Several researchers have discussed fault types based on the way that fault has intro-
duced in the system [2, 10, 11]. Faults in a system are classified based on their time,
behavior, and severity.
• Abrupt fault: Abrupt fault’s results from changes are system parameters that are
faster than the system dynamics. These faults are usually caused by external
disturbances that severely damage the system.
• Incipient fault: These faults result from a slow drift in system parameters over
time generally from the wear and tear within the system. This fault results from
an imperfection in the state
• Transient fault: They occur randomly for bounded periods of time and then vanish,
and this makes it difficult to identify. A transient fault assumes one state and then
vanishes.
198 K. J. Borah
• Intermittent fault: Intermittent faults occur randomly for bounded periods of time
and then vanish, and this makes it difficult to identify. An intermittent fault assumes
various states throughout a faulty time interval.
4 Failures Classification
Various failure modes [4] are possible, and many different failures can be distin-
guished. The following lists only few of the failure modes:
• Partial failure: A failure which results in inaccurate performance of some, but not
all, required functions [IEV ref 191-04-21].
• Complete failure: A complete failure which represents an item that cannot perform
all required functions [IEV ref 191-04-20].
• Sudden failure: A failure that could not be expected by prior examination or
monitoring [IEV ref 191-04-10].
• Manufacturing failure: A failure that has happened because of a non-conformity
during manufacture to the design of an item or to specified manufacturing
processes [IEV ref 191-04-08].
• Random Failure: Failures are statistically independent from operation time.
• Deterministic failure: Prediction possible for certain conditions.
• Systematic failure: It is based on known conditions.
5 Importance of Failure Detection and Prognosis
The most probable area of a satellite for a fault to occur is the attitude control system
(ACS). Actuators almost always consist of moving mechanical parts subject to wear
and tear. To verify the operating condition of the satellite in ideal space environ-
ment, tedious and expensive ground tests are conducted. These may include testing
in anechoic and thermal vacuum chambers as well as launch vibration tables. The
ground tests are required to curb the costs associated with faults or sudden failures.
However, unforeseen elements can lead to premature faults or failures. Therefore,
fault detection and isolation (FDI) system with clearly defined objectives of early
detection, isolation, and identification of faults in a given system must be imple-
mented on board to help monitor the state of the satellite and anticipate the faults.
An efficient modeling of faults is important for the right function of fault diagnosis
and prognosis methods.
6 Early Work in Failure Prognosis
The core element of a condition monitoring and assessment block in CBM and PHM
is authentic as well as real-time fault diagnosis and failure prognosis system [3].
Many researchers have investigated the feasibility of fault prognosis algorithms [8,
12, 13]. Figure 2 illustrates the major fault prognosis methods found in the literature.
Rahimi [11] has reviewed physics and data-driven methods for fatigue crack growth
problem and also has examined the advantages and limitations for each and every
method in their paper. Liao and Köttig [13] have stated in their paper that there is no
universally accepted model to get RUL of faulty component because of the data avail-
ability and complexities in the system. They also have developed prognostics models
in the literature into experience-based, data-driven, and physics-based and further
categorized hybrid approaches. Further, hybrid approaches in the literature are clas-
sified systematically in their study, and a hybrid prognostics method is proposed and
applied to a battery degradation [14]. Most researchers have studied the application
of fault prognosis and RUL estimation on batteries and specifically lithium-ion type
[15, 16], have reviewed many RUL estimation techniques say extended Kalman filter
(EKF), unscented Kalman filter (UKF), particle filter (PF), etc., and [11] stated an
online data-driven RUL estimation approach using support vector regression (SVR).
Venkatesh [5] discussed many fault prognosis techniques.
Rahimi stated a novel method for the adaptation of parameters [11] in an elec-
trochemical model of a lithium-ion battery using an unscented Kalman filter (UKF)
with battery current and voltage over randomized discharge profiles. Liu et al. [17]
proposed a Gaussian process model and an improved autoregressive (AR) time series
model [18] named nonlinear degradation autoregression (ND-AR) model [5] for RUL
estimation of lithium-ion batteries. Rahimi [11] has discussed a PF-based prog-
nostic framework for estimating the state of health (SOH) and predicting the RUL
of lithium-ion batteries.
A prognostic work [33] for momentum wheels using similitude method is given in
[19]. They have developed a data-driven model using neural network approach with
telemetry data that has temporary measurements with rotational speed of the bearings.
Fig. 2 Major fault prognosis methods [4, 5]

200 K. J. Borah
There is an exceptional technique named weight application to exceptional parame-

ters (WAFT) is used to determine the RUL of the wheel. The results in that paper show
that the momentum wheel degrades as the rotational speed degrades. For small satel-
lites, measuring the individual bearing rotational speeds of all the motors/bearings
requires speed sensors for each wheel [5]. Two of the works published by same
group of authors [16, 20, 21] dealt with the momentum wheel RUL prediction using
Bayesian reliability techniques but the paper is unavailable online and hence no
comments can be made at the time of writing this paper. A data plot of the thermal
subsystem anomalies in the thermal system of ISS is given in [15]. It is because
of the CMG degradation which was used in ISS causing temperature. This report
also discusses about a data-driven algorithm developments for a spacecraft. A fault
prognosis approach for attitude control system is given in [12] but this work did not
use the dynamics of actuators. An electric motor prognosis scheme given by [22]
uses accelerometer signals for measuring the degradation. Recent works on bearing
fault prognosis given by [12, 23] also use the accelerometer measurements.
Van Tun and Yang [24] have described all the techniques applied up to 2009,
the techniques of prognosis for rotating machinery. Rahimi [11] and Venkatesh [5]
reviewed the same for electrical machines. Rahimi [11] has stated a novel reliability
estimation architecture in terms of physics of failure, which is based on the rela-
tionship between the MW’s physics performance and its failure mechanisms. Peng
and Dong [22] have proposed a fault prognostics algorithm for rotating electrical
machines using recursive least square. Their experimental setup is the same as [4]
using vibration data to develop a failure propagation model.
Data-driven model [34–37] can be categorized into statistical methods, reliability
methods, and artificial intelligence methods [17]. Statistical methods that use hidden
markov models (HMM) [22], autoregressive moving average (ARMA) models [17,
25], etc. Reliability methods that use Weibull distribution models for prognosis
estimation [10, 13, 5]. In machine learning-based approaches, the real-time data
is trained using algorithms like recurrent neural network (RNN), support vector
machines (SVM), etc., and later used to predict the RUL of the system. Machine
intelligence-based approaches have been discussed in [15, 5]. Another paper exam-
ines the pros and cons of selecting data-driven method, and a physical model-based
method is given by [5]. There are also hybrid methods as reviewed in [13] where two
or more of different methods are used in combination to determine the RUL of the
system [31, 32].
6.1 Kalman Filter (KF)
Kalman filters [10, 11] represent a class of optimal Bayesian estimator that operates
under conditions involving linear Gaussian uncertainty. The simplicity of Kalman
filter leads to its widespread success and resulted in it becoming the cornerstone in
many military and civilian applications. The Kalman filter is a model-based observer
that yields estimates based on the stochastic properties of a system [26–28]. This is
a crucial aspect of the KF that makes it a robust to measurement noise and process
noise and practical to implement. Fault detection and isolation problem can be solved
via the Kalman filter (KF) approach where KF is a least-squares problem that is
solved through a recursive algorithm. The following section provides an overview
of Kalman filtering concept for the design and analysis of multivariable feedback
control systems for linear time-invariant (LTI) systems and, more specifically, by the
design philosophy commonly called the linear quadratic Gaussian (LQG) method
[10, 11]. The steady-state constant gain Kalman filter is used to estimate the state
variable of a continuous time LTI system, subjected to stochastic disturbances, on the
basis of noisy measurements of certain output variables. Implementation of Kalman
filter requires the following information [10]:
• Mathematical model of the systems dynamics.
• Probabilistic information of the stochastic disturbances influencing the state
variables.
• Measurement noise that corrupts the sensor measurements.
• Deterministic control algorithm.
6.2 Extended Kalman Filter (EKF)
Although the Kalman filter (KF) provides an optimal solution for estimation problems
[10, 11], the filter is limited to a range of linear Gaussian problem class under the
assumption of a white noise. Further research in the area of estimations leads to the
development of the EKF which is a new class of filters that is able to estimate a wider
range of nonlinear problems via the nonlinear Gaussian assumption. The EKF had
provided the means to adapt the linear properties, inherent in the Kalman filter, to
condition involving nonlinear dynamics and measurements by enrolling the partial
derivatives as a means to linearize the system [11].
6.3 Adaptive Unscented Kalman Filter (AUKF)
Working Principle: The adaptive scheme consists of three major parts [10, 11, 25]
(1) Adapting process and measurement noises,
(2) Detecting fault occurrence, and
(3) Adapting states/parameters covariance matrix.
The following adaptive mechanism is used to adjust the process noise covariance
matrices [11]
Px x = Pk− e + Q k+1
202 K. J. Borah
If e = 1 then the standard KF prediction occurs; if e > 1, the filter will weight the
data exponentially so that the effect of current data is emphasized and information
from older measurements is discounted, hence the name ‘fading factor’ or ‘fading
memory’ [10, 11],
ε = 1 + {trace (Rk )/ζ }
where trace (.) is the sum of the diagonal elements of the matrix Rk and ζ is the
controlling factor.
7 Conclusion
Considering the fact that failure prognosis is very important. There are numerous
techniques that have applied to get better results in the area. But, component level
measurements may not be available for a lightweight satellite residue generation
technique that works using attitude rate measurements for fault prognosis of a satel-
lite. Based on the above literature, we can conclude that those techniques can give a
high accuracy if at least 50% data is available. Further, the above-stated method can
be applied to single satellite to multi-agent systems. In future, there will be another
research on fault forecasting using the fault prognosis-based algorithms. It is really
an interesting area that this topic is still very untouched in the aerospace industry
[29, 30]. Finally, more brusquely from the people and the industry for information
about the future drives the motive for more work in this area.
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Modified Mechanical Face Seal Geometry
Ankita Kumari
Abstract The major factor affecting the mechanical seal in today’s working gener-
ation is the flexible hydraulic force and dynamic spring force applied on the surface
of the rotating phase of mechanical face seal in working condition. Mechanical seal
in industrial pump is used to prevent the excess leakage of fluid to the environment
and prevent flowing it to the electrical part. Standard leakage which is followed in
industry is 10 drops/day. Crossing the limit of the standard leakage leads to loss
in large scale. This paper gives the simulation view of original mechanical seal
and modified mechanical seal by von mises stress and hydraulic force and also the
distorted view of the seal. The finite element analysis is carried out on the mechanical
face seal and simulation is done for installing in centrifugal pump. The successful
operations of the mechanical face seal are dependent on a large number of variables
including face geometry, method of mounting and support to react the forces, face
elastic modulus, pressure differential across the seal, area of face exposed to process
liquid, flow regime of liquid in the seal chamber, flow rate of any cooling in the seal
chamber, thermal and heat transfer properties of the liquid.
Keywords Mechanical seal · Seal performance · Von mises stress
1 Introduction
In rotating frameworks, for example, in pipeline application and furthermore high

innovation applications in vacuum frameworks pumps and compressor utilize
mechanical seals to keep the conveying liquid (water/oil) utilized by a machine
from spilling to the external condition (climate). The seal faces cannot be allowed to
run dry, of the fact that frictional warmth development will be fast causing extreme
seal confront harm and broad spillage. They are intended to permit a thin film of fluid
to exist between and relocate over the seal faces (2, 3). In an appropriately working
mechanical seal, this thin fluid film being taken care of by the pump, of need, breaks
A. Kumari (B)
Department of Mechanical Engineering, IIT Patna, Bihar, India
e-mail: ankita9306@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_19
206 A. Kumari
Fig. 1 Mechanical seal 1D view
to the low weight side of the seal, typically outside the pump or the other way around
if there should be an occurrence of vacuum pump (1, 4). There are more intricate
plans which put a boundary liquid between seals with the end goal that one of the
seals is presented just to the hindrance liquid while the internal seal(s) are presented
to the fluid being pumped. Other seal game plans utilize pressurized gas at the seal
appearances to anticipate fluid spilling out and furthermore to avert real seal confront
contact. In a divergent pump, the mechanical seal (alluded to as the “pole seal get
together”) keeps the water that is being pumped from entering the bearing lodging
of the pump or just the territory between the engine confront and the volute where
the pole goes through. This is not indistinguishable seal from the engine lip seal (or
wiper seal), a piece of the pressure-driven engine that seals the engine shaft at the
engine confront and keeps any fluid from entering the water powered engine (Fig. 1).
2 What Is Mechanical Seal? [1]
Mechanical seal is a device used in the dynamic machines for preventing leakage
and limiting the fluid to enter the stationary zone. It is placed between rotating and
stationary member. The only snag in the seal is that the faces cannot be permitted to
run dry because frictional heat buildup will be very quick causing severe seal face
damage and extensive leakage [2].
3 Purpose
The purpose of conducting this research is because, the problem of leakage of fluid
and harming the element also the environment is increasing constantly (Fig. 2).
According to figure, we can analysis one thing that as the separation increases the
leakage rate increases and wear decreases. The separation between the two phase
decreases the heat generation will be low and hence will not cause the wear. From
this, we can conclude that there must be the mean gap between the rotating and
stationary phase.
Modified Mechanical Face Seal Geometry 207
Fig. 2 Mechanical
(Stationary and Rotatry) face
seal sepeartion in micro
inches [3]
4 Objective
The objective for the research is to analysis the mechanical pressure and the hydraulic
pressure simultaneously on the mechanical face seal keeping the presences of gap in
between the seal, the occurrence of heat generation, wear, stress analysis, lubrication
and cooling effect in the running condition of industrial centrifugal pump. This
operation is achieved by maintaining a minimal but sufficiently thick film between
the face. This fluid film is typically below 1 µm, of a similar order to the maximum
peak of the surface roughness [4, 5].
This operation is achieved by maintaining a minimal but sufficiently thick film
between the face. This fluid film is typically below 1 µm of a similar order to the
maximum peak of the surface roughness [6].
For the analysis, the standard dimension has been taken of the shaft and the
mechanical face seal.
5 Material Property [7]
Mechanical seal are used continuously in the industrial sector on daily basis. It is
highly important for the device to fulfil its purpose of designing that is to prevent the
leakage and for long lasting which will enhance the performance of the centrifugal
pump and also will not hamper the environment which nowadays are the main concern
of study. To design the mechanical face seal, we have to mainly focus on the dimen-
sions and also the uniform pressure applied on the upper surface of rotatory face.
Mechanical seal has a wide range of its own dimension based on different material
selections including ceramic, elastomer and ceramic. In the research, the material
of the shaft, O-ring, rotating and stationary face are selected on the given mate-
rials. Material of the shaft selected is structural steel which carries the density of
7850 kg/m3 in basic [8]. The mass per volume ratio of the material should be kept
in balanced so that it can withstand the mechanical pressure. Young modulus for the
material taken is 200e9 pa, and in this, the resisting force per deformation should be
minimum range so that it does not form any deformation in shaft when the appli-
cation of fluid or mechanical pressure. Poisson’s ratio is taken as 0.3 and the rest
208 A. Kumari
of the property of structural steel for shaft was provided by the software itself. To
absorb the high pressure in rotating face, it is necessary to study the material and
then analyse the simulation, so for this material which was taken for rotating face
was same as the shaft. The O-ring plays a major role in the mechanical seal and
firstly, the project research has been focused in this part on it so the material selected
was Polytetrafluorethylene (PTFE) [9]. Point to be ponder here is the material creep
resistant, and it has resistant to corrosion and also it repels water and oil. Density
taken for this material is 2200 kg/m3 . Young modulus is 0.4e9 pa and the Poisson
ratio is 0.46. The O-ring is attached to shaft leaving no clearance but with the rotating
face it has clearance of 0.02 mm so, the property given to the material is moderate
not so highly resistive and not too flexible. The other property of the material was
provided by the software itself. While selecting the material of the shaft, rotatory
and stationary face and O-ring, mechanical properties are always kept in mind such
as high stiffness, good wear resistance, good strength, lower thermal expansion and
smooth surface.
6 Results
The analysis of the mechanical seal was stablish for both structural and fluid interface
interaction. Results were carried out in a simulation software COMSOL 5.3, both
the modelling and geometry part. Meshing of the geometry was done in triangular
section and the section has been divided in finest part for the finite element analysis
and also to have minimal time simulation.
In given Fig. 3, the simulation of the mechanical seal has been done by the dynamic
force of a spring. The maximum stress generated is at the o-ring surface and by the
graph which is between the von mises stress and the r-coordinate that there is sudden
increase of stress at the rotatory and stationary phase. Due to sudden increase of
the stress, the failure of the material will be high and the impact will be sudden.
According to the standard geometry of the seal, the calculated load applied is fixed.
To optimize the stress, we have modified the geometry as given in Fig. 5.
Figures 4 and 5, respectively, show change in the geometry. This modification
has been done to visualize the stress generation in the rotatory and stationary phase
with given amount of load. As the concept behind this change is stress is inversely
proportional to area.
The mentioned Fig. 6 gives the optimized results of the modified geometry.
Increase in the von mises stress with respect to the contact surface is not sudden but
gradual which reduces the chance of impact failure and reduces the crack generation.
Stress generated at the surface is less compared to the original geometry.
SOLID MECHANICS GEOMETRY
Fig. 3 Maximum stress generation at the rotatory and stationary phase (full length) and graph
plotted to show the von mises stress with respect to the r-coordinate [10, 11]
Fig. 4 Modified geometry [12, 13]

210 A. Kumari
Fig. 5 Original geometry
Fig. 6 Optimize analysis of stress generation in the modified geometry and Plotting the graph
between the von mises and r-coordinate
7 Conclusion
With stationary mechanical face seal, the zero league condition requires a contin-
uous solid-to-solid point contact around the rotatory O-ring and shaft, rotatory face
and shaft. The selection of material in mechanical face seal plays important role.
Boundary condition applied to the rotatory face on the top view was studied and anal-
ysed the reaction on the shaft and rotating face. Here, forth at the end, we conclude
that the selection of material to the shaft and the O-ring was given with signifi-
cant observation. Boundary condition applied to the material was accurate and fixed
constraint played its important role. Meshing of the mechanical seal was customized
at the four contact reason to see the minute von mises stress and deformation in
the seal. Summing up we can conclude here that the load carrying capacity of the
seal is upto 20,000 Pa. A mechanical seal can withstand the load upto this limit
without showing maximum distortin. Geometry has been modified to have the opti-
mize results be keeping all the parameters, boundary conditions, boundary loads and
most importantly, the selection of materials and their properties. The amount of load
applied on the surface is also the method of calculation [14].
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seal chamber. Tribol Int 42(5):770–778
Design and Analysis of a CSP Plant
Integrated with PCM Reservoirs
in a Combined Storage System
for Uninterrupted Power Production
Bikash Banerjee and Asim Mahapatra
Abstract India is really blessed with good solar resources. Many regions of the
country receive above-average sunlight compared to other regions of the world.
Solar energy will act as an important role in India’s future energy sources. The
basic technology is used for receiving and converting solar radiation into electrical
energy in India is based on photovoltaic (PV) cells. Concentrated solar power (CSP)
has scarcely presented to the overall lodged solar power capacity in the country. A
tremendous quantity of heat is necessitating running a CSP plant. Although, by using
this wide energy range is possible only if the powerful technology for its storage can
be succeed with acceptable running and capital costs. The main drawback of the
solar thermal power plant is its unavailability at night time. Thermal energy storage
(TES) systems deliver various options for the use and conservation of efficient energy.
Phase change materials (PCMs) are used in TES to store energy by changing its form
from solid to liquid or vice versa by absorbing or releasing the heat to the medium.
PCMs in specific and TES, in general, have been a major issue in research for the
last 30 years to the researchers. In this paper, two different types of storage systems
have been used in series by using phase change materials (PCMs). It is a fruitful
way of storing energy to counter this difficulty. Thermodynamic analysis and design
of a CSP plant have been done in a combined storage system of sensible and latent
storage for continuous power production.
Keywords Concentrated solar power (CSP) · Phase change materials (PCMs) ·

Thermal energy storage (TES) · Thermodynamic analysis
1 Introduction
Presently, most efficient methods to store thermal energy by using phase change
materials (PCMs) are combined heat storage such as sensible and latent heat storage.
PCMs have been used to expand the capacity of thermal energy storage of several
B. Banerjee (B) · A. Mahapatra

Jalpaiguri Government Engineering College, Jalpaiguri 735102, India
e-mail: bikashbanerjee25@gmail.com.com

https://doi.org/10.1007/978-981-15-5463-6_20
214 B. Banerjee and A. Mahapatra
Table 1 Phase change material details used in this work [12]

PCM Melting temp. (°C) Latent heat (kJ/kg) Sp. heat (kJ/kg)
Aluminum Silicon alloy, AlSi12 577 560 1.038
60 Mg–25Cu–15Zn 452 354 1.3
systems [1, 2]. PCM presents towering temperature accumulate capacity and more
constant temperature behavior through absorb and release contrast to sensible heat
storage [3]. Thermal energy storage (TES) systems for both cold and hot are manda-
tory for the best performance of most industrial processes. PCM provides an efficient
way of storing such energy. Outline of this paper is the layout and analysis of a solar
thermal power plant that having high-temperature (550–650 °C) heat to a high-
pressure (up to 150 bars) steam generator integrated with PCM reservoirs. Different
types of research and development activities on PCMs are going on from the last
few decades. Presently, TES has been executing in running CSP plants mixed up
with sensible and latent heat storage as molten salt based systems in tower type and
parabolic trough solar plants and [4, 5]. Among various types of phase changes, solid
to liquid phase change is one of the major auspicious for use in sensible and latent
heat based TES due to its operating large latent heat capacity and comparatively
small change in volume. Initially, being in a solid-state, PCM absorbs energy and
melts into a liquid state. Different types of Phase change materials (PCMs) have been
investigated, including fatty acids, sodium nitrate, paraffin wax, potassium nitrate,
sodium chloride, sodium nitrate, potassium nitrate eutectics, sodium borate oxides,
etc. Different technique of increasing the rate of heat transfer have been studied
from the various research paper, including adding high-temperature PCM materials,
obtain multiple PCMs with different melting temperature, encapsulation [6, 7], and
insert fins into the PCM [8–11] (Table 1).
2 Design of Concentrated Solar Power (CSP) Plant
This paper has discussed a CSP plant and its working principle. The CSP plant
comprises of solar receiver, dual PCM reservoirs, heat exchanger, and a complete set
up of steam power plant. The heat exchanger plays the role of boiler.
Concentrated sunlight goes to the solar receiver. After that heat transfer fluid
(HTF) gets heat from solar receiver and comedowns. At day time, high-temperature
HTF flows in two ways with mass flow rate ṁ 1 and ṁ 2 , respectively. Mass flow rate ṁ 1
direct goes to the heat exchanger. In heat exchanger cold water comes in contact with
high-temperature HTF, water temperature gradually increases and becomes super-
heated steam. This superheated steam enters the turbine and electricity is produced
by operating in a normal Rankine cycle. Another mass flow rate ṁ 2 enters into the
high-temperature phase change material (PCM) reservoir and then low-temperature
PCM reservoir. In this process, at day time low-temperature PCM gets heat from
Design and Analysis of a CSP Plant Integrated … 215
Fig. 1 Typical diagram of concentrated solar power plant
high-temperature HTF and it melts up to evening hours for both PCMs reservoirs. At
night time, low-temperature HTF coming from heat exchanger flows with mass flow
rate ṁ 3 . This time low-temperature HTF first goes to low-temperature PCM reservoir
and then high-temperature PCM reservoir. In this process, high-temperature PCM
releases its heat and low-temperature HTF gets heat from it. Temperature of HTF
gradually increases. At last outgoing HTF from high-temperature PCM reservoir
goes to the heat exchanger and electricity is produced similar to day time (Fig. 1).
3 Thermodynamic Analysis and Calculation
The efficiency of a thermal power plant running through Rankine cycle depends
primarily on two parameters—mean temperature of heat addition and temperature
of heat rejection. In this case, the water gets heat from solar energy. Hence the mean
temperature of heat addition is less than a conventional steam power plant where
coal is the primary energy source. The temperature of heat rejection depends on the
temperature of the atmosphere. A conventional steam condenser has been used here
similar to conventional steam power plants.
We have calculated for 1 MW Thermal Power plant.
Highest temperature and pressure of steam used in Rankine cycle are 500 °C and
150 bar.
We have found the value of Enthalpy (h 1 ) = 3310.6 kJ/kg, [Take the value of h 1
from steam table]. And corresponding value of Entropy(s1 ) = 6.3487 kJ/kg, [Take
the value of s1 from steam table].
We know s1 = s2
∴ s2 = S f 3 + X ∗ S f g [x is dryness factor]
S2 − S f 3 6.3487 − 0.5721
X= = (1)
S fg 7.6862
X = 0.75
Entropy(h 2 ) = h f 3 −x ∗ h f g h f g (2)
= 167.45 + 0.75(2406.9)
= 1972.62 kJ/kg.
We know, Turbine Work = WT = h 1 − h 2

= 3310.6 − 1972.62
= 1337.98 kJ/kg.
Now, we have to calculate pump work
Pressure at 40 °C is 0.073750 bar = 7375 Pa
[Data is being taken from steam table]
V3 at 40 ◦ C is ∼0.001 m3 /Kg
We know,
W p = V3 (P4 − P3 )
= 0.001 ∗ (15,000,000 − 7375)
∼15 kJ/kg (3)
Now enthalpy (h 3 ) = 167.45 kJ/kg.

[Value of h 3 is taken from steam table corresponding temperature 40 °C].
We know pump work
(w p ) = h 3 − h 4 (4)
∴ Enthalpy(h 4 ) = h 3 + w p = 167.45 + 15
= 182.45 kJ/kg
Water mass flow rate for 1 MW electricity produce is
103 kJ/s 103

ṁ = = = 0.756 kJ/s
WT − W P 1337.98 − 15
Heat transfer rate(Q) = h 1 − h 4 = 3310.6 − 182.45

= 3128.15 kJ/kg
Total heat added to the boiler
= 0.756 ∗ 3128.15 = 2364.8814 kJ/s
3.1 Calculation for Mass Low Rate at Day Time (ṁ1 and ṁ2 )
Now we find out mass flow rate of HTF in path 1 (ṁ 1 )
Q = ṁ 1 ∗ (650 − 500) ∗ s [S is sp. Heat of heat transfer fluid] (5)
2364.8814 = ṁ 1 ∗ (650 − 500) ∗ 1.89

ṁ 1 = 8.34 Kg/s
Considering the fact that total required heat is stored in 12 h duration,

Now, we find out mass flow rate of HTF in path 1 (ṁ 2 )
Q = ṁ 2 ∗ (650 − 500) ∗ s [S is sp. Heat of heat transfer fluid] (6)
2364.8814 = ṁ 1 ∗ (650 − 500) ∗ 1.89
ṁ 2 = 8.34 Kg/s
3.2 Calculation for Mass of PCM 1 and Sensible (t1 )

and Latent Heating (t2 ) Time Duration
Time of Sensible heating for water and steam has been assumed to be same = t 1
2t1 + t2 = 12 ∗ 3600 or, t2 = 12 ∗ 3600 − 2t1

dT
Now, we get two equations, ṁ 2 ∗ (650 − 500) ∗ s = MPCM1 ∗ cpPCM1 ∗ dt
594 − 577
8.34 ∗ 1.89 ∗ 50 = MPCM1 ∗ 1.038 ∗
t1
788.13t1 − 17.646 M PC M 1 = 0 (7)

Assuming equal heat storage in MPCM 1 and MPCM 2
Q (LH)1 ∗ MPCM 1
=
2 12 ∗ 3600 − 2t1
2364.8814 t1 + 560MPCM 1 = 51,081,438.24 (8)
Solving Eqs. 7 and 8 we get the result of Mass of PCM 1 (MPCM 1 ) =

83,337.17 kg.
Sensible heating time (t1 ) = 1865.9 s and
Latent heating time (t2 ) = 39,468.22 s.
3.3 Calculation for Mass of PCM 2 and Sensible (t3 )

and Latent Heating (t4 ) Time Duration
Time of Sensible heating for water and steam has been assumed to be same = t 3
2t3 + t4 = 12 ∗ 3600 or, t4 = 12 ∗ 3600 − 2t3

∗ ∗ dT
ṁ 2 ∗ (600 − 500) s = MPCM 2 cpPCM 2 ∗
dt
469 − 452
8.34 ∗ 1.89 ∗ 100 = MPCM 2 ∗ 1.3 ∗
t3
1576.26 t3 − 22.1 MPCM 2 = 0 (9)
Similarly, assuming equal heat storage in MPCM 1 and MPCM 2
Q (LH)2 ∗ MPCM 2
=
2 12 ∗ 3600 − 2t3
2364.8814 t3 + 354 MPCM 2 = 51,081,438.24 (10)
By solving Eqs. 9 and 10 we get the result of

Mass of PCM 2 (MPCM 2 ) = 131,939.9 kg
Sensible heating time (t3 ) = 1849.87 s and
Latent heating time (t4 ) = 39,500.26 s
3.4 Melting Rate Calculation of PCM 1 and PCM 2

83,337.17
ṁ PCM 1 = = 0.211 kg/s
39468.22
131,939.9
ṁ PCM 20 = = 3.34 kg/s
39,500.26
3.5 Temperature Gain During Day Time

dT
For PCM 1 : ṁ 2 ∗ (650 − 500) ∗ s = MPCM 1 ∗ cpPCM 1 ∗ (11)
dt

dT
8.34 ∗ 1.89 ∗ 50 = 83,337.17 ∗ 1.038 ∗
dt

dT
= 0.0091 OC /s
dt

dT
For PCM 2: ṁ 2 (600 − 500) ∗ s = MPCM 2 ∗ cpPCM 2 ∗ (12)
dt

dT
8.34 ∗ 1.89 ∗ 100 = 131,939.9 ∗ 1.3 ∗
dt

dT
= 0.0091 OC /s
dt
3.6 Mass Flow Rate Calculation for Night Time (ṁ3 )

ṁ 3 ∗ s ∗ (T3 − T1 ) = Q
For our design purpose, we set the temperature of T3 and T1 as follows:
T3 = 550 OC and T1 = 425 OC

ṁ 3 ∗ 1.89 ∗ (550 − 425) = 2364.8814
ṁ 3 = 10.01 kg/s
3.7 Temperature Lapse Rate Calculation

dT 469 − 452 17
= =
dt 2 t2 t2

dT 594 − 577 17
= =
dt 1 t1 t1
Assuming time duration for temperature lapse is same for both the reservoirs
t1 = t2 = t

dT ∗
ṁ 3 ∗ s ∗ (T2 − T1 ) = MPCM 2 ∗ cpPCM 2 (13)
dt 2

dT
ṁ 3 ∗ s ∗ (T3 − T2 ) = MPCM 1 ∗ cpPCM 1 ∗ (14)
dt 1
Equation (13/14) we get,

dT
T2 − 425 131939.9 ∗ 1.3
= ∗ dT = T2 = 508 OC
dt 2
550 − T2 83337.17 ∗ 1.038 dt 1
Now, we put the value

of T2 in both Eqs. 13 and 14 then we get the result of
temperature lapse rate dT
dt
at night time

dT
For PCM 2 : = 0.0091 OC /s
dt 2

dT
For PCM 1 : = 0.0091 OC /s
dt 1
3.8 Solidification Rate Calculation

dM
For PCM2 : ṁ 3 ∗ s ∗ (T2 − T1 ) = (LH)2 ∗ (15)
dt 2

dM
10.01 ∗ 1.89 ∗ (508 − 425) = 354 ∗
dt 2

dM
= 4.44 kg/s
dt 2

dM
For PCM1 : ṁ 3 ∗ s ∗ (T3 − T2 ) = (LH)1 ∗ (16)
dt 1

dM
10.01 ∗ 1.89 ∗ (550 − 508) = 560 ∗
dt 1

dM
= 1.42 kg/s
dt 1
The mathematical model developed and simulated in the computer to find out the
effect of each control factor on change in mass flow rate for both day and night time.
This is done by using MATLAB which gives the responses for each input and this is
done by varying one parameter at a time (Figs. 2 and 3).
From the above graph of PCM 1, we get sensible heating time (t1 ) = 1865.9 s and
latent heating time (t2 ) = 39,468.22 s (Figs. 4 and 5).
Fig. 2 Temperature increases with respect to time for PCM 1 at day time
Fig. 3 Temperature decreases with respect to time for PCM 1 at night time
Fig. 4 Temperature increases with respect to time for PCM 2 at day time
Fig. 5 Temperature decreases with respect to time for PCM 2 at night time
From the above graph of PCM 2, we get Sensible heating time (t3 ) = 1849.87 s
and Latent heating time (t4 ) = 39,500.26 s
In Fig. 6, the graph of temperature gain rate against mass flow rate has been drawn
in MATLAB software taking incremental value of mass flow rate as 0.3. The profile
of the curve is linear in nature. Temperature gain rate can be predicted for different
mass flow rate from the above graph.
Figure 7 graph of mass flow rate against temperature lapse rate has been drawn in
MATLAB software taking incremental value 0.5. From the profile of graph, we get
the operating point of mass flow according to the temperature lapse rate (Fig. 8).
This graph shows nature of the solidification rate for both PCM 1 and PCM 2. We
see PCM 2 has taken more time to solidify then PCM 1.
Fig. 6 Graphical representation of temperature gain rate at various mass flows for PCM 1 and PCM
2
Fig. 7 Graphical representation of temperature Lapse rate at various mass flows for PCM 1 and
PCM 2
5 Conclusion
Technological suitableness, economic achievability, and resource assessment, are

the primary requirements of project estimation. Solar energy is available adequately
over the country, like India. Concentrated solar power (CSP) is popular worldwide.
Fig. 8 Graphical representation of Solidification rate at various mass flows for PCM 1 and PCM 2
Most of the plants, the average temperature is required for processing and solar
energy can effectively generate this amount of heat. The solar energy-based thermal
power plant with phase change material can play a vital role in the fulfillment of
the energy requirements of the industry. From the above calculation, it is evident
that time duration and amount of heat transfer is much more in latent heat transfer
relative to sensible heat transfer. Latent heat transfer occurs for a duration of more
than 95% of the total time. Hence, sensible heat transfer has less significance in the
case of PCM material reservoirs. Net power output from a solar power plant with two
Phase change material (PCM) reservoirs shows a downward trend when the outlet
temperature of Heat transfer fluid (HTF) increases.
Two different PCMs have been used to reduce the outlet temperature up to 500 °C.
With one PCM this much reduction of temperature is not possible, and consequently,
net power output also drops largely. Charging and discharging duration of PCM for
continuous power production depends on the geographical location of the site.
In present work 12 h charging and 12 h discharging have been considered.
Solar thermal power generation using phase change material is totally new tech-
nology in India, thus much more effort are required for the fulfillment of the energy
scenario on a large scale.
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Application of Analytic Hierarchy
Process for the Selection of Best Tablet
Model
Shankha Shubhra Goswami and Soupayan Mitra
Abstract The study of this paper is to select the best tablet model among a group
of three models available in the market by applying multi-criteria decision making
(MCDM) methodology (i.e., AHP). The selection process is based on the number of
criteria’s such as price, RAM, internal storage, and brand. The relative choices and
preferences of different tablet specifications are taken by surveying 100 common
tablet users. The decision matrix is created based on this market survey, and the final
decision is made. The three tablet models which are taken into consideration for this
analysis are also chosen after surveying some of the local electronic store. Presently,
the demand of these models is high as compared to other models and generally
preferred by the tablet users. Among these models, the aim of this paper is to select
the best option and enable the decision maker to choose the best alternatives by
applying multi-criteria decision-making methodology, and a final ranking is made.
Keywords MCDM · AHP · Decision making · Tablet
1 Introduction
In this twenty-first century, electronic gadgets play an important role in everyone’s

life. There are different types of electronic gadgets exists having their own importance
in life, and also there are different models available in the market for each gadget.
For example, while purchasing a refrigerator [1, 2] or a car [3], there are lots of
different models available in the market from different brands having different spec-
ifications, e.g., screen size (television), seat capacity (car), color, etc. So it is quite a
very challenging task for the customer to choose the best models or options among
S. S. Goswami (B) · S. Mitra

Jalpaiguri Government Engineering College, Jalpaiguri, India
e-mail: shankhashubhragoswami@gmail.com
S. Mitra
e-mail: smitra2000@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_21
228 S. S. Goswami and S. Mitra
different available alternatives. Multi-criteria decision making [4, 5] provides solu-

tion to this type of decision-making problems where the best option is to be chosen
among different available alternatives [6]. Such one of the very challenging problems
is selected in this present analysis where the best tablet model is chosen among three
models available in the market by applying analytic hierarchy process (AHP) [7, 8].
Sometimes the customers or buyers get confused between different models while
purchasing tablets and are very concerned about which is the best model to buy,
the same thing happens with maximum buyers while purchasing some electronic
gadgets, or to select the best option having different alternatives [9–11]. To get
rid of this confusing situation, MCDM technique is introduced. There are lots of
MCDM technique [12–14], e.g., AHP [15, 16], TOPSIS [17, 18], ELECTRE [18–
20], VIKOR [21, 22], SAW [22, 23], PROMETHEE [24], AHP-FUZZY [25], etc.
All these MCDM techniques work in their own principle and can be applied in wide
areas in the industry [26–28]. For this present investigation, AHP methodology is
adopted and applied for this selection process.
For this analysis, 100 tablet users have been surveyed to know their relative choices
and preferences of different tablet specifications, and based on this market survey,
the whole calculations are done. The three tablet models which are given in Table 3
are also selected by surveying few local electronic stores [9, 10]. Presently, these
three models are high on demand and generally preferred by the customers, and so,
analysis have been done to select the best model from these three models based on
the market survey. All the calculations are shown in details step by step in the next
section, and the results are also validated by consistency check at the end [1, 2].
2 Theoretical Analysis
Analytic hierarchy process (AHP) is the most widely used MCDM tools for its
consistency and good results [7, 8]. It deals with the weightage calculation and the
validation of the pair-wise comparison matrix by the checking of consistency at the
end. It was first introduced by Thomas. L. Saaty in 1980 [7]. The steps of AHP are
as follows:
Step 1: Define and identify the problem.
Step 2: Construct a hierarchy tree as shown in Fig. 1.
Step 3: Create a pair-wise comparison matrix (ni *nj ) based on the market survey
of 100 people and quantify the relative importance of different criteria according to
the Saaty’s 9 pair comparison scale [7] as given in Table 1.
Application of Analytic Hierarchy Process … 229
Best Tablet Model

to select
Price RAM Internal Brand

Storage
Tablet Tablet Tablet

Model 1 Model 2 Model 3
Fig. 1 Hierarchy tree of the tablet model showing all the criteria and alternatives
Table 1 Saaty’s 9 pair

Saaty’s pair-wise comparison Compare factor
comparison scale
scale
1 Equal importance
3 Moderate importance
5 Strong importance
7 Very strong importance
9 Extreme importance
2, 4, 6, 8 Intermediate values when
compromise is needed
⎡ ⎤
a11 a12 a13 a14 . . . a1n
⎢a . . . a2n ⎥
⎢ 21 a22 a23 a24 ⎥
⎢ ⎥
⎢a a32 a33 a34 . . . a3n ⎥
A (n i × n j ) = ⎢ 31 ⎥
⎢ a41 a42 a43 a44 . . . a4n ⎥
⎢ ⎥
⎣... ... ... ... ... ... ⎦
an1 an2 an3 an4 . . . ann
Step 4: Normalize the pair-wise decision matrix and find the priority vector,
respectively, as given in Eq. 1. Priority vector is the row averages of the pair-wise
decision matrix.
ai j
N i j = n (1)
i=1 ai j
where i = 1, 2, 3, 4,…, n
Table 2 Randomly generated index

n 1 2 3 4 5 6 7 8 9 10 11 12
RI 0 0 0.58 0.9 1.12 1.24 1.32 1.41 1.45 1.49 1.51 1.58
Table 3 Tablet models available in the market

Models Price RAM (GB) Internal storage (GB) Brand
Tablet 1 200$ 2 16 Lenovo
Tablet 2 300$ 3 32 Samsung
Tablet 3 500$ 4 64 Huawei
j = 1, 2, 3, 4,…, n.
Step 5: Checking whether the pair-wise comparison matrix is consistent or not.
Consistency Index (CI) = (λmax − n)/(n − 1) (2)
where n is the order of the matrix and λmax is the average consistency
Consistency Ratio (CR) = CI/RI (3)
where RI is the randomly generated index given in Table 2.

Step 6: If consistency ratio (CR) is less than 0.1, then the decision maker judgment
is consistent, but if the CR value exceeds 0.1, then the pair-wise decision matrix
needs to be modified and altered [8]. This means that up to 10% of inconsistency in
judgments can be acceptable, but beyond that value, the judgment needs to be altered
to make it consistent (Table 3).
This section consists of all the calculation procedure shown step by step in details.
The first step is to create a pair-wise comparison matrix based on the market survey
of the people. The relative importance is given according to the Saaty’s scale given
in Table 1. The pair-wise comparison matrix is created and given in Table 4.
The pair-wise comparison matrix is normalized by dividing each element in
Table 4 by their respective column sum by using Eq. 1.
For N 11 , 1/1.59286 = 0.62780.
After finding the normalized values, determining the row averages to find out the
priority vector and the weights of each criteria as given in Table 5.
For price, (0.62780 + 0.6 + 0.68571 + 0.5)/ 4 = 0.60338 or 60.338%.
Similarly, all the weightages are found out as given above in Table 5.
Table 4 Pair-wise comparison matrix (main criteria)

Comparisons Price Internal storage RAM Brand
Price 1 5 4 7
Internal storage 1/5 1 1/2 3
RAM 1/4 2 1 3
Brand 1/7 1/3 1/3 1
Sum 1.59286 8.33333 5.83333 14
Table 5 Normalization of the pair-wise comparison matrix

Comparison Price Internal storage RAM Brand Row average Weight %
Price 0.62780 0.60000 0.68571 0.50000 0.60338 60.338
Internal storage 0.12556 0.12000 0.08571 0.21429 0.13639 13.639
RAM 0.15695 0.24000 0.17143 0.21429 0.19567 19.567
Brand 0.08969 0.04000 0.05714 0.07143 0.06456 6.456
Sum 1 1 1 1 1 100
Consistency calculation of the main criteria

⎡ ⎤ ⎡ ⎤
1 5 4 7 0.60338
⎢ 1/5 1 1/2 3 ⎥ ⎢ 0.13639 ⎥
⎢ ⎥ ⎢ ⎥
⎣ 1/4 2 1 3 ⎦ × ⎣ 0.19567 ⎦
1/7 1/3 1/3 1 0.06456
⎡ ⎤ ⎧ 2.52993 ⎫⎧ ⎫
2.51993 ⎪ 0.60338 ⎪ ⎪ 4.17639 ⎪ Price
⎪ ⎪
⎨ 0.54858 ⎬⎨⎪ ⎬
⎪
⎢ 0.54858 ⎥ 4.02223 Internal Storage
=⎢ ⎥
⎣ 0.81298 ⎦ ⇒ ⎪ 0.81298 ⎪⎪ 4.15496 ⎪
0.13639
⎪ 0.19567 ⎪
RAM
⎩ 0.26144 ⎭⎪⎩ ⎭
⎪
0.26144 4.04940
0.06456
Brand
The pair-wise decision matrix is multiplied with the row average (priority vector)
matrix to find the weighted sum matrix and further finding the consistencies of
each criteria by dividing the weighted sum matrix by their respective priority vector
(Table 6).
Table 6 Consistency check

No. of comparisons (n) 4
Average consistency (λmax ) 4.10074
Consistency index (CI) 0.03358
Randomly generated consistency index (RI) 0.9
Consistency ratio (CR) 0.03731
Consistent Yes
It is a 4 × 4 matrix, so in this case, n = 4.

Summation of all the consistencies found in the consistency calculation section.
4.17639 + 4.02223 + 4.15496 + 4.04940 = 16.40297
λmax = 16.40297/4 = 4.10074
By using Eq. 2
CI = (λmax − n)/(n − 1)
= (4.10074 − 4)/(4 − 1)
= 0.03358
From Table 2, RI value for n = 4 is 0.9

By using Eq. 3
CR = CI/RI
= 0.03358/0.9
= 0.03731 ≤ 0.1
Since the CR value is less than 0.1, the judgment of the decision maker is true
and consistent.
The pair-wise comparison matrix for price is given above in Table 7. Table 3
shows that the price of model 1 is cheaper than the other 2 models, so usually model
1 is preferable than model 2 and model 3 in terms of price. Since the price of model
1 (200$) is little bit less than model 2 (300$), model 1 is given moderate importance
over model 2; and on the other hand, there is a large price difference between model
1 (200$) and model 3 (500$). And since model 3 is much costlier than model 1,
model 1 is given very strong importance over model 3 because maximum customer
will go for model 1 since it is cheaper in terms of price and very few will go for the
higher price.
Now same process is followed as previously done for the main criteria. After
calculating the weightages of the tablet models in terms of price, consistency is
checked. The weightages of the three tablet models are given above in Table 7.
Table 7 Pair-wise
Comparison Tablet 1 Tablet 2 Tablet 3
comparison matrix for price
Tablet 1 1 3 7
Tablet 2 1/3 1 3
Tablet 3 1/7 1/3 1
Comparison Row average Weight %
Tablet 1 0.66870 66.870
Tablet 2 0.24310 24.310
Tablet 3 0.08820 8.820
Table 8 Pair-wise
comparison matrix for
internal storage Tablet 1 1 1/5 1/2
Tablet 2 5 1 3
Tablet 3 2 1/3 1
Tablet 1 0.12218 12.218
Tablet 2 0.64795 64.795
Tablet 3 0.22987 22.987
Table 9 Pair-wise
comparison matrix for RAM
Tablet 1 1 1/5 1/7
Tablet 2 5 1 1/3
Tablet 3 7 3 1
Tablet 1 0.07377 7.377
Tablet 2 0.28284 28.284
Tablet 3 0.64339 64.339
Table 10 Pair-wise
comparison matrix for brand
Tablet 1 1 1/7 1/5
Tablet 2 7 1 3
Tablet 3 5 1/3 1
Tablet 1 0.07377 7.377
Tablet 2 0.64339 64.339
Tablet 3 0.28284 28.284
In this case, CR is 0.00606 ≤ 0.1, which is well within the limit, and hence, the
judgment is consistent (Table 8).
CR is 0.00319 ≤ 0.1, Hence, the judgment is consistent (Table 9).
CR is 0.05648 ≤ 0.1, Hence, the judgment is consistent (Table 10).
CR is 0.05648 ≤ 0.1, Hence, the judgment is consistent.
Table 11 shows the overall weightage of the three models, and ranking is made based
Table 11 Overall weightage calculation of the tablet model

Weights 0.60338 0.13639 0.19567 0.06456
Comparison Price Internal Ram Brand Overall Weight % Ranking
storage weightage
Tablet 1 0.66870 0.12218 0.07377 0.07377 0.43934 43.934 Rank 1
Tablet 2 0.24310 0.64795 0.28284 0.64339 0.33194 33.194 Rank 2
Tablet 3 0.08820 0.22987 0.64339 0.28284 0.22872 22.872 Rank 3
on the overall weightage of the models in the decreasing order.

Overall weightage calculation:
Tablet 1: {(0.60338 × 0.66870) + (0.13639 × 0.12218) + (0.19567 × 0.07377) +
(0.06456 × 0.07377)} = 0.43934 or 43.934%.
Tablet 2: {(0.60338 × 0.24310) + (0.13639 × 0.64795) + (0.19567 × 0.28284) +
(0.06456 × 0.64339)} = 0.33194 or 33.194%.
Tablet 3: {(0.60338 × 0.08820) + (0.13639 × 0.22987) + (0.19567 × 0.64339) +
(0.06456 × 0.28284)} = 0.22872 or 22.872%.
5 Conclusions
From this analysis, it can be concluded that the model 1 is the best tablet model
among these three available models based on the customers opinion and ranking that
has been made according to the overall weightages found in Table 10. Since the price
of the model 1 is comparatively lower than the other 2 models, it is generally more
preferred by the customers. The same problem can also be done by applying other
MCDM tools, e.g., TOPSIS, AHP-FUZZY, PROMETHEE, etc., but AHP is more
stable process than other MCDM tools because the consistency is checked at the end
of each step to ensure that the decision maker judgments is consistent and correct
enough to carry out the further analysis.
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IJSRON2013790.pdf
Postdeforming of FGM Laminates
Analysis for Random Geometric
Parameters in Thermal Environments
Rajesh Kumar and Vineet Shekher
Abstract In present paper, simulation in MATLAB code of FGM plates is carried out
in thermal environments to know effects on postbuckling. Basic formulations are done
considering HSDT and DISFEM for FGM plates. Mean and COV have been found for
(a/h), (a/h) and n. Obtained investigation is compared with existing published papers
and more robust techniques. Applicability of this study is in aerospace engineering.
Keywords FGM laminates · Postbuckling · SFEM · Uncertain material

parameters · Mathematic technique
Nomenclature
Aij , Bij , etc. Laminate stiffnesses

νf , νm Poisson’s ratio of fiber and matrix, respectively
V m , Vf Volume fraction of fiber and matrix, respectively
R. Kumar (B)
Rajasthan, India
V. Shekher
Dept of Electrical & Electronics Engineering, NIET, Greater Noida, Uttar Pradesh, India
e-mail: vshekher2407@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_22
238 R. Kumar and V. Shekher

ne, n Number of elements and number of layers in the laminated plate
N x , N y , N xy In-plane thermal buckling loads
p
f , {f }(e) Vector of unknown displacements and displacement vector of eth
element
σ̄i j , ε̄i j Stress vector and strain vector
ψ y , ψx Rotations of normal to mid plane about the x- and y-axis, respectively
ρ, λ, Var(.) Mass density, eigenvalue, and variance
RV s Random variables
α1, α2, β 1, β 2 Thermal expansion and hygroscopic coefficients along x- and y-
direction, respectively
1 Introduction
Various techniques are applied for structure behavior prediction. SFEM with mathe-
matic technique is among them applied for present investigation. Much literature is
published on FGM application deterministic approach [8–10, 12].
Comparatively, fewer efforts are being done by investigators [13, 14, 6]. In earlier
[1] studied the laminate with uncertainties. Yang et al. [2] investigated FGM plates
with uncertainties. Jagtap et al. [5] investigated the FGM laminates with uncertain
parameters. Natarajan et al. [17] studied analysis of functionally graded material
plates using triangular elements with cell-based smoothed discrete shear gap method.
Buckling and vibration of functionally graded non-uniform circular plates resting on
Winkler foundation are investigated by Lal and Ahlawat [18]. Jagtap et al. [19]
studied the thermomechanical elastic postbuckling of functionally graded material
plate with random material properties.
Postdeforming of FGM Laminates Analysis for Random … 239
Fig. 1 Functionally graded z

a
material laminate
b
y
x
Ceramic surface
h/2
h/2
Metal
surface
2 Formulations
Consider a square FGM plate consisting of metal and ceramic at the top and bottom
layer of length a, width b, and total thickness h, defined in (x, y, z) system with x-
and -y axes located in the middle plane and its origin placed at the corner of the plate
[5]. Let (ū, v̄, w̄) be presented by Fig. 1.
The parameters of the hybrid laminate are under assumption z = h/2 for ceramic
and metal reach. Complete formulations are given in [6, 7].
3 Methodology Adopted
The analysis for post-buckling load of laminated is found by applying and solving
the equation given in [1].
t2
δ (U − W ) ∗ T dT = 0
t1
MATLAB 7.10.0 (R2010a) software is used for present studies and laminate with
567 DOF is taken for this investigation [15]. For investigation, a (5 × 5) mesh is
chosen. Coefficient of variations 0.1 [16] (bi) is numbered.
E c , E m , υc , υm , n, k1 , k2 have different notations.
In the present study, T c = 600°K, T m = 300°K,
The (λcr ) and thermal (λTcr ) loadings is defined as.
Table 1 Validation study for nondimensional specific deforming force (N ), SSSS, Al/Al2 O3
N cr ∗a 2
laminate subjected to biaxial compression, where a = 1, b = 2. (N ) = E m ∗h 3
N
a/b a/h Sources 0 0.5 1 2 5 10 20 100
0.5 5 Thai and Choi [3] 5.376 3.539 2.733 2.116 1.719 1.537 1.369 1.099
Reddy et al. [4] 5.371 3.527 2.715 2.092 1.700 1.527 1.364 1.097
Present [HSDT] 5.366 3.608 2.806 2.152 1.659 1.452 1.304 1.081
(N xb )cr b2
λcr = and λTcr = λα(T )cr × 103
Ec h3
(N xb )cr denotes critical buckling temperature.
4.1 Comparison for Average Deforming Load
Nondimensional (N ) is expressed in [3, 4] as studied in Table 1.

Figure 2 compares with Wu et al. [7] and Lal et al. [10] and is in good agreement.
4.2 Parametric Study for Post-Buckling Load
Table 2 presents the expected outcomes of different combinations of parameters

taken together for effects of all input random variables.
Table 3 investigated for different parameters as input under consideration such as
(a/h), (x), (W max /h), [pi , (i = 1,…, 7) = 0.10].
Table 4 investigated for different parameters as input under consideration such as
(x), (W max /h) and [pi , (i = 1,…, 7) = 0.10], plate thickness ratio (a/h) = 30.
5 Conclusions
Average deforming force with coefficient of variations of postdeforming of func-

tionally graded laminate is presented. Influence of power index (n), Length to width
ratios (a/b), length to height ratios (a/h) is presented in Table 2, Table 3 and Table
4 respectively. Table 1 and Fig. 2 represent validation data for mean and COV of
postdeforming load respectively.
0.18 a/h=10, a/b=1. CCCC, biaxial

Al/ZrO2, (n=0) Tcrl=2.7651
0.16 Yang et. al [2]
Lal et al. [10]

0.14
Present [DISFEM]
(n=0.2) , Tcrl = 2.4652
0.12 Yang et. al [2]
Lal et al. [10]
0.10 Present [DISFEM]

COV ,λ cr
0.08
0.06
0.04
0.02
0.00
0.00 0.02 0.04 0.06 0.08 0.10 0.12
COV,(Ec,Em,Vc,Vm)
Fig. 2 Comparison of coefficient of variations with published literature
Table 2 Influence of (n),

N W max /h Uniform temperature
(W max /h), [pi , (i = 1,…, 7) =
distribution
0.10] for average and
coefficients of variations of Without foundation, (k 1 = 0,
functionally graded material k 2 = 0)
laminate, with (a/h) = 10 Mean COV
0.0 0.5 3.3767 0.1107
1.0 4.1679 0.1391
0.5 0.5 2.2530 0.0960
1.0 2.7430 0.1190
1.0 0.5 1.7521 0.0972
1.0 1.9040 0.0885
2.0 0.5 1.3542 0.1148
1.0 1.7013 0.1242
5.0 0.5 1.0747 0.1087
1.0 1.1571 0.0955
10.0 0.5 0.9503 0.0946
1.0 1.1538 0.1173
Table 3 Influence of (a/h), (x), (W max /h) and [pi , (i = 1,…, 7) = 0.10] for average and coefficients
of variations of functionally graded material laminate, with (a/h) = 5 and 15
a/h x W max /h Uniform temperature distribution
Without foundation, (k 1 = 0, k 2 = 0)
Mean COV
5 0.5 0.5 13.2938 0.1055
1.0 12.4514 0.2798
1.0 0.5 10.4303 0.1000
1.0 11.8297 0.1451
2.0 0.5 7.9563 0.1027
1.0 9.0007 0.1381
5.0 0.5 5.8913 0.1004
1.0 6.1306 0.0980
10.0 0.5 5.0413 0.1066
1.0 7.2093 0.0237
15 0.5 0.5 0.7336 0.0950
1.0 0.9163 0.1191
1.0 0.5 0.5693 0.0980
1.0 0.7179 0.1178
2.0 0.5 0.4413 0.1199
1.0 0.5559 0.1311
5.0 0.5 0.3567 0.1143
1.0 0.4369 0.1286
10.0 0.5 0.3178 0.0958
1.0 0.3791 0.1139
Plate with same length and width shows influenced higher than other type of
laminate. The clamp-supported laminates are more sensitive than other boundary
conditions.
Change in the n and post-deforming temperature of plate deteriorates especially.
The post-buckling response COV and post-deforming force vary when there is change
in plate thickness ratios and boundary supports.
Table 4 Influence of boundaries, (a/h), (x), (W max /h) and [pi , (i = 1,…, 7) = 0.10] for average
and coefficients of variations of functionally graded material laminate, with (a/h) = 30
Boundaries x W max /h UT
(k 1 = 0, k 2 = 0)
Mean COV
SSSS 0.5 0.5 0.1023 0.0948
1.0 0.1255 0.1164
2.0 0.5 0.0616 0.1259
1.0 0.0762 0.1372
5.0 0.5 0.0505 0.1205
1.0 0.0607 0.1350
10.0 0.5 0.0453 0.0981
1.0 0.0535 0.1173
CSCS 0.5 0.5 0.2102 0.0821
1.0 0.2261 0.0877
2.0 0.5 0.1271 0.0928
1.0 0.1435 0.0942
5.0 0.5 0.1023 0.0894
1.0 0.1112 0.0909
10.0 0.5 0.0906 0.0767
1.0 0.1078 0.0760
CCCC 0.5 0.5 0.2110 0.0819
1.0 0.2347 0.0884
2.0 0.5 0.1276 0.0925
1.0 0.1608 0.0883
5.0 0.5 0.1026 0.0891
1.0 0.1151 0.0892
10.0 0.5 0.0909 0.0765
1.0 0.1077 0.0762
References
1. Singh BN, Iyengar NGR, Yadav D (2002) A C0 finite element investigation for buckling of
shear deformable laminated composite plates with random material properties. Int J Struct Eng
Mech 113(1):53–74
4. Reddy BS et al (2013) Buckling analysis of functionally graded material plates using higher
order shear deformation theory. Hindawi Publishing Corporation J Compos. https://doi.org/10.
1155/2013/808764
Model Elsevier. 10.1016./japm..06.013
7. Wu TL, Shukla KK, Huang JH (2007) Post-buckling analysis of functionally graded rectangular
8. Shen Hui-Shen (2000) Hygrothermal effects on the postbuckling of composite laminated
cylindrical shells. Compos Sci Technol 60(8):1227–1240
9. Shen Hui-Shen (2000) The effects of hygrothermal conditions on the postbuckling of shear
deformable laminated cylindrical shells. Int J Solids and Struct 38(36–37):6357–6380
10. Shen Hui-Shen (2002) Hygrothermal effects on the postbuckling of axially loaded shear
deformable laminated cylindrical panels. Compos Struct 56(1):73–85
11. Lal A, Singh HN (2012) Stochastic mechanical and thermal postbuckling response of func-
tionally graded material plates with circular and square holes having material randomness. Int
J Mech Sci
13. Pandey R, Upadhyay AK, Shukla KK (2010) Hygrothermoelastic postbuckling response of
laminated composite plates. ASCE, 23. 0893-1321
23:1831
17. Natarajan S, Ferreira AJM, Bordas S, Carrera E, Cinefra M, Zenkour AM, Analysis of func-
tionally graded material plates using triangular elements with cell-based smoothed discrete
shear gap method. Math Probl Eng ID 247. ISSN 1024-123X. https://doi.org/10.1155/2014/
247932
18. Lal R, Ahlawat N (2015) Buckling and vibration of functionally graded non-uniform circular
plates resting on winkler foundation. Latin Am J Solids Struct 12:2231–2258
19. Jagtap KR, Lal A, Singh BN (2012) Thermomechanical elastic postbuckling of functionally
graded material plate with random material properties. Int J Comput Methods Eng Sci Mech
Taylor &francis
Flow Simulation of Atmospheric
Re-entry Vehicle at Varying Mach
Number and Angle of Attack
Shivam Thakur, Harish Kumar, and Shrutidhara Sarma
Abstract Numerical simulations are always dominant over experimental investiga-

tions in the field of flow analysis as they are simple, economical and take less time.
It is better to analyze hypersonic flow problems like re-entry of a space vehicle using
computational simulation as it takes less time and predict highly accurate results.
The present work mainly emphases on analyzing the flow behavior in the vicinity of
Apollo re-entry vehicle at hypersonic speeds using computational fluid dynamics.
A numerical analysis of at altered Mach number and two angles of attack (0° and
10°) was studied. Ansys Fluent was used as a CFD tool for modeling the problem.
Meshing of domain along with the appropriate boundary conditions was used to
analyze the effects of changing boundary conditions on aerodynamic properties. The
flow domain around module geometry was made ten times the dimension of module
geometry to capture the shock formation effectively. Appropriate boundary condi-
tions along with suitable meshing were used to start the simulation. The effect of
altering Mach number with angle of attack on aerodynamic properties, i.e., pressure,
density, and temperature was examined using contours and comparison graphs.
Keywords Atmospheric re-entry · Re-entry vehicles · Hypersonic flow · Flow

simulation · CFD
1 Introduction
An atmospheric re-entry module is a part of a space vehicle which is designed

specifically to bear the high temperature and pressure loads. A bow shock formation
takes place ahead of it at returning phase [1–4]. The front side of the modules is
S. Thakur · H. Kumar (B)

National Institute of Technology Delhi, New Delhi, Delhi 110040, India
e-mail: harishkumar@nitdelhi.ac.in
S. Sarma
Indian Institute of Technology Jodhpur, Jheepasani 342037, India

https://doi.org/10.1007/978-981-15-5463-6_23
246 S. Thakur et al.
made blunt to sustain high temperature occurred while entering into the atmosphere
of any planet [5–7].
Due to the bow shock formation, a drag force is experienced by the re-entry body
which leads to the reduction in its speed [8, 9]. This drag force and high-temperature
load can induce internal stresses in the re-entry body and are strong enough to crush
the re-entry body as like Columbia disaster [10–12]. The frontal blunt part of re-entry
module is provided with thermal protection for insulating contents of the re-entry
body and to avoid disasters like Columbia in future [13, 14].
Computational fluid dynamics (CFD) dominated the experimental investigations
of high Mach flows as the temperature and pressure values at those conditions are
difficult to build in shock tunnels. For some cases, it has completely eliminated
the need for experimental analysis. Shock tunnels experiments are also costlier and
complicated. CFD is an efficient and economical approach to analyze such kind of
problems. Therefore, CFD tools have a significant role in designing of hypersonic
vehicles [15–17]. A thorough investigation of the flow parameters is required for
avoiding any tragedy like Columbia. Therefore, a computational simulation of a re-
entry vehicle at varying speed with angle of attack was attempted here. The critical
values of pressure and temperature obtained from the simulation can also help in
material selection.
2 Methodology
The numerical analysis of flow over Apollo module can be divided into following
parts:
(i) Creating the geometry of re-entry vehicle in design modeler of CFD tool,
(ii) import the modeled geometry into meshing tool, (iii) analyze the meshed 2D
geometry in the CFD program by applying suitable boundary conditions, and (iv)
post-processing of the results.
3 Geometrical Modeling of Re-Entry Vehicle
The re-entry module geometry has been adopted from literature [2, 18]. Design
modeler is used for making the computational geometric model of Apollo re-entry
vehicle.
The Apollo re-entry body is divided into two parts—a spherical fore-body and a
conical after-body. Geometry specification of Apollo module and its computational
model is given in Fig. 1. To investigate the flow pattern around the re-entry body,
a flow domain around re-entry module was created and was made 10 times bigger
than the re-entry body geometry for capturing the shock effectively. The flow field
was made around the test body keeping test body at center as a hindrance in the path
of flow and the far-field boundaries were made symmetric with the re-entry body.
Flow Simulation of Atmospheric Re-entry Vehicle at Varying … 247
Fig. 1 a Apollo geometry [4], b modeled geometry
Fig. 2 a Flow domain for simulation, b meshing of flow domain
4 Meshing
In this section, the meshing of the flow domain was done rather than the module body
itself. For discretization of flow domain, quadrilateral elements were used. In order
to capture the boundary layer formation, the region near the shoulder of module was
finely meshed. The maximum and minimum element size was 3.3 m and 0.033 m,
respectively. Skewness was 0.25, and growth rate was maintained at 1.2. The number
of elements taken was 10,270, and number of nodes obtained was 10,429. Figure 2
shows the flow domain and meshing.
5 Simulation Setup
The flow pattern around Apollo re-entry capsule was analyzed using Ansys fluent.
Solution initialization was done by applying suitable boundary conditions for meshed
model. Turbulent flow analysis was done by using Spalart–Allmaras (SA) model
[19–21]. This model was found suitable for hypersonic flow problems.
The principle governing equations for fluid flow was discretized into a set of
algebraic equations using finite volume method. A density-based solver along with
ideal gas assumption for air was used. AUSM method with second-order accuracy
was used.
Isothermal wall with no-slip condition was applied at the test body surface wall.
All the boundaries were assigned as pressure far-afield as at hypersonic speeds, it
gave better results. 2D Navier–Stokes equations were taken for solving the given
problem. Pressure and temperature taken were 130.5 Pa and 267 K, respectively.
Mach number taken was 10, 20 and angle of attack was 0°, 10°.
In this section, the results of the simulation using flow variables were analyzed and
explained. XY plots for varying altered Mach number with angle of attack are drawn.
During the re-entry, a space vehicle moves with the relative speed between the test
body and fluid around it. The fluid around module can be stand still or moving with
a low velocity. But in numerical simulation, the structural body was kept stationary
and the fluid around it was made to flow with the same relative velocity as in actual
case. For simple flow analysis, the module body was taken rigid. So, the deformation
effect in the same body was ignored. The formation of a bow-shaped shock was
observed.
As the simulation proceeds, the boundary layer formation took place. Due to
boundary layer formation, flow separation from the shoulder occurred. For the present
study, Mach number 10 and 20 along with 0° and 10° angle of attack is used.
The results of altering Mach number with angle of attack on aerodynamic proper-
ties (pressure, temperature, and density) were observed along lines (Line1 and Line2)
as shown in Fig. 3. The change in pressure on changing Mach number and angle of
attack is shown in Fig. 4. The maximum pressure occurred at front side of re-entry
capsule and behind the shock. This maximum pressure is also known as stagnation
pressure.
With the increase in speed from Mach 10 to Mach 20, the static pressure increased
rapidly and became about 4 times the normal flow condition. It happened since
at high speed, dynamic pressure would also be high. This dynamic pressure gets
converted in static pressure behind the shock as the velocity becomes almost 0 at
stagnation point, while changing angle of attack has opposite effect than changing
Mach number. The pressure decreased a little on increasing angle of attack and for
Mach 20, the maximum pressure got a reduction of 2.5%. This change took place
due to the changing orientation of the module body.
The change in density on altering Mach number with angle of attack can be seen
from the graph shown in Fig. 5. Maximum density is obtained at the front for the side
of the module. The distribution of the values of density on changing Mach number
Fig. 3 a Location of data lines at angle of attack 0°. b Location of data lines at angle of attack 10°
Fig. 4 a Pressure variation with Mach number and angle of attack along Line 1. b Pressure variation
with Mach number and angle of attack along Line 2
Fig. 5 a Density variation with Mach number and angle of attack along Line 1. b Density variation
with Mach number and angle of attack along Line 2
Fig. 6 a Temperature variation with Mach number and angle of attack along Line 1. b Temperature
variation with Mach number and angle of attack along Line 2
with angle of attack was found similar. On increasing Mach number, the density also
increased but not with the same intensity as occurred in case of pressure plots. The
pattern of density about line 2 and 10° angle of attack is unsymmetric. It occurred
because Line2 is also not symmetric about capsule body oriented at 10° angle of
attack.
The change in temperature on changing Mach number and angle of attack is shown
in Fig. 6. The result of changing Mach number with angle of attack on temperature
was found similar to that of changing pressure. With an increase in Mach number
from 10 to 20, temperature became 4 times the value at Mach 10. The intensity of
change was high for Mach number variation. Highest temperature occurred at stag-
nation point which is also known as stagnation temperature. The highest temperature
obtained in all the four cases was 22,370.
7 Conclusion
From the above results, we can conclude that the net effect of increasing Mach
number is increase in static pressure, density, and temperature, whereas the effect
of increasing angle of attack is just opposite. Increase in angle of attack leads to the
reduction in the variables, although the results for increased angle of attack in vertical
direction are not symmetric about origin. At certain points, the static pressure, density,
and temperature abruptly increase on increasing angle of attack. It occurs because
the tilting of module geometry leads to different flow patterns around the re-entry
module. Future work will be focused on working with higher Mach numbers and
change of angle of attack at different altitudes with different atmospheric conditions.
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Measuring the Relative Importance
of Reconfigurable Manufacturing System
(RMS) Using Best–Worst Method
(BWM)
Ashutosh Singh, Mohammad Asjad, Piyush Gupta, Zahid Akhtar Khan,

and Arshad Noor Siddiquee
Abstract Manufacturing companies have since been continuously facing volatile

market conditions, primarily due to rapidly changing customers demand and quick
introduction of new products. Therefore, to stay competitive in globally ever-
changing manufacturing environment, manufacturing sectors need to adopt and
implement those manufacturing systems which are capable to keep pace with the
changes occurring and this is why a new concept, namely “reconfigurable manufac-
turing system (RMS)”, has come into being. The manufacturing organizations have
to meet the requirements of RMS by developing a suitable system which keeps their
entity globally viable. The main objective of this paper is to identify and analyse the
factors which directly or indirectly influence reconfigurable manufacturing system.
In this present work, local and global weights have been calculated to measure the
global ranking of all the possible RMS factors (e.g. modularity, scalability, inte-
grability, flexibility, convertibility and diagnosability) based on which the best and
worst alternatives are selected right at the design stage of RMS. All these factors
have been mapped together through multi-criteria decision-making approach known
as best–worst method (BWM). Finally, sensitivity analysis has been done to validate
the proposed results. The proposed multi-decision approach is quite versatile from
the point of view that it provides an opportunity to integrate all possible factors and
sub-factors which could impact manufacturing processes.
Keywords Reconfigurable manufacturing system · Modularity · Scalability ·

Best–worst method (BWM) · Sensitivity analysis
A. Singh (B) · M. Asjad · Z. A. Khan · A. N. Siddiquee

Department of Mechanical Engineering, Faculty of Engineering and Technology, Jamia Millia
Islamia, New Delhi 110025, India
e-mail: ashurajput86@gmail.com
P. Gupta
Inter-University Accelerator Centre, New Delhi 110025, India

https://doi.org/10.1007/978-981-15-5463-6_24
254 A. Singh et al.
1 Introduction
After World War II, in the twentieth century, there was a major turnaround in the
manufacturing sector which included interchangeability of components and parts
which to some extent led to globalization in the manufacturing field. Manufacturing
organizations faced so many economic challenges such as unpredictable market
changes, frequent modification of customer requirements, unforeseen market surges
and unanticipated transformations in end product [19]. These factors led to drastic
changes in the manufacturing philosophy so as to face the changing requirement of
market in the unforeseen future. Henry Ford pioneered the first moving assembly
line in manufacturing sector in 1913 which followed a series of revolutions in the
manufacturing sectors. It was around 1970 that CNC machines were introduced in
the production system which later on gave rise to the concept of flexible manu-
facturing first used by John Parsons in his production which was later named as
flexible manufacturing system (FMS). Afterwards, the idea of reconfigurable manu-
facturing system (RMS) was implemented in manufacturing world which is said to
have revolutionized the production system. The development of different manufac-
turing system is shown in Fig. 1. In twenty-first century, dedicated or conventional
manufacturing system (DMS) and flexible manufacturing system (FMS) have disap-
peared from manufacturing sectors because these systems were not enabled for rapid
production of customized products at a minimum cost by integration of new tech-
nologies. To overcome these shortcomings, today’s companies (such as automobile
industry, aerospace field, food and beverage in USA) are using a new system in which
we can easily make modification or reconfiguration at any level (such as machine
level, layout level and material handling) which has been termed as reconfigurable
Fig. 1 Illustration of the development of DMC, FMS and RMS [19]

Measuring the Relative Importance of Reconfigurable … 255
Fig. 2 Main factors of reconfigurable manufacturing system [45]
manufacturing system (RMS) [1]. Reconfiguration decision-making method based

on a game theory algorithm is generally used in manufacturing system at machine
level [38].
Yoram Koren was the first researcher who proposed RMS in 1999. After that many
researchers have contributed to this field. Reconfigurable manufacturing system may
be defined as a system, which is developed for incorporating quick changes in both
manufacturing capacity and its functionality of a manufacturing system by incorpo-
rating both hardware and software modules that can be added or replaced [17, 22,
23]. RMS consists of six core factors knows as scalability, modularity, convertibility,
integrability, flexibility and diagnosability [4, 7, 9, 18, 19, 30, 39–41, 43, 45] as
shown in Fig. 2.
Before implementing RMS in manufacturing industry, it is very important that we
analyse its core factors and sub-factors because it will tell us which factors play an
important role to face globalization in future market. For example, if the customer
demands suddenly increase, manufacturer will have to increase the scalability of
machine. In other words, weight of scalability should be higher than other factors.
If quality of the product is topmost priority, diagnosability weight should be higher
than other factors. By implementing all these core factors, the manufacturing time,
reconfiguration time and cost of the system can be reduced [8]. A lot of research
has been made to analyse the RMS factors such as interpretive structural modelling
(ISM), graph theory and matrix approach, AHP and multi-attributes utility theory
(MUAT). Tiwari et al. [45] discussed multi-decision criteria known as multi-attribute
utility approach to calculate the weight of six core factors of RMS. In his research,
he mentioned that weight of scalability factor (W s = 0.2522) should be more than
modularity (W m = 0.2475) and convertibility (W c = 0.2445) factors but he did
256 A. Singh et al.
not use any sub-factors of RMS. Therefore, scalability factor plays a vital role in
RMS at design stage. In this present work, six core factors and 28 sub-factors of
RMS have been identified through literature papers [25–28] and by taking opinions
of experts from industries. By analysing all these core factors and finding out the
relationship between them, we classified all factors into sub-factors. In this research
work, RMS indicators and sub-indicators have been analysed by best–worst method
which Jafar Rezaei developed in 2015. Rezaei et al. [36] implemented this technique
to analyse the relative significance of logistic performance indicator. Finally, the
main objectives of this paper are calculating the global weight and ranking of all
the indicators and sub-factors of RMS for determining which parameters need more
attention for improving the responsiveness and reconfigurability in manufacturing
sector. The organization of this research paper is structured as follows:
In Sect. 2, the RMS factors and sub-factors are identified through literature. In
Sect. 3, an overview of best–worst method (BWM) and questionnaire survey and
discussion with industry and academia experts are presented. In Sect. 4, global
weights and ranking are discussed. Section 5 explains the sensitivity analysis to
ensure that the obtained results do not show any biasness and also to purge the
effect of the highest weight indicator on other indicators considered in the present
research work. Lastly, conclusion and recommendations of future work are portrayed
in Sect. 6.
2 Core Factors Affecting the Design of RMS
The different factors and sub-factors, which affect the reconfigurable manufacturing
system, have been discussed as below:
Modularity (M)
Modularity implies that all of its hardware and software parts (e.g., machine, material
handling, tooling, assembly line, controls an axis of motion) are modularized [5].
When necessary, we can replace or upgrade its modular components. Modularity also
plays a vital role in mass customization [2]. Further, [14] focused on different modu-
larity enablers which are very important for industry 4.0. Holtta et al. [16] calculated
the modularity of system through single-value modularity index (SMI) by incorpo-
rating the various connections (both hardware and software modules) and different
numbers of components whether it may be basic or auxiliary components. Further, he
concluded that the modularity value of compact manufacturing systems is lower than
loosely coupled system because there are a large number of components and connec-
tivity inside it. As per Tu et al. [46], modularity value is inversely proportional to the
number of connection between the different components. Modularity-based multi-
criteria approach known as archived multi-objective simulated annealing (AMOSA)
is generally used for the selection of optimal set of modular machine (RMT) among
different auxiliary and basic modules [6]. Mesa et al. [29] described the various
modular architecture principles (MAPs) for developing the reconfigurable manu-

facturing system at design stage. They are component swapping, material handling
component sharing, adjustment of assembly line, widening, etc. These principles
may be used at machine level, material handling level, layout level, etc. to enhance
the modularity of manufacturing system. By implementing modularity characteristic,
the lead time and modification risk of system can be reduced and product variety,
feasibility of product and reconfigurability can be increased [12, 21], which is the
biggest requirement of today’s manufacturing companies. Finally, based on literature
review, the sub-factors affecting system modularity are discussed in Table 1.
Integrability (I)
Integrability shows the capacity of the manufacturing system and its components
both hardware and software to merge seamlessly and is efficient in absorbing
upcoming technologies [39]. Therefore, interface of different modules, parts modules
and mechanical components are very important features of integrability. Modules
interface describes interface between various modules and parts modules while
mechanical interface comprises the various link between mechanical components so
that RMS allows rapidly changeover system adaptability for future manufacturing
technologies and products.
Flexibility (F)
Flexibility may be defined as the capability to modify and adapt to a wide range of
production system and machine tool around the product family that are manufactured
at low cost. DMS, FMS and RMS are different from each other in terms of flexibility
(i.e. DMS has no flexibility and RMS has customized flexibility features). Gupta and
Goyal [15] classified various types of factors which directly affects flexibility (i.e.
route, process, material handling, scheduling, volume, etc.). Ali et al. [3] discussed
some scheduling characteristics in manufacturing system.
Scalability (S)
Scalability is an imperative characteristic of RMS that deals with capacity or
throughput expansion and reduction by adding or removing machine which helps
to enhance the manufacturing system response to sudden demand changes [10, 19,
39, 42]. So, it can be said that extra floor space is one sub-factor of scalability
for adding machine. Koren et al. [20] emphasized the scalability principles of the
RMS through which the system can be easily expanded in the future when needed
by the global market competition. Traditional system such as dedicated manufac-
turing system does not have the scalable capacity, so such system cannot cope rapid
production with low cost and large variations in customer product demand [11].
Therefore, scalability is a very important performance parameter for RMS. Scala-
bility is effected by a large number of factors and sub-factors, one of which is line
balancing [44] which means the full utilization of recourses (i.e. machine, assembly
line) at the designed throughput. Further scalability of a reconfigurable lathe machine
can be increased by using multi-spindle tool unit [48]. In this way, there are many
sub-factors of scalability which are shown in the table.
258 A. Singh et al.
Table 1 Classification of main factors into sub-factors of RMS

Main factor Sub-factors
Manufacturing system modularity (M) Machine mobility (M1)
Anchoring of machine frame foundation (M2)
Provision of modular cranes (M3)
Re-orientation of assembly line (M4)
Availability of modular matl. handling equipment
(M5)
Integrability (I) Reconfiguration time (I1)
(machine level) Ramp-up time/set over or change over time (I2)
Integration of machine hardware and software
component (I3)
Modules and part modules (I4)
Modular fixtures (I5)
Flexibility (F) Machine flexibility (F1)
Routing flexibility (F2)
Volume flexibility (F3)
Material handling flexibility (F4)
Sequence flexibility (F5)
Operation flexibility (F6)
Scalability (S) Line balancing for each production (S1)
Workstation with multi-spindle heads (S2)
Increase the degree of freedom of machine tool (S3)
Extended floor space (S4)
Convertibility (C) Changes in basic module of machine (like machine
base, column, sideways, etc.) (C1)
Changes in auxiliary modules of machine (C2)
Change in machine configuration (series, parallel and
mixed configuration) (C3)
Change in material handling system (like conveyer,
rail, crossover mechanism) (C4)
Diagnosability (D) Correct machine position (D1)
Inspection system (sensor network) in production
line (D2)
Reconfigurable inspection machine (D3)
Reliability and availability of machine (D4)
Convertibility(C)
Convertibility is an imperative feature of manufacturing system that deals with trans-
formation of its functionality changes of existing system to cope for future product.
Maier-Speredelozzi et al. [31] discussed a matrix to find out the system convertibility,
which is found using Eq. (1).
C S = W1 C C + W2 C M + W3 C H (1)
where W 1 , W 2 and W 3 are the weight of configuration, machine and material handling
matrix, and Cc, CM and CH are known as machine configuration matrix, machine
matrix and material handling matrix. In this matrix, he used convertibility sub-factors
such as material handling and machine configuration. Gupta and Gupta [13] evalu-
ated the shortest network length of material handling device by using graph theory
approach that can minimally connect all the workstations in manufacturing system.
Material handling convertibility is affected by material handling device such as
conveyer, rail, crossover mechanism for smooth, swift and even flow of in-process
material ensures efficient manufacturing operations [49]. Convertibility also depends
upon the machine configurations (such as series, parallel and mixed machine configu-
ration). Increment of conversion (I) value of series machine configuration and parallel
machine configuration are 100 and 50% (i.e. if want to introduce a new product,
the entire production line must be changed or stopped in case of series configura-
tion). Finally, we can conclude that machine configuration is also a sub-factor of
convertibility parameter.
Diagnosability (D)
Since convertibility and modularity are employed in RMS, frequently modification
of different modular components (both basic and auxiliary) is made in the machine
tool. Therefore, monitoring and diagnosis are very important characteristics of RMS
to identify the root cause of the system and machine tool. Diagnosability is the ability
to automatically read the source of quality and reliability problem [43]. This factor
plays a vital role in the implementations of RMS at design stage.
3 An Overview of the BWM Approach
BWM is a multi-functional decision approach (MFDA) to find out the weights and
ranking of criteria with the help of two vectors of pair-wise comparison. Jafer Rezaei
was the first researcher who had developed this approach in 2015. In this approach,
firstly, the best and worst factors are analysed with the help of experts from different
industries and academia. Then, the best criteria are analysed to the other criteria and
other criteria are compared to the worst criteria. Finally, a nonlinear minimax model
is used to calculate the weights and ranking of different cafeteria. This approach has
been successfully implemented in various fields of engineering (i.e. supply chain
260 A. Singh et al.
management) [34, 35]. The advantages of BWM approach are described as follows
[47]:
• High reliability
• High accuracy and less amount of data needed,
• Promising supporting philosophy,
• No complexity in mathematical equation.
The steps which is involved in the BWM methodology are as follows [33, 37]
Step 1—Identify all set of decision factors. In this step, we consider all the criteria
{A1 , A2 , …, An } that should be implemented to find out the decision. In case to design
RMS, the decision criteria can be modularity (M), integrability (I), flexibility (F),
scalability (F), convertibility (C) and diagnosability (D).
Step 2—Identify the best (i.e. most desirable, most important) and the worst (e.g.
less desirable, less important) criteria. In this step, decision-makers or experts from
different industries and academia identify the best and the worst criteria in general.
No comparison is made at this stage. In this step of our research, we developed a
structured questionnaire using the BWM to analyse the relative importance of the
factors shortlisted in the first stage. We conducted eight semi-structured interviews
using the questionnaire mentioned above. We interviewed both researchers and prac-
titioners who could be considered objective outsiders; in other words, they did not
favour one manufacturing system. This decreased the chances that they would have a
bias for one manufacturing system. We also made sure that the experts had compre-
hensive knowledge of the topic. The characteristics of the interviewees are shown in
Table 2.
We examine the mathematical data which is obtained from the questionnaire
through the BWM technique. The outcomes of this multi-decision technique, i.e.
BWM calculations are the optimal weights of the different factors and sub-factors
based on the examination of the experts. For example, for expert 1, modularity (M)
and diagnosability (D) may be the best and worst criteria, respectively. For expert 2,
scalability (S) and diagnosability (D) may be the best and worst criteria, respectively.
For expert 3, scalability (S) and diagnosability (D) may be the best and worst criteria,
respectively, and so on.
Step 3—Find out the relative importance of the significant criteria over all the
best criteria using a numerical value between 1 and 9. The resulting best-to-other
vector would be:
A B = (a B1 , a B2 , . . . , a Bn ) (2)
where abj represents the relative importance of the best criteria B over criteria j. It
is clear that aBB = 1. For our case study, the vector indicates the preference of best
criteria over all the other criteria as shown in Table 3.
Step 4—Find out the preference of all the criteria over the worst criteria using a
numerical value between 1 and 9. The resulting other-to-other vector would be:
AW = (a1W , a2W , …, anW ), where aJW represents the importance of the j over
the less significant criteria W. It is clear that aWW = 1. For our case study, the vector
Table 2 Characteristics of interviewees

Expert Background Function Expertise
Expert 1 Industry Manufacturing and training Steel manufacturing,
automation and
standardization of
manufacturing system
Expert 2 Industry Engineering design and Management of national
project management and international mega
project in the field of
fertilizers manufacturing
Expert 3 Industry Manufacturing inspection Automation of
and quality control manufacturing processes
and third-party inspection
and NDT supply chain
Expert 4 Academia and industry Engineering sector Quality assurance, design,
consultant and academician engineering and
academician
Expert 5 Industry Vice president of board of Process automation and
Rolta India Limited plant design expert
Expert 6 Industry Manufacturing sector Latest trends in retail
consultant and researcher business including block
chain
Expert 7 Industry Consultant, manufacturing Process automation and
plant design machine tool
Expert 8 Industry HR Manager in A.B.P, J.P, Recruitment and skill
Morgan (USA) mapping, human resource
Table 3 Relative values for best criteria through eight expert opinions
Expert No. Best to other M I F S C D
Best criteria
Expert 1 M 1 4 5 2 4 8
Expert 2 S 2 4 3 1 2 7
Expert 3 S 3 5 3 1 2 8
Expert 4 S 2 8 3 1 2 4
Expert 5 M 1 4 5 3 2 7
Expert 6 M 1 4 7 3 5 5
Expert 7 F 8 5 1 7 2 5
Expert 8 C 3 4 7 2 1 4
262 A. Singh et al.
Table 4 Relative values for worst criteria through eight expert opinions
Other to Worst criteria
worst Expert 1 Expert 2 Expert 3 Expert 4 Expert 5 Expert 6 Expert 7 Expert 8
D D D I D F M F
M 7 5 6 7 8 8 1 4
I 4 2 2 1 5 4 3 3
F 2 4 6 4 3 1 7 1
S 6 8 7 7 5 6 2 6
C 4 6 5 6 7 2 6 7
D 1 1 1 2 1 2 2 3
represents the relative importance of all the other criteria over less significant criteria
as shown in Table 4.
Step 5—Find out the global weights (W 1 *, W 2*, …, W n *) of different factors and
sub-factors. In BWM, generally two different models are used. The former of which
[33] could lead to multiple optimal solutions, while the latter [37] aims at finding
unique weights. This linear model is used in this study to determine unique weights.
The set of optimal weights for the linear
model is the one
where themaximum
abso-
lute difference for the following set w B − a B j w j , w j − a jw ww is minimized.
The total summation of all the weights of different factors should be equal to one and
negative weights cannot be taken into consideration, leading to model (3) to analyse
the best results.

wB wi
min max
− a B j , − a jw
j wj ww
s.t.

wj = 1
j
w j ≥ 0 for all j (3)
Problem (3) can be transformed to the following problem:
minξ l
s.t

wB

w − a B j ≤ ξ, forall j
J

wj
− a
jw ≤ ξ, forall j
w
w

wj = 1
j
w j ≥ 0 For all j (4)
Solving Eq. (4), the local and global weights (W 1 *, W 2*, …, W n *) and consistency
ratio (6) are calculated. Consistency ratio is a direct indicator value which shows the
relative consistency of the comparisons of different factors that are made in this
method. The calculated value for consistency ratio also represents the reliability
of the outcomes based on the consistency of the comparisons. If consistency ratio
value is close to zero, it means the reliability is very high. Complete consistency is
calculated by using this following relationship:
when aBj × ajW = aBW for all j (Tables 5 and 6).
Table 5 Relative weights and consistency ratio (6) of different RMS core factors
Expert No. Relative weight Consistency ratio
M I F S C D
Expert 1 0.3953 0.1162 0.0930 0.2325 0.1162 0.0465 0.049
Expert 2 0.1955 0.0977 0.1303 0.3396 0.1955 0.0411 0.045
Expert 3 0.14740 0.0884 0.1474 0.3568 0.2211 0.0387 0.038
Expert 4 0.1990 0.0379 0.1327 0.3317 0.1990 0.0995 0.036
Expert 5 0.1990 0.0379 0.1327 0.3317 0.1990 0.0995 0.046
Expert 6 0.2970 0.1331 0.0467 0.1774 0.1064 0.1064 0.027
Expert 7 0.0521 0.0991 0.4302 0.0708 0.2479 0.0991 0.046
Expert 8 0.1444 0.1083 0.0456 0.2167 0.3764 0.1083 0.045
Table 6 Avg. weights and

RMS indicators Avg. weight of RMS indicators Relative rank
ranking of RMS core factors
M 0.2037 3
I 0.0899 5
F 0.1448 4
S 0.2571 1
C 0.2076 2
D 0.0798 6
264 A. Singh et al.
4 Results
The secondary data analysis and the expert interviews are presented in six main
factors (i.e. modularity, integrability, flexibility, scalability, convertibility and diag-
nosbility) consisting 28 relevant sub-factors. For the case of RMS, we can discrim-
inate factors of modularity (consisting of machine mobility, anchoring of machine
foundation frame, provision of modular cranes, re-orientation of assembly line),
factors of integrability (consisting of reconfiguration time, ramp-up time/set over
or change over time, integration of machine hardware and software component,
modules and part modules, modular fixtures), factors of flexibility (i.e. machine,
routing, volume, material handling, sequence and operation flexibility), factors of
scalability (consisting of line balancing for each production, workstation with multi-
spindle heads, increase the degree of freedom of machine tool, extended floor space),
factors of convertibility (consisting of changes in basic module of machine, changes
in auxiliary modules of machine, change in machine configuration (series, parallel
and mixed configuration), change in material handling system) and factor of diagnos-
ability (consisting of correct machine position, inspection system(sensor network)
in production line, reconfigurable inspection machine, reliability and availability of
machine).
Local and global weights of principal factors and sub-factors of RMS

Table 7 shows the local and global weights of the principal factors and sub-factors.
The principal factors and their weights are placed in the first and second columns.
The sub-factors and their local weights are placed in the third and fourth columns.
The global weights of different factors are placed in the last fifth column.
Interpreting main factors weights and global weights

On the basis of weights of core factors, scalability factor got first rank (highest
weight, i.e. 0.2571) and diagnosability got sixth rank (lowest weight, i.e. 0.0798).
It shows that the scalability (S) is the significant factor while the diagnosability
(D) is one of the insignificant ones on the basis of their weights. Thus, different
weight results also based upon the relative significance of different core attributes of
reconfigurable manufacturing system. Principal factors such as scalability strongly
depend upon workstation with multiple spindle and the line balancing in production
line. Similarly, the main sub-factors of convertibility are change in basic module and
change in auxiliary module. Further looking at the modularity characteristic of RMS,
we find that availability of material handling equipment is the most important sub-
factor of modularity. The next important sub-factors are modules and parts modules
in integrability factor.
Table 7 Local and global weights of principal factors and sub-factors of RMS
RMS principal factors Weight Sub-factors of RMS Local weights Global weight
Manufacturing system 0.2037 Mobility of the entire 0.1568 0.03194016
modularity (M) machine (M1)
Anchoring of machine 0.0712 0.01450344
foundation (M2)
Provision of EOT cranes 0.2242 0.04566954
(M3)
Re-orientation of 0.1923 0.03917151
assembly line (M4)
Availability of modular 0.3497 0.07123389
matl. handling equipment
(M5)
Integrability (I) 0.0899 Reconfiguration time (I1) 0.1388 0.01247812
Ramp-up time/set over or 0.0944 0.00848656
change over time (I2)
Integration of machine 0.2218 0.01993982
hardware and software
component (I3)
Modules and part modules 0.2088 0.01877112
(I4)
Modular fixtures (I5) 0.2894 0.02601706
Flexibility (F) 0.1448 Machine flexibility (F1) 0.261 0.0377928
Routing flexibility (F2) 0.298 0.0431504
Volume flexibility (F3) 0.068 0.0098464
Material handling 0.138 0.0199824
flexibility (F4)
Sequence flexibility (F5) 0.157 0.0227336
Operation flexibility (F6) 0.078 0.0112944
Scalability (S) 0.2571 Line balancing for each 0.3042 0.07820982
production (S1)
Workstation with 0.2846 0.07317066
multi-spindle heads (S2)
Increase the degree of 0.2273 0.05843883
freedom of machine tool
(S3)
Extended floor space (S4) 0.1834 0.04715214
Convertibility (C) 0.2076 Changes in basic module 0.331 0.0687156
of machine (like machine
base, column, sideways,
etc.) (C1)
Changes in auxiliary 0.372 0.0772272
modules of machine (C2)
(continued)
266 A. Singh et al.
Table 7 (continued)
RMS principal factors Weight Sub-factors of RMS Local weights Global weight
Change in machine 0.136 0.0282336
configuration (series,
parallel and mixed
configuration) (C3)
Change in material 0.16 0.033216
handling system (like
conveyer, rail, crossover
mechanism) (C4)
Diagnosability (D) 0.0798 Correct machine position 0.2798 0.02232804
(D1)
Inspection system (sensor 0.1796 0.01433208
network) in production
line (D2)
Reconfigurable inspection 0.2271 0.01812258
machine (D3)
Reliability and availability 0.3124 0.02492952
of machine (D4)
Note The global weight of a different factor and sub-factors is attained by multiplying the local
weight of that factor by the weight of its corresponding category value. For example, the global
weight of mobility of the entire machine is calculated as follows: Global weight of manufacturing
system modularity sub-factors, i.e. mobility of the entire machine (M1) = local weight of mobility
of the entire machine * weight of category characteristics of modularity or: 0.03194016 =
0.1568*0.2037
5 Sensitivity Analysis
Sensitivity analysis has been done to ensure that the obtained outcomes do not show
any unfairness and additionally to purge the reaction of the highest weight indicator
on other indicators in the present research work. A methodology available in the
literature [24, 32] to carry out sensitivity analysis has been used in the present research
where weights of all indicators have been varied in proportion to the weight of
the highest ranked indicator. In the present study, since the top ranked indicator is
scalability (S) as its weight is maximum, i.e. 0.257 and therefore, its weight has
been wide-ranging from 0.1 to 0.9 and the weights of all other indicators have been
calculated which are presented in Table 8. Due to fluctuation in the weights of the
principal indicators, the weights as well as the ranking of the sub-indicators also
change. The changes in the global weights and global rankings of the sub-indicators
are shown in Tables 9 and 10, respectively. It is evident from Table 10 that when the
weight of the principal indicator “scalability (S)” is wide-ranging from 0.1 to 0.2
then the sub-indicator “changes in auxiliary modules of machine (C2)” occupies rank
1. But beyond 0.2 up to 0.9, the rank of the sub-indicator “line balancing for each
production (S1)” is 1. Table 10 also reveals that for all the weights’ variation from
Table 8 Weights of the main indicators during sensitivity analysis

Main Normal Modified weights of all indicators when the weight of “scalability (S)”
indicators (0.257) is varied from 0.1 to 0.9
S 0.257 0.100 0.200 0.300 0.400 0.500 0.600 0.700 0.800 0.900
C 0.208 0.252 0.224 0.196 0.168 0.140 0.112 0.084 0.056 0.028
M 0.204 0.247 0.219 0.192 0.165 0.137 0.110 0.082 0.055 0.027
F 0.145 0.175 0.156 0.136 0.117 0.097 0.078 0.058 0.039 0.019
I 0.090 0.109 0.097 0.085 0.073 0.061 0.048 0.036 0.024 0.012
D 0.080 0.097 0.086 0.075 0.064 0.054 0.043 0.032 0.021 0.011
Total 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000
0.1 to 0.9, sub-indicator “ramp-up time/set over or change over time (I2)” occupies
the last rank, i.e. 28.
The global weights and global ranking of the various sub-indicators of the recon-
figurable manufacturing systems derived from the sensitivity analysis are also shown
in Figs. 3 and 4, respectively.
From the sensitivity analysis, it is evident that out of six main indicators of the
reconfigurable manufacturing systems, the “scalability (S)” and the “diagnosability
(D)” are the most and the least important indicators, respectively. Similarly, among
the sub-indicators, “line balancing for each production (S1)” and “ramp-up time/set
over or changes over time (I2)” are the most and the least dominating sub-indicators
of the reconfigurable manufacturing systems, respectively.
6 Conclusion and Future Scope
This paper provides an overview of best–worst method approach to find out the global
weights and ranking of RMS factors. From the global weights and ranking values,
we see that global weights depend on the relative importance of different factors or
sub-factors of RMS. Through this research work, it has been analysed that factors like
scalability, convertibility and sub-factors such as line balancing for each production
line, changes in auxiliary modules of machine are very significant and played a crucial
character for incorporating and designing of RMS in manufacturing industries. All
the factors and sub factors having higher weights in BWM approach should be
considered while designing RMS. Most importantly, the global weights can help the
designer and engineer to choose the best and worst criteria while implementing the
RMS at design stage. There is immense possibility to further explore this work in
the future. By incorporating some more factors in the RMS, a more precise value of
weights can be recorded.
Table 9 Global weights of the different sub-indicators by using sensitivity analysis method when the weight of “scalability (S)” is wide-ranging from 0.1 to 0.9
268
Sub-indicators Normal (0.257) Run0.1 Run0.2 Run0.3 Run0.4 Run0.5 Run0.6 Run0.7 Run0.8 Run0.9
M1 0.032 0.039 0.034 0.030 0.026 0.021 0.017 0.013 0.009 0.004
M2 0.015 0.018 0.016 0.014 0.012 0.010 0.008 0.006 0.004 0.002
M3 0.046 0.055 0.049 0.043 0.037 0.031 0.025 0.018 0.012 0.006
M4 0.039 0.047 0.042 0.037 0.032 0.026 0.021 0.016 0.011 0.005
M5 0.071 0.086 0.077 0.067 0.058 0.048 0.038 0.029 0.019 0.010
I1 0.012 0.015 0.013 0.012 0.010 0.008 0.007 0.005 0.003 0.002
I2 0.008 0.010 0.009 0.008 0.007 0.006 0.005 0.003 0.002 0.001
I3 0.020 0.024 0.021 0.019 0.016 0.013 0.011 0.008 0.005 0.003
I4 0.019 0.023 0.020 0.018 0.015 0.013 0.010 0.008 0.005 0.003
I5 0.026 0.032 0.028 0.025 0.021 0.018 0.014 0.011 0.007 0.004
F1 0.038 0.046 0.041 0.036 0.031 0.025 0.020 0.015 0.010 0.005
F2 0.043 0.052 0.046 0.041 0.035 0.029 0.023 0.017 0.012 0.006
F3 0.010 0.012 0.011 0.009 0.008 0.007 0.005 0.004 0.003 0.001
F4 0.020 0.024 0.022 0.019 0.016 0.013 0.011 0.008 0.005 0.003
F5 0.023 0.028 0.024 0.021 0.018 0.015 0.012 0.009 0.006 0.003
F6 0.011 0.014 0.012 0.011 0.009 0.008 0.006 0.005 0.003 0.002
S1 0.078 0.030 0.061 0.091 0.122 0.152 0.183 0.213 0.243 0.274
S2 0.073 0.028 0.057 0.085 0.114 0.142 0.171 0.199 0.228 0.256
S3 0.058 0.023 0.045 0.068 0.091 0.114 0.136 0.159 0.182 0.205
S4 0.047 0.018 0.037 0.055 0.073 0.092 0.110 0.128 0.147 0.165
C1 0.069 0.083 0.074 0.065 0.055 0.046 0.037 0.028 0.018 0.009
(continued)
A. Singh et al.
Table 9 (continued)
C2 0.077 0.094 0.083 0.073 0.062 0.052 0.042 0.031 0.021 0.010
C3 0.028 0.034 0.030 0.027 0.023 0.019 0.015 0.011 0.008 0.004
C4 0.033 0.040 0.036 0.031 0.027 0.022 0.018 0.013 0.009 0.004
D1 0.022 0.027 0.024 0.021 0.018 0.015 0.012 0.009 0.006 0.003
D2 0.014 0.017 0.015 0.014 0.012 0.010 0.008 0.006 0.004 0.002
D3 0.018 0.022 0.020 0.017 0.015 0.012 0.010 0.007 0.005 0.002
D4 0.025 0.030 0.027 0.023 0.020 0.017 0.013 0.010 0.007 0.003
Total 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000
Measuring the Relative Importance of Reconfigurable …
269
Table 10 Global ranking of the different sub-indicators by using sensitivity analysis method when the weight of “scalability (S)” is wide-ranging from 0.1 to
270
0.9
M1 13 9 13 13 13 13 13 13 13 13
M2 23 23 23 23 23 23 23 23 23 23
M3 8 4 6 8 8 8 8 8 8 8
M4 10 6 9 10 10 10 10 10 10 10
M5 4 2 2 5 6 6 6 6 6 6
I1 25 25 25 25 25 25 25 25 25 25
I2 28 28 28 28 28 28 28 28 28 28
I3 20 18 20 20 20 20 20 20 20 20
I4 21 19 21 21 21 21 21 21 21 21
I5 15 11 15 15 15 15 15 15 15 15
F1 11 7 10 11 11 11 11 11 11 11
F2 9 5 7 9 9 9 9 9 9 9
F3 27 27 27 27 27 27 27 27 27 27
F4 19 17 19 19 19 19 19 19 19 19
F5 17 15 17 17 17 17 17 17 17 17
F6 26 26 26 26 26 26 26 26 26 26
S1 1 12 4 1 1 1 1 1 1 1
S2 3 14 5 2 2 2 2 2 2 2
S3 6 20 8 4 3 3 3 3 3 3
S4 7 22 11 7 4 4 4 4 4 4
C1 5 3 3 6 7 7 7 7 7 7
(continued)
A. Singh et al.
Table 10 (continued)
C2 2 1 1 3 5 5 5 5 5 5
C3 14 10 14 14 14 14 14 14 14 14
C4 12 8 12 12 12 12 12 12 12 12
D1 18 16 18 18 18 18 18 18 18 18
D2 24 24 24 24 24 24 24 24 24 24
D3 22 21 22 22 22 22 22 22 22 22
D4 16 13 16 16 16 16 16 16 16 16
Measuring the Relative Importance of Reconfigurable …
271
272 A. Singh et al.
Global Weights From SensiƟvity Analysis

0.3
0.25
Normal (0.257)
Global Weight
Run0.1
0.2
Run0.2
Run0.3
0.15
Run0.4
Run0.5
0.1
Run0.6
0.05 Run0.7
Run0.8
0 Run0.9
I1
I3
I5
F2
F4
F6
S2
S4
M2
M4
C2
C4
D2
D4
Sub Indicators
Fig. 3 Global weights of sub-indicators by fluctuating principal indicator weights
Global Ranking From sensiƟvity Analysis

30
Normal (0.257)
25 Run0.1
Global Ranking
20 Run0.2
Run0.3
15
Run0.4
10 Run0.5
5 Run0.6
Run0.7
0
Run0.8
F2
I1
F4
F6
I3
I5
S2
S4
M2
M4
C2
C4
D2
D4
Sub Indicators Run0.9
Fig. 4 Global ranking of sub-indicators by fluctuating principal indicator weights

Compliance with Ethical Standards We are the authors of the chapter. Thereby, fulfil all the
ethics and compliance for them. The authors declare that they have no conflict of interest.
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E-Commerce Delivery Routing System
Using Bellman–Held–Karp Algorithm
Sugandh Agarwal, Naman Jain, Tanupriya Choudhury,

Utkarsh Vikram Singh, and Ravi Tomar
Abstract E-commerce organizations have a separate department to handle logis-

tics for timely delivery of products ordered by their customers. Each delivery has a
separate customization and delivery address. The process, after the order has been
accepted and is to be dispatched, begins with collection of goods from the warehouse
and concludes with the doorstep delivery via optimized path calculation, factoring in
the essential components like fuel economy, load and quantity. Hence, this automa-
tion leads to profitability, and reduction in cost of resources being used. An accurate
way to calculate this path is the Bellman–Held–Karp algorithm for the travelling
salesman problem by W.R. Hamilton.
Keywords Algorithms · Travelling salesman · Optimization
1 Introduction
Organizations like Amazon are known to deliver their products maintaining both
efficiency and quality of service. It is because of the logistical support they establish
to cover their regions allowing them B2C e-commerce with ease.
It is easy to understand that reduced costing with improved quality is one of the
main aims of each organization. Since delivery includes manpower, resources like
S. Agarwal (B) · N. Jain · T. Choudhury · U. V. Singh · R. Tomar

University of Petroleum and Energy Studies, Dehradun, India
e-mail: sugandh1697@gmail.com
N. Jain
e-mail: namanjain363@gmail.com
T. Choudhury
e-mail: tanupriya@ddn.upes.ac.in
U. V. Singh
e-mail: utkarsh.vikram@gmail.com
R. Tomar
e-mail: ravitomar7@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_25
278 S. Agarwal et al.
Table 1 Trends of e-commerce in logistics and supply chains

Trend Description
Cloud computing SaaS, PaaS, IaaS, SCaaS
Mobile applications Continued development in mobiles, tablets,
handheld devices
Personalization for customer engagement Customer engagement with the use of data
collected by them
Big data Collection of data from web and e-commerce
communities allowing for further analytics
Social networks Fitting marketing channels along customer path to
purchase: awareness, consideration, intent and
decision
fuel and transport maintenance, a major part of funds goes to logistics. With ever-
improving competition to be the best supplier of goods, effective systems become a
need of the hour to facilitate this venture (Table 1).
The issue of travelling salesman is a classic algorithmic problem, which is strongly
linked to the problem of the Hamiltonian cycle, where a salesman has to visit n towns.
Modelling the issue as a complete graph with n vertices, we can tell the seller wants
to go on a trip, visiting each town precisely once and ending in the town from which
he begins. A non-negative integer is incited by the seller with cost c(A,B) to travel
from city A to B, and he wishes for this cost to be minimum, where the total cost is
the sum of the individual costs along edges of the tour [1].
Modifying the problem to sectors in a city and cost as resource expenditure, the
staff for logistics shall have an optimized path with economical expenses. Given the
functionalities of programming language C, a possible implementation is with the
defined complexity of O (n2 *2n ) (Table 2).
The usage of C and Python allows to provide a minimal program to showcase the
capability of the algorithm in comparison to other algorithms available like Johnson–
Trotter algorithm and Christofides’ algorithm.
Table 2 Solution procedures

Types Solution procedure
Exact methods Integer linear programming,
dynamic programming
Approximation methods Improvements starting from
TSP-tour
Heuristic methods Simple heuristics, genetic
algorithms, simulated annealing
E-Commerce Delivery Routing System … 279
2 Literature Review
The true roots of travelling salesman problem are unsure, but the first instance of such
an issue appeared in the 1832 German Handbook Der Handlungsreisende-Von einem
aten Commis-Volageur for salesman travelling through Germany and Switzerland,
as described in [2]. This handbook was just a guide as there was no mathematical
language in it. People began to realize that the time one could save from creating
optimal paths should not be overlooked, and thus there is an advantage to figure out
how such optimal paths can be created. Hamilton’s Icosian Game was a recreational
puzzle based on finding a Hamiltonian cycle in the dodecahedron graph [3].
The travelling salesman problem was first studied in the 1930s in Vienna and
Harvard as explained in [2]. Richard M. Karp showed in 1972 that the Hamilto-
nian cycle problem was NP-complete, which implies the NP-hardness of TSP. This
supplied a mathematical explanation for the apparent computational difficulty of
finding optimal tours [3]. Cormen et al. [1] explain the mathematical computation
with justification on TSP and the algorithms identified for its implementation.
Modern logistics have become the most significant means of improving material
flow effectiveness, reducing distribution expenses in multiple sectors; at the same
moment, the latest growth of e-commerce has also led to logistics industry growth,
promoting the growth of logistics-related techniques. References [4, 5] explain the
importance, challenges, working and the general implementation of the logistics and
supply chain management.
References [6, 7] explain the multi-vehicle distribution in a routing system, their
mathematical explanation, and how they could be implemented with the highest level
of optimization with the organization.
Reference [8] provides an insight to generic and nearest neighbour algorithm and
the explanation to its usage.
3 Methodology
The E-Commerce Delivery Routing System acts as a central point of obtaining the
optimal path of delivery based on the entries being submitted to it. As the orders
include the address of the person, they could directly be fed to the system for the
directions.
The data we feed includes two data sets:
1. Item catalogue
2. Customer details.
The item catalogue provides the list of items available to the customer for order.
The customer details provide the important information for the delivery to be made.
The stated algorithm belongs to dynamic programming in TSP, the most optimized
algorithm to be implemented for solving it (Table 3):
Table 3 Key points

Parameter Description
Approach Dynamic programming
Complexity (time) O (n2 *2n )
Complexity (space) O (n*2n )
Process the arrangements of all sub problems beginning with the smallest. At whatever
point figuring an answer requires answers for smaller issues utilizing the above recursive
conditions, look into these arrangements which are now processed. To process a minimum
distance route, utilize the last condition to produce the first hub, and repeat for different hubs.
For this issue, we can’t know which sub problems to solve first, so we solve all.
While Bellman–Held–Karp algorithm provides us optimal solution on the travel-

ling salesman problem, algorithms that may act as a counter to it, but cannot provide
the optimality as good as its own are:
1. Johnson and Trotter algorithm
2. Nearest neighbour (NN) algorithm.
Johnson and Trotter algorithm is a direct approach of permutations of numbers to
solve the problem:
Find the biggest mobile integer in a specific grouping. A directed integer is said to be mobile
if it is greater than its immediate neighbour in the direction it is looking at. Switch this mobile
integer and the neighbouring number to which its course focuses. Switch the direction of
all the arrows whose value is greater than the mobile integer value. Repeat from start until
except if there is no mobile integer left in the sequence.
The nearest neighbour algorithm is an estimated algorithm to discover a solution

that is partially optimal for the TSP. It begins with a town as a starting town in this
algorithm and visits all the towns constantly till all the towns have been precisely
visited once. It discovers the shortest path, but it is not the ideal answer.
Call it present vertex V, start with any random vertex. Find an edge that provides the present
vertex a minimum distance from a vertex not visited, call it V. Let the present vertex to not
visited vertex V and label the vertex V as visited. If all vertices are visited at least once,
finish the condition. Repeat when you find V.
4 Modules
MODULE 1: Creation of data file in C

Item
Name
Data
File
Quanty Price
• A data file simulates the items available for purchase using file handling
• The file consists of the items, their quantity and price
• The file could be manipulated as per the requirements by the programmer.
MODULE 2: User entry (inputs by the user)

• The module aims at a simulation of items being ordered by a user on an e-
commerce platform
• Items being ordered by the user shall be fetched from the data file created in
MODULE 1
• The number of users could be n, where n is any natural number
• Each order shall be stored in a file for use in other corresponding modules along
with the address
MODULE 3: Edit product record

• The module focuses on editing the database of available items
• The functionalities accessible to the user are:
– Append
– Read
– Edit
– Delete
MODULE 4: Computation of optimal route (minimum cost)

Fig. 1 Control flow
• Inputs from node table will create the minimum route

• The path shall be displayed for the use of delivery staff which could further be
shared to the delivery personnel.
The minimum system specifications for the routing system are MS-DOS 2.0 (oper-
ating system), C (programming language), GCC (compiler), Pentium IV (processor),
floppy or hard disk drive (disk drive), 512 MB (RAM) (Fig. 1).
5 Outputs
See Figs. 2, 3, 4 and 5.
6 Conclusion
The key points of analysis of Bellman–Held–Karp algorithm are as follows:

• It is the most optimal algorithm to solve the TSP dynamically
• While the time taken is minimum for nearest neighbour, the optimal solution is
provided by Bellman–Held–Karp algorithm.
Comparative study highlighted the following key point (Table 4):
Fig. 2 Creation of database

of items
Fig. 3 Details of items

available
Esmated me of execuon
0.0004 0.000362
0.0003
0.0002
0.00009 0.0000715
0.0001
0
Bellman-Held-Karp Johnson and Troer Nearest Neighbour
Fig. 4 Addition of records

of delivery
Fig. 5 Cost matrix and

calculation of optimized
route
Table 4 Comparison table

Parameter/algorithm Bellman–Held–Karp Johnson and Trotter Nearest neighbour
algorithm
Time O (n2 *2n ) O (n!) O (log n)
Estimated time of 0.000090 0.000362 0.0000715
execution (for a data set
of 100 entries) (s)
7 Scope
The project could be updated for the additions of address indexing and latitude-
and longitude-based addressing system for the users using web-based solutions.
The problem could also be implemented for multiple vehicle routing, along with its
allocation and implementation. The project has successfully implemented travelling
salesman problem using Bellman–Held–Karp algorithm.
References
1. Cormen TH, Leiserson CE, Rivest RR, Stein C, Introduction to algorithms, 3rd edn. The MIT
Press, Cambridge, MA, London, England
2. Cook WJ (2012) In pursuit of the traveling salesman: mathematics at the limit of computation.
Princeton UP, Princeton, NJ [Print]
3. Brucato C (2013) The travelling salesman problem, pp 10–14
4. Yu Y, Wang X, Zhong RY, Huang GQ (2016) E-commerce logistics in supply chain management:
practice perspective, pp 179–185
5. Kayikci Y (2018) E-commerce in logistics and supply chain management, p 5370
6. Wang Q (2016) Improving TSP problem allowing multiple vehicle distribution
7. Assaf M, Ndiaye M (2017) Multi travelling salesman problem foundation, pp 292–295
8. Arora K, Agarwal S, Tanwar R (2016) Solving TSP using genetic algorithm and nearest
neighbour algorithm and their comparison. Int J Sci Eng Res 7(1):1014–1018
GAPER: Gender, Age, Pose and Emotion
Recognition Using Deep Neural Networks
Deepali Virmani, Tanu Sharma, and Muskan Garg
Abstract Facial emotion recognition is identifying human emotion from facial

expressions. As the concept is gaining wide popularity with time, researchers are
trying to expand the horizon by providing efficient techniques to extract more knowl-
edge from facial features. Hence, this paper presents a multiple face detection system,
which is capable of analyzing human facial features for predicting human emotion,
pose, gender and age. To the best of our knowledge, no single paper presents a system
capable of detecting all these features together in a single frame. Haar cascades and
deep convolutional neural networks form the backbone of the entire work. A support
of a Web application using flask is also provided, which will enable one to imple-
ment the work on another computer, in the same network, via a Web browser. The
experimental results of the system provide an accuracy of 68.33%.
Keywords Face recognition · Facial emotion analysis · Deep learning ·

Convolutional neural network · Multitask learning
1 Introduction
Today, when the world is shifting towards human–computer adaptive systems, it

has become a necessity for the researchers to develop systems which are smart
enough to recognize human emotions and respond accordingly. Sometimes what
people say does not matter but how they say it makes a huge difference in the world
[1]. Machine-estimation has surpassed the human level and is achieving outstanding
D. Virmani · T. Sharma · M. Garg (B)

Department of Computer Science, Bhagwan Parshuram Institute of Technology, PSP-4, Dr. K.N.
Katju Marg, Sector 17 Rohini, New Delhi 110089, India
e-mail: nehasrnps@gmail.com
D. Virmani
e-mail: deepalivirmani@gmail.com
T. Sharma
e-mail: tanusharma1217@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_26
288 D. Virmani et al.
results, making it possible for the developers to build machines which can repli-
cate human intelligence completely and are capable of estimating our needs and
characteristics.
Furthermore, a man’s face is the most exposed part of the human body and
much of the information related to him can be extracted by his facial features.
Facial analysis has recently emerged as an important domain of study because of its
numerous possible applications. Emotion detection from facial expressions, voice,
texts, gestures and physiological signals is a favoured subject of research these days.
In addition, correct gender and age perception are also an important task for any
kind of social interaction. Therefore, machines are required to be well trained for
working according to the customer’s need [2].
Based on the intuitions above, this paper presents a system to simultaneously
estimate human emotion, age, gender and facial landmarks (pose) in a unified frame-
work. The system supports multiple face detection, which means multiple faces can
be analyzed in a single frame. A support of a Web application using flask is also
provided so one would be able to view the video capture remotely (via webcam) on a
Web browser. The work is implemented using Python and OpenCV. It is trained for
five basic emotions: happy, sad, angry, fear and neutral because these emotions are
quite distinctive and vary negligibly with factors like age, gender, cultural background
and socialization history.
As emotion analysis has numerous applications that can make our lives secure
and comfortable, the algorithms chosen to develop these systems should be up to the
mark. The presented work uses haar cascades and deep neural networks to achieve
the desired goal.
The organization of this document is as follows. In Sect. 2 (Related Work), the
reviews of related work are discussed. In Sect. 3 (System Overview), proposed work
is explained. In Sect. 4 (Methodology), the methodology undertaken for developing
the system has been discussed. Section 5 (Implementation) discusses the experi-
mental results of the working system. In Sect. 6 (Conclusion), the paper is concluded
with possible improvements and future scope.
2 Related Work
Many approaches have been presented for facial image analysis such as geometric
approach, elastic matching and neural networks [3]. Also, Terzopoulos and Waters
[4] presented an approach in early years for facial analysis using a hierarchical
model that incorporates a set of anatomically motivated facial muscle actuators and
a physics-based synthetic facial tissue.
Emotion recognition means identifying human emotions either from facial
features, voice, text or physiological signals. Facial expressions enable children to
share and adapt emotions with their relatives and peers during social interactions and
help them to express themselves to others [5]. Heather et al. [6] were among the first
to discover that discrete emotions elicit changes in judgement, cognition, experience,
GAPER: Gender, Age, Pose … 289
behaviour and physiology and also concluded that emotions vary with age, gender,
cultural background and socialization history. Not only this, emotions are responsible
for modulating almost all methods of human communication: gesture, posture, tone
of voice, etc. [7]. Moreover, emotions play an important role in teaching/learning
process [8]. Correct gender perception is an important task for any social interaction
[9]. Kwon and Vitoria Lobo [10] were among the first researchers to work on age
prediction. They classified age in three categories: babies, young adults and senior
adults. Researchers [11] have cited in their work that the wrinkle geography anal-
ysis is the best method to estimate human age range. Dr. Hlaing [12] combined
the geometric feature-based method and principal component analysis method for
proposing a gender and age prediction system. The efficiency of an individual task
can be increased by developing systems where correlated tasks are simultaneously
learnt [13]. End-to-end systems are more time and memory efficient as all the tasks
are solved in the same process using a single CNN [14]. Parallel multitask learning
and deeply supervised learning are the two most used MTL architectures in facial
analysis. Also, an end-to-end system was proposed using CNN which was capable
of estimating facial attributes including emotion, age and gender with low error rates
[15]. Neural networks are an emerging competitive technique with many possibilities
[16].
3 System Overview
The problem statement is to develop a robust and automated face detection system,
which can analyze the facial features to recognize age, gender, emotion and pose.
As deep neural networks is known for the need of large amount of training data,
the training data sets used are UTKFace and JAFFE data set. UTKFace data set is
a large-scale face data set which contains more than 20,000 face images. Here, this
data set has been used to train the model for face detection, gender recognition, age
and pose estimation. While JAFFE database has been used to train the model for
facial emotion recognition (Fig. 1).
Training a model forms the core layer of the entire work. If the system is under
trained (under-fit) or over trained (over-fit), it will not be able to make accurate
predictions on new data sets. That is why it is very important that the system is
trained with sufficient amount of data.
The pipeline of the training model is shown in Fig. 2.
Each image is preprocessed before feeding it into deep neural networks. The
steps involved in the process are face detection, facial landmark detection and face
alignment. After the face has been detected and stored in the database, it is passed
through the local binary pattern histogram (LBPH). Here, LBPH is used to generate
face embeddings on detected faces. Support vector machine (SVM) is used to classify
the identified faces using these embeddings. After that different models like Face
Pose estimator models (for face landmark detection), Face Age estimator models
(for age detection), Face Gender estimator models (for gender detection) and Face
Fig. 1 Sample images from data set
Fig. 2 System framework

Fig. 3 Complete system explained
Emotion estimator models (for emotion detection) are used to predict other required
characteristics of the human (Fig. 3).
The flask module is also imported to support Web application of this work. Flask
is the most popular Python Web application framework, and here, it is used to enable
one to do facial analysis via Web browser. This feature opens many more possibilities
in the domain of cyber security and monitoring.
4 Methodology
This section discusses the methodology employed during the development phase of
the system.
4.1 Haar-like Features
Haar cascade is a machine learning-based face detection algorithm that is used to

detect objects using the concept of features proposed by Paul Viola and Michael Jones
[17]. The features used by Viola and Jones are based on single wavelength square
waves called haar wavelets [18]. If represented in two dimensions, a square wave is
nothing but a pair of adjacent rectangles, one dark and the other is light. Haar-like
features are digital image features which were used in the first real-time face detector.
Here, a bunch of positive images with faces and a bunch of negative images without
faces are fed to the system to train the classifier. Then feature extraction from these
images is done. It is basically superimposing a positive image over a set of negative
images to detect the object from the source, for which it has been trained previously
[19].
The algorithm can be divided in four stages:
Haar Feature Selection

In a detection window, a haar feature considers the adjacent rectangular regions at a
specific location and sums up the pixel intensities in each region. At last it calculates
the differences between these sums. The problem here is that if all possible parameters
of haar features (position, scale and type) are considered, then the system will end up
calculating about 160,000+ features for a single window. For this reason, the goal is
to eliminate redundant or useless features and select those ones which will increase
the efficiency of the system. Hence, this crucial step is called haar feature selection.
Creating Integral Images
It is necessary to select features which are relevant to the study because this will make
the detection process more fast and accurate. Integral images reduce the computa-
tional time of an input image by calculating the sum of all the pixels inside any given
rectangle by using only its four corner values. Therefore, all the feature values are
not calculated, rather than some simple computations are performed on the collar
pixel values of the input image. One should remember that the value at pixel (x, y)
for an integral image is obtained by summing up the pixels above and to the left of
(x, y). Further, the final sum of the rectangle is calculated by subtracting the sum of
alternate pairs (Fig. 4).
AdaBoost Training
AdaBoost is a recently introduced concept, which not only selects best features
but also trains the classifiers. The algorithm forms a strong classifier by linearly
combining the weak classifiers. These classifiers are nothing but relevant features,
which at least perform better than random guessing and give binary values as an
output. These weak classifiers are trained from a discrete set of rectangular haar-like
wavelets at different positions, widths and heights.
Cascading Classifiers
Cascade classifier training requires a set of both positive and negative images. Positive
indicates that the object is found and negative indicates that the object is not found.
Fig. 4 Integral value for the rectangle
The primary concern is to discard non-faces and spend more time on probable face
regions to reduce the computation cost. Cascade classifier is composed of stages
where each stage contains a strong classifier. The goal of each stage is to determine
whether the given subwindow is a face or not.
Hence, every step in this algorithm has an important role to play for making the
face detection process efficient and reliable. The entire working of the haar cascade
algorithm is shown in Fig. 5.
Fig. 5 Haar cascades for face detection

4.2 Deep Neural Networks
Deep learning is part of a broader family of machine learning methods whose purpose
is to extract useful patterns from data. It allows computational models to learn repre-
sentations of data with multiple levels of abstraction and discovers intricate structures
in large data sets [20]. Deep learning is a powerful set of techniques, which enables
us to learn neural networks. Together, deep learning and neural networks provide
the best solutions to problems in image recognition, speech recognition and natural
language processing.
Neural networks [21] are nothing but set of algorithms, designed to recognize
patterns and trends that are too complex to be noticed by humans or other computer
techniques. They are basically inspired by the working of human biological nervous
system and are composed of highly interconnected processing elements, working in
parallel to solve specific problems. Neural networks learn from examples; hence,
the models need to be trained with huge amounts of data beforehand to make them
analyze a given problem efficiently in future and give accurate results.
In deep learning, convolutional neural networks (CNN/CovNet) [22] are a class
of deep neural networks and are mostly used in the field of computer vision. The
main goal is to make the processing part easier, without losing the critical features of
the images that are required for giving a good prediction. CNN perceives an image as
a three-dimensional object and assigns learnable weights to its various aspects. The
preprocessing required is least and accuracy is more in CNN as compared to other
related algorithms. Here, images are perceived as three-dimensional objects. Red-
Blue-Green (RGB) encoding is present in digital colour images; therefore, a convo-
lutional network breaks down the images into three separate strata of colour placed
together. This means, instead of a normal colour image, a convolutional network
receives a rectangular box whose width and height are defined by the number of
pixels along those dimensions. The depth of the perceived image is three layers deep
and these layers are referred to as channels. The main goal is to make the processing
part easier, without losing the critical features of the images that are required for
giving a good prediction.
5 Implementation
After discussing the methodology used, the results of the testing phases are outlined
in this section. The results from the face detection via webcam on the system as well
as on the Web browser are given in Fig. 6.
As it can be seen, the system is capable of detecting even mild facial expressions
with high accuracy. Also, the facial landmarks are correctly detected. However, the
results of age estimation are not stable and vary from time to time. Factors like head
pose, facial accessories and illumination conditions also affect the accuracy of the
system.
Fig. 6 Implementation result samples for real-time face analysis
Fig. 7 Implementation
result sample of Web
application
The system built has numerous applications. It can be used in healthcare,

marketing, access control and security, monitoring and e-learning.
To calculate the rough accuracy of the model, the system was tested against four
different subjects (two males and two females) for each emotion. Further, the results
were computed for different situations (in moving car, in dim light room, in sunlight)
to test the accuracy of the work. Finally, it was concluded that the system is capable
to predict even mild facial expressions accurately and is capable to detect multiple
faces in a single frame. Also, the brightness offered to the system does not play a
huge role. Although, the system faced some difficulty in identifying tilted faces in
extreme lighting conditions.
Table 1 Accuracy attained

Accuracy of model
by the model
All attributes Emotion Age Gender
68.33% 84% 56% 65%
It can be seen that while considering all attributes together (emotion, age and
gender), the performance of the system dropped. The system is able to detect emotions
with a greater accuracy than it is able to detect age and gender. Maybe this is because
factors like face accessories, tied hair, etc. influence the predictions made by the
system.
6 Conclusion
In this paper, we presented a facial analysis model, which is able to detect multiple
faces and analyze their facial features to predict human emotion, age, gender and
facial landmarks via real-time face detection. The backbone of the system is deep
convolutional neural networks, which involves less computation and has high execu-
tion speed. Haar classifiers are used for face detection. A Web application using flask
is also supported in the work to enable the user to view the application via a Web
browser.
In future, our goal would be to increase the accuracy of the model by training
it on a larger data set. Also, the system can be improved by using more accure
face detection algorithms like MTCNN or fuzzy logic. One can try to analyze these
features from voice and text as well.
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3. Starovoitov VV, Samal DI, Briliuk DV (2002) Three approaches for face recognition. In: The
6-th international conference on pattern recognition and image analysis, Velikiy Novgorod,
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5. Grossard C, Chaby L, Hun S, Pellerin H, Bourgeois J, Dapogny A, Ding H, Serret S, Foulon P,
Chetouani M, Chen L, Bailly K, Grynszpan O, Cohen D, Children facial expression production:
influence of age, gender, emotion subtype, elicitation condition and culture
6. Lench HC, Flores SA, Bench SW (2011) Discrete emotions predict changes in cognition,
judgment, experience, behavior, and physiology: a meta-analysis of experimental emotion
elicitations. Psychol Bull 137(5):834–855
7. Sebe N, Cohen I, Gevers T, Huang TS (2005) Multimodal approaches for emotion recognition:
a survey. In: Proceedings Internet Imaging VI, vol 5670. https://doi.org/10.1117/12.600746
8. O’Regan K (2003) Emotions and E-learning. JALN 7(3):78–92
9. Levi G, Hassner T (2015) Age and gender classification using convolutional neural networks.
Computer Vision Foundation
10. Kwon YH, Da Vitoria Lobo N (1993) Locating facial features for age classification. In:
Proceedings of SPIE-the international society for optical engineering conference, pp 62–72
11. Mélange PA, Sable GS (2018) Age group estimation and gender recognition using face features.
Int J Eng Sci (IJES) 7(7 Ver. I):01–07. ISSN (e): 2319 – 1813 ISSN (p): 23-19 – 1805
12. Tin HHK (2011) Gender and age estimation based on facial images. ACTA TECHNICA
NAPOCENSIS; Electron Telecommun 52(3)
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face & gesture recognition
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recognition using convolutional neural network. arXiv:1702.04280v2 [cs.CV], 4 Mar 2017
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logic hidden markov and neural network Techniques. Int J Sci Res (IJSR)
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[cs.CL] 3 Sep 2014
Enhanced Blockchain Application
for Pub-Sub Model
Nomaun Rathore and Shri Kant
Abstract The asynchronous communication is required for the distributed systems,

these are fulfilled using the middleware products and services. The publisher-
subscriber method is one of them. It is used for sending messages and on the other
hand, they are the receivers. Due to the involvement of the third party (broker),
there were security flaws. Blockchain technology was introduced providing confi-
dentiality, integrity authentication, etc. that too in a broker-less environment. In this
paper a new system is being introduced having the cryptographic functions like DES
and RNS are used for encryption of data and creating the public and private keys for
end-to-end encryption for the new system with blockchain, i.e. the authority control
based system. The improved hashing technique SHA2-512, is used. An identity-
based encryption mechanism is also introduced in making this system more secure
against the known attacks that previous systems failed to provide.
Keywords Blockchain · Cryptography · DES · Identity-based encryption ·

Pub/sub services · RNS
1 Introduction
In the network architecture, as the entities are loosely coupled, the communication
and sharing and the receiving of data are accomplished using the middleware services
like the message-oriented services, publisher-subscriber services, etc. These services
provide a means of communication and help in the sharing and receiving of various
N. Rathore (B)
Department of Computer Science and Engineering, Sharda University, Noida, India
e-mail: nomaun.rathore@gmail.com
S. Kant
Professor, Department of Computer Science and Engineering, Research and Development Centre,
Sharda University, Noida, India
e-mail: shri.kant@sharda.ac.in

https://doi.org/10.1007/978-981-15-5463-6_27
300 N. Rathore and S. Kant
information. The various types of publisher-subscriber services used are, the topic-
based services, type-based services, and the content-based services, etc. In topic-
based system, the publisher a topic with subscriber subscribing for the event of the
topic of its interest. The type-based includes the filtering of the events according to
their types with the subscriber matching the type of event directly. The content-based
includes the subscriber expressing the certain predicts of the event and matching
which satisfies them. Thus, there exist various security issues that are to be addressed
here, that are as: confidentiality, authenticity, anonymity, etc. the publishers have to
maintain their identity and publish without specifying of having any information of
the subscribers, on the other hand, the subscribers have to get the required or we can
say the subscribed information only without revelling their identities. This type of
problem is addressed in the content-based pub-sub services, etc.
1.1 Related Work
In most of the research published, models and cryptographic techniques are being
used for addressing the issues in the publisher and the subscriber services. The
confidentiality and the authenticity of the data published has been addressed before
but the anonymity couldn’t be achieved [1–3]. The recently introduced blockchain
technology was implemented, and the problem of the anonymity of the subscriber
was achieved [4]. There are various cryptographic techniques that have been used for
solving the problems in the traditional standard publisher-subscriber model [5, 6].
The traditional model or the standard model constituted of the third party which also
has an issue of compromisation. This was also eliminated in a model proposed in [7].
The publisher-subscriber services are also used on various cloud platforms, which
have an issue of storage of the huge amount of data and other security issues on the
wide-area network, this was addressed in a paper [8]. The cryptographic techniques
were used in solving the basic security issues in the system [9]. The blockchain, which
is an amalgamation of the three technologies, the cryptographic hash function used
to encrypt and decrypt the data, game theory statistics which help in the maintenance
of the consensus of the system, and the computer science engineering providing the
peer to peer communication and eliminate the third party involvement. This was first
introduced Santoshi Nakamoto in the first blockchain ever built and implemented
in the year 2009 as the Bitcoin blockchain which was an electronic peer_peer cash
transfer system [10]. The blockchain technology then got an improvement in the
form of a new blockchain named Ethereum. This was capable of doing transactions
not only for cash, thus blockchain came into use in various dimensions also where
full peer to peer communication without the involvement of third party is required.
The decentralized systems came into use, with no central entity providing the data
security and availability, and with this came the use of micropayments, with the help
of which the system was developed for the transactions offline way for provision to the
end parties [11]. The various security requirements that is required for the system are
fully defined, in a paper [12]. The blockchain technology is getting attention in almost
Enhanced Blockchain Application for Pub-Sub Model 301
all the financial sector, government communication, healthcare system, etc., with the
significant improvements in the technology involving the various new methods and
techniques of game theory statistics in the blockchain and used for other devices as
well [13]. In a paper, Residual Number system is used along with the Huffman coding
and Lempel-Ziv-Welch for the purpose of the compression. During its embedding,
the DES algorithm is used for providing security [14].
The paper’s remainder is as, Sect. 2 has preliminaries defining previous models,
Sect. 3 contains the enhancements in the model, Sect. 4 consists of the results and
the conclusion and Sect. 5 consists of the future work which can be done further.
2 Preliminaries
The blockchain is a technology having a system keeping records for transactions (not
only for money transactions) for the two parties. The need for a trusted intermediate
party such as brokers, escrow services, or banks serving as a third party. Blockchain is
a combination of various technologies involving cryptography, game theory statistics,
and computer science engineering.
Cryptography: It is one of the most important components in the blockchain.
The main idea in the cryptography is to encrypt the text using a key that produces
the ciphertext and the decrypting the ciphertext with the key and getting the plain
text sent. The encryption and the decryption make use of various cryptographic
algorithms. Cryptographic Hash Functions: hash function are the one-way functions
having various properties making them secure and are used in the blockchain funda-
mentally. The other uses of the hash function are in various cryptographic protocols,
applications having information security such as Digital-Signatures and the MACs
also called message authentication codes.
Game Theory: Game theory could be a theory on games. Most area unit things
wherever 2 or a lot of parties area unit attached some strategic behaviour. A “game” is
outlined as a scenario involving a “correlated rational alternative.” Theory of games
could be a study of ways concerned in complicated games. It’s the art of constructing
the simplest move or choosing the best strategy in an exceedingly given scenario
supported the target. It’s the strategy of modelling real-life things within the type of
a game and analyzing what the simplest strategy or move of someone or an entity
might be in an exceedingly given scenario for the desired outcome. In blockchain,
it helps in maintaining the accord of the chain, solving two problems which are the
tragedy of commons and the prisoner’s dilemma commonly seen in consensus states.
Computer Science Engineering: Computer science engineering is a very vast
field having various elements, technologies, methods in it. In the case of blockchain,
it combines the two technologies which are the cryptography and the game theory
statics, and the helping in the one to one or peer_peer communication.
Fig. 1 Standard
publisher-subscriber model
• Publisher-Subscriber model:
The standard model of the system consists of the broker between the publisher and
the subscriber Fig. 1.
The broker party can create issues like compromisation of the subscriber entity
or the publisher entity can happen.
• Secure Publisher-Subscriber model:
New model was developed, which provides the authenticity of the data, the confiden-
tiality of the data, as well as the main issue of the anonymity of the user [4]. Moreover,
the system was based on the reputation system, which is the fake publisher would get
the “0” reputation if the subscribers were not provided with the content, and on the
other hand, the fake subscriber would not get the money back if the transaction was
made once. This system was named the secure publisher-subscriber system(SPS).
The El-Gamel encryption scheme was used for the encryption purpose of the data
published and the subscriptions made by the subscribers. The payments were made
from the Bitcoin system, which provided the anonymity of the users, i.e. subscribers’
identity Fig. 2. As we know the El-Gamel encryption scheme is used in the hybrid
cryptosystem, i.e. message is first encrypted with a symmetric key and the El-Gamel
is used to encrypt the key used for the symmetric key encryption.
Fig. 2 Secure publisher-subscriber model(SPS)

• Security Requirements:
The security requirements in the system to be fulfilled are as follows:

– Confidentiality: The message being transmitted should not go any changes in the
broker-less environment provided by the blockchain.
– Authentication: Only the authorized publisher and the subscriber can access the
data. No one can falsify the identities.
– Scalability: The should be scalable as it is set in a distributed environment
– Anonymity: The subscriber identity should be kept a secret.
• Potential Attacks:
DOS and DDOS: The system can be compromised by a ddos attack, because the
multiple requests from multiple systems may crash the server.
Unfair mark attack: The unfair mark attack is that an attacker will be creating
many subscribers to launch an attack by giving the unfair rating to the publisher.
Collusion attack: many of the subscribers can get on together and give a wrong
reputation to a particular publisher so as to reduce its reputation.
Re-entry attack: the attacker having many entries which are malicious, will get
into the system can enter as a publisher itself.
3 Enhanced Components in the Model Proposed
The Above security requirements are fulfilled by the SPS model but suffer from the
threats, the enhancement in the model done may help in minimizing the DOS and
DDOS attacks, unfair mark attacks, collusion attacks and re-entry attacks can also
be minimized.
• Cryptographic techniques used:
As in a review paper, we read about RNS algorithm used with other algorithms
for compression and security, so here the El-Gamel scheme is replaced by RNS
which is asymmetric or public-key encryption technique. Further DES is used for
the encryption of the private key for RNS.
Key generation, Encryption and Decryption in RNS algorithm In RNS algorithm

first two primary keys are selected, e.g. P1, P2, Let M = P1 * P2, Let A1 = M/P1,
Let A2 = M/P2, Now Solve the equation ((A1 * T ) mod P1) == 1 and get the value
of T 1 = T. Similarly Solve the equation ((A2 * T ) mod P2) == 1 and get the value
of T 2 = T.
This forms encryption key (P1, P2) and the decryption key (A1, A2, T 1, T 2, M).
In the encryption process Let F is the File Input and (P1, P2) is encryption key,
Let N = Number of bytes in F, Let I = 1, Read the Ith byte (B) of F, Convert the B
to Ascii value N. Then R1 = N % P1 and R2 = N % P2 will give the encryption.
Fig. 3 The efficiency graph

of the residue number system
(RNS)
In the decryption process: Let EF is the Encrypted File Input and (A1, A2, T 1,
T 2, M) is decryption key, Let N = Number of Pair values in EF, Create a file F1 to
store decrypted data, Let I = 1, Read the Ith Pair value (R1, R2) from EF, Let E =
[(A1 * T 1 * R1) + (A2 * T 2 * R2)] mod M, now convert E to Byte Value E1 and
append E1 in F1.
This forms the decryption key E = [(A1 * T 1 * R1) + (A2 * T 2 * R2)] mod M
(Fig. 3).
• Enhancement in blockchain made:
The publishers are added by the administrator. The domains and the subdomains of
publishers are also handled by the administrator. The publishers upload the files to
the cloud. The data of the file gets encrypted by the RNS public key and stored in
the blocks of the blockchain. RNS encryption is done by the system. Each publisher
has his own block in the chain where he can upload the files. The publishers also
provide access to different files that the users have subscribed to. The users fill the
registration form and are provided with the identity token.
Identity token = [SHA-2512 encryption (the user id, domains and subdomains infor-
mation that the user has subscribed for)].
This identity token is also in encrypted form by SHA2 like the hashing in
blockchain. This acts as a digital signature of the user. When the user logins in,
the identity token provided is to be uploaded with which the system confirms that the
user is legit as it contains user id and the subscription details. For downloading the
files the user has subscribed for, a request for the secret key is to be sent, the user has
to upload the same identity token provided for login as it contains the subscription
and the user id both. The publisher gets the request form the user with the user id
for downloading the file, and to the legit user, the publisher sends the secret key for
downloading the file. The secret key is the concatenation of three.
Secret key = [DESencryption (RNS private key for decryption, access policy of the
user id, the expiry date of the key)].
This secret key is encrypted by DES algorithm. This key is also a session key
as it has an expiration period and can be used only for that time. On receiving the
secret key by email, the user goes to the download file option where he has to upload
Table 1 Characteristics of SHA

Algorithm SHA-1 SHA-2(256) Sha-2(384) SHA-2(512)
Message size <264 <264 <2128 <2128
Block size 512 512 1024 1024
Word size 32 32 64 64
Message digest size 160 256 384 512
Security 80 128 192 256
the secret key provided. After uploading the secret key, the system first decrypts the
secret key by DES, then the data file inside is decrypted using the RNS private key
by the system, and the file is unzipped form the block and the user downloads the
file. The secret key is actually a session key as it has an expiration date within it. The
encryption and the decryption process are handled by the system itself. The system
is a kind of file access control system with blockchain data structure for data storage.
The hashing technique used in the cryptographic part of the blockchain is the SHA-2
of 512 bits which are based on the Merkle–Damgard Hash Construction.
Secure Hash Algorithm (SHA) is of various types, we are using the SHA-2 with
512 bit size (Table 1).
• Enhanced Blockchain application for Pub-Sub model:
Figure 4 is the data flow diagram of the newly developed system having access
control.
Admin: The administrator manages the domains and the subdomains that are in
the system, as well as adds and removes the publishers from the system. When the
publisher is added, the user name and other details are sent to their emails, and a key
is provided for accessing the database. The admin controls various server settings
Fig. 4 Context analysis diagram

like the cloud and other options where the data is to be stored is managed by the
admin.
Publisher (data owner): The publishers are the data owners, they publish the
content, upload the documents and files that they want to publish for the users. The
publishers provide the secret key to the users when the request has been made. This
key consists of the RNS private key, access policy of user id and the expiration time
and is encrypted by DES algorithm. This key is a session key that expires after given
time.
Subscribers (users): The users have to first register. Then they subscribe for the
particular data they are interested in, they give a key request to the publishers, for
accessing the particular file they want to. When provided with a session key, they
can download the file from the server on the publishers authority.
Secret Session key = DESencryption (RNS (private key) for decryption, access
policy of the user id, the expiry date of the key)
Moreover, the multiple subscriptions is provided which is, a user can subscribe
for more than 1 publisher, the user will be provided with the session keys by the
respective subscribers for accessing the various files on the server.
• Internal level process ‘a’:
Figure 5 is the data flow diagram of the inner process of subfile download process
from the blockchain.
The user first logins with the id provided, the correct details put the process further
and false details deny the access of the user. When the user wants to download a file
from the server, he requests the publisher to provide the session key, when the key is
provided, the token identifier identifies the token (key) and proceeds further. As the
Fig. 5 Sub file download process from blockchain

data structure used is the blockchain, so it uses the cryptographic hash function for
the encryption process, the data is stored in blocks with hash details of the previous
block in it, the timestamp and the data are stored in it. When access is wanted, the
blockchain checks for the authentication, then the system uses RNS decryption for
the data file in the block and downloads the files from the blocks, the file downloaded
are in the encrypted format, after unzipping the files downloaded from the block the
user key provided session key which consists the RNS private key, the user id and the
access policy, this key is checked for authentication, if the key provided is correct,
the data is decrypted and the file is provided for download, with the message of user
confirmation to the upper levels. A transaction table is also maintained, by which the
files uploaded, downloaded and accessed by which user is kept in the table stored on
the server.
• Internal level process ‘b’:
Figure 6 represents the second level of internal process, the user registration
process.
For the users (subscribers) there is a registration process, by which they can register
themselves for the domain of their interest, so the publishers can provide them the
data they desire. The users fill up the details of the form provided, the domain they
ate interested in which are the topics and the data they require from the publishers.
One user register for more than one publisher at a time. The server then verifies the
details which are the email id, the domain that the subscriber has subscribed, and
the requests are sent to the publishers. The user is provided with a token id which
consists of the user id, domains and the subdomains which the user has registered for,
Fig. 6 Registration process for user

and these are secured using SHA 2 of 512-bit hash function, by this token the user
can access the files and send the request to the publishers for the files to be accessed.
The user registration is stored in the table, and the publishers get the details of the
users who have subscribed for their domain. The publishers can remove unwanted
users also as a security measure. Only knowing the details that they want to share.
Once the user data has been stored on the server, the user gets a confirmation mail
for his subscriptions to the specific domains and subdomains by the publishers.
• Threats to the system:
As the model is an access control model with blockchain and other algorithms
used for data security still it contains some threats, the main threat to the system is
the compromisation of the administrator entity which will in-turn compromise the
whole system.
4 Results
The new proposed model fulfils all the security issues as the previous model does
and it also helps in reducing the potential threats or attacks against the system which
the SPS model does not do. The DDos attacks can be minimized as users have to
subscribe to get into the system, so making it difficult to kill the server, other than this
the other attacks like the unfair mark attack, collision attack and the re-entry attacks
are also minimized as the control is with the administrator and the publishers. A
malicious publisher will be removed by the administrator and a malicious subscriber
can be removed by the publisher itself. In this way, these attacks are minimized in
the system. Moreover, the system is also a control access system for storage, various
publishers and other entities can store their files which they want to share with the
users.
5 Experimental Results
The experimental results show that the system is secure against the attacks where
the previous system failed. Table 2 describes the security and the potential attack
results in the case of the previous SPS model and our proposed model. DDos attacks
are minimized. As the model consists of the registration process, so the attacks like
the unfair mask cannot occur. The collusion attack and the re-entry attack is also
not possible as the system is authority based, anybody acting as a fake publisher
will be removed by the admin, and same is with the user, users are controlled by the
publisher entity, so they malicious subscribers can be removed.
Table 2 Comparative
Security SPS model Our model
analysis of models
Confidentiality Yes Yes
Authentication Yes Yes
Scalability Yes Yes
Anonymity Yes Yes
Potential attacks Security
DDos attack No Yes
Unfair mark Attack No Yes
Collusion attack No Yes
Re-Entry attack No Yes
6 Inferential Results
We input a few entries into the system, domains with subdomains, publishers who
uploaded the files and provided the access policy to the corresponding files, a few
users with different subscriptions. The details are as in Table 3. In the system, there
are five domains in the system, we have three publishers, namely Amit, Vinod and
Priya which are added by the administrator. These publishers have uploaded various
files into the system and provided the access policies to each file. Two users register
namely Ajay and Anu, Ajay has subscribed for Times of India with the platinum
subscription. Similarly, Anu has subscribed for Dainak Bhaskar and the Hindu. So
Ajay has to access any volume of the Times of India, he sends the key request to the
publisher and the publisher sends the key for downloading the file, if Ajay wants to
download the file from the third publisher of domain Deccan Herald, he cannot, as
he has not been subscribed to the domain and vice versa.
Table 3 Inferential results

System
Administrator Publisher Subscriber
Domains Publisher Users who Subscriptions
Name, have
uploaded files registered
Times of India Amit, Vol-1, Ajay Platinum
Vol-2
Deccan Herald Vinod, Vol-1 Rakesh Platinum
Dainak Priya, Vol-6, Anu Gold
bhaskar Vol-7
Indian express Neeraj, Vol-2, Anju, Gold
Vol-3 Rakesh
The Hindu Puja, Vol-3 Anu Silver
This way the whole system works. Only the authorized users with the subscriptions
and access policies provided by the publisher can access the files they have subscribed
to and not the ones they have not. In our system we have also included an option for
the user to subscribe for more than one domain at a time, this way if a user wants to
access two domains from different publishers, it can provide the domain names in
the registration process.
7 Conclusion
The model proves to provide all the security requirements as the previous ones as
well as is also safe against the various attacks. The model is a blockchain-based file
storage access control model, so it can be used for storage with access control in
other fields also other than the pub-sub.
8 Future Scope
As the blockchain is a technology that is continuously evolving, many new techniques

are also being invented for their use with the blockchain in making secure models
that are used. In our model, the future work that can be done is, the hashing technique
can be changed according to the users’ preferences, the encryption and decryption
algorithms can also be changed and the more secure and enhanced versions can be
introduced in the system. For the administrator entity to be secure various network
security techniques can also be used.
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A Study on Perception of Management
Students Regarding Corporate
Governance Practices of PSUs
Meenakshi Bisla, Pranav Mishra, Aparna Sharma, and Priyanka Tyagi
Abstract Scandals has enlightened the need for sound and improved corporate
governance culture for future business professionals. Corrupt business practices are
identified as the vital catalysts of the worldwide crisis. Future managers are required
to define their own ethical attitudes as business partners are crucial decision-makers
for the future. Management students who graduated from top B schools must have a
good understanding of ethical decision-making to avoid crisis. This study undertakes
the in-depth study of the perception of final year management students of Delhi NCR
(National Capital Region) region regarding corporate governance practices of Public
Sector Undertakings (PSUs).
Keywords Corporate governance · Ethical attitude · Ethical decision-making ·

Business practices · Future managers · Scandals · Corporate governance practices ·
Public sector undertakings (PSUs) · Corporate social responsibility (CSR)
1 Introduction
Nowadays, corporations are facing many challenges because of the scandals which
shook an individual’s trust in them. In the past decade, world has come across
shocking failures in government and private corporations worldwide such as the
case of Parmalat in Italy, Enron in America, Punjab National Bank, ICICI Bank,
Axis Bank, or Satyam in India, etc. “Most of the instances of severe deception and
M. Bisla (B) · P. Mishra · A. Sharma · P. Tyagi

Department of Management, LLDIMS, Affiliated to GGSIPU, New Delhi, India
e-mail: meenakshibisla@gmail.com
P. Mishra
e-mail: mishrpranav@gmail.com
A. Sharma
e-mail: aparnasharma1311@gmail.com
P. Tyagi
e-mail: priya21.tyagi@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_28
314 M. Bisla et al.
Board
of
Directors
Monitoring
Legal &
Regulatory
Communication Body
Risk &
Performance
Management Business
Practices
Disclosure & Ethics
Transparency
Fig. 1 Framework of corporate governance
misconduct were executed by higher-level management” stated Porter [1]. These

kinds of events not only have deviated the curiosity of individuals towards the mech-
anism of corporate governance, moreover, managed to shift corporate governance
process under crucial examination which resulted in numerous research (Bury and
Leblanc) [2]. Furthermore, Georgiou et al. [3] revealed that “scandals have attracted
more stress on developing corporate governance education for potential business
professionals”. Lozano [4] stated that few stakeholders are considered exceptionally
significant for the existence of the organization and perception of stakeholder have
an impact on the corporate image (Fig. 1).
* [5] and [2].
Public Sector Undertaking (PSU) is a state-owned enterprise in India, also
known as Public Sector Enterprise (PSE). The core problem that lies with corporate
governance is the separation of ownership and management.
This paper considers business scholars as vital as stakeholders because they will be
a part of forthcoming management. The attitude and behavior of students toward the
corporate governance system are influenced by their management education as well
as training. The corporate governance focus on the internal structure and rules of the
board of directors, rules regulating the disclosure of information to shareholders and
creditors, control of the management, and transparency of operations and accurate
decision-making process [1]. The study considers the following factors for studying
the perception of business students on corporate governance.
1. Internal control is expected to ensure organized and successful strategy execution,
appropriate risk management, efficient and consistent activities, and regulatory
compliance of the functions. Internal control undertakes all organizational levels.
2. The board of directors of every company regulates and took charge of duties in
order to ensure internal control in the company.
A Study on Perception of Management Students Regarding … 315
3. External monitoring system deals with accurate documentation, record keeping,

holding quality accreditation, and the relationship with external auditors and
inspectors.
4. Evaluation system for measuring performance of the various stakeholders include
transparency in performance evaluation, collection, and representation of perfor-
mance data on which performance is being evaluated, predefined performance
targets, and monitoring the performance continuously.
5. Top leadership deals with the number of independent directors in the board and
clear description of roles and rank among partners.
6. Information sources include the disclosure of all mandatory and relevant
information to the public through various means of communication.
7. Corporate social responsibility (CSR) is the companies acting voluntarily and
beyond the law to achieve social and environmental objectives during the course
of their daily business activities performed ethically.
8. Corporate image, or reputation, describes the manner in which a company, its
activities, and its products or services are perceived by outsiders.
2 Review of Literature
Zuckweiler et al. [6] revealed that strategic human resource management is ranked
as the most significant corporate governance practice by the students, corresponding
to the professional’s perceptions. There are corporate governance theories is deeply
examined by Abdullah [5] and Cris, an [7]. Lawson [8] accomplished that the percep-
tions of business scholars regarding ethical behavior found to be significantly related
to gender and stated that an ethical behavior development occurs as scholars progress
through educational institute differs among business scholars on age basis. Alleyne
et al. [9] stated “that men possessed more unethical intentions as compared to
women”. Contrary to this, Chapman and Lipton [10] found that Hong Kong sample
concluded that ethical level does not differ on the basis of gender. One can easily
suppose that there may be a direct as well as a strong relation among the capability
of business students—for those who are observed as future executives—to recognize
cultural principles and the moral performance of the corporations. Therefore, the
institutes will have a pivotal part in educating individuals. O’Leary [11] supposed
that quality ethical education can impact positively on ethical behavior of students.
Khan and Setti [12] examined a wide difference between education level institutes
and necessities of the compound real corporate environment.
316 M. Bisla et al.
Type of study: The nature of the study is descriptive. It also includes attempts to
determine the causes yet when the variables are uncontrollable. The study undertakes
descriptive research because of the nature of the research problem which tries to
capture the perception of management students towards corporate governance. The
perception of human beings is dynamic subject to a specific period of time, therefore
to evaluate the same both primary and secondary data are evaluated for attaining the
objectives of the study.
Scope of the study: The study tries to evaluate the perception of management
students regarding the corporate governance of PSUs and their intention to join
PSUs. The study undertakes the final year management students studying in Delhi
NCR region from 15 different colleges (both private and government). The selected
colleges are among the top 100 B schools that enhance the scope of application of
this study. The objective of the study is achieved by analyzing corporate governance
dimensions, i.e., internal control, external monitoring system, performance evalua-
tion system for the boards/sub-committees/management, top leadership, information
sources, ethics and CSR, and corporate image which were obtained from focus group
discussions of management students.
Objectives of the study:
1. To assess whether there is a significant difference in perception of manage-
ment students regarding corporate governance practices of PSUs on the basis of
demographic variables (namely gender, age, and work experience).
2. To explore the relationship among corporate governance practices of PSUs as
perceived by management students (internal control, external monitoring system,
performance evaluation system for the boards/sub-committees/management, top
leadership, information sources, ethics and CSR, and corporate image).
Hypotheses:
H1 There is no significant difference in perception of management students

regarding corporate governance practices of PSUs on the basis of demographic
variables (namely (I) gender, (II) age, and (III) work experience).
H2 There is no significant relationship among corporate governance practices of

PSUs as perceived by management students (internal control, external monitoring
system, performance evaluation system for the boards/sub-committees/management,
top leadership, information sources, ethics, and CSR and corporate image).
Sampling Design: The type of sampling design that is undertaken in the study
is non-probability sampling (convenience sampling). The sampling units collected
are easily assessable and reachable as collecting data from the top 100 B schools of
Delhi NCR is a bit challenging.
Sampling Selection: The sampling unit in the study is management students
from 15 colleges in Delhi NCR (both private and government). A large proportion
of sample is taken up from Indian Institute of Technology (IIT), National Institute

of Technology (NIT), Faculty of Management Studies (FMS, University of Delhi),
Management Development Institute (MDI), Indian Institutes of Management (IIM)
and ten more top B schools situated in Delhi NCR only. The size of the sample of
the study is 199. The samples are collected after eliminating unfilled or partially
filled questionnaires. The total number of questionnaires circulated was 250 but 51
were left partially filled thus the sample size of 199 is considered. Therefore, the
response rate of the study is 79.6%. The proportion of females and males is 44.2%
and 55.8% of the total sample size respectively. The sample consists of age group of
22–25 years which represents 80.9% of the total sample and that in the age group
of 25–29 years represents 19.1% of the total sample. The respondents have a wide
range of work experience starting from 0 to 2 years representing 70.9% of the total
sample, those who have work experience between 2 and 4 years represents 26.6%
of the total sample and those who worked for 4–6 years represents 2.5% of the total
sample.
Data Collection: The data collection is done through questionnaire (primary data).
The questionnaire contains two parts, part I is obtained through exhaustive literature
study and focus group of management students and part II of the questionnaire is
obtained from Nigel Wright [13]. The former part of questionnaire is obtained by
exhaustive discussion among the focus group which comprises of expert members
from IIM, NIT, and IIT along with group of ten alumni of top B schools. Nigel
Wright’s Recruitment survey developed for employer branding states that the impor-
tant factors governing corporate governance are corporate image, internal control,
top leadership, external monitoring system, independent directors, transparency, etc.
[13]. The data of the questionnaire is anonymous.
Reliability and Validity of the Instruments: The value of Cronbach alpha came
out to be 0.856 which is more than minimum threshold value of 0.6. Hence, the data
seems to be reliable. Validity of the data is being examined through an exhausted
study of literature.
4 Data Analysis and Results
To assess objective 1, i.e., there is a significant difference in perception of manage-

ment students regarding corporate governance on the basis of demographic variables
(gender, age, work experience) using independent sample t-test, one-way Anova, and
Post hoc analysis.
Independent sample t-test is undertaken in order to obtain objective 1(I) (Table 1)
which inferred that there is no significant difference in perception of management
students regarding corporate governance practices on the basis of gender (for internal
control (t = 1.129, p = 0.260), external monitoring system (t = 0.448, p = 0.654),
performance evaluation system (t = 0.653, p = 0.514), top leadership (t = 0.673, p
= 0.501), information sources (t = 0.608, p = 0.544), ethics and CSR (t = 0.049, p
= 0.961), corporate image (t = 0.698, p = 0.486)).
318 M. Bisla et al.
Table 1 Independent t-test

Variables T Sig. (2-tailed)
analysis for gender
Internal control x 1 1.129 0.260
External monitoring system x 2 0.448 0.654
Performance evaluation system x 3 0.653 0.514
Top leadership x 4 0.673 0.501
Information sources x 5 0.608 0.544
Ethics and CSR x 6 0.049 0.961
Corporate image x 7 −0.698 0.486
Table 2 Independent t-test

Variables T Sig. (2-tailed)
analysis for age
Internal control −0.986 0.326
External monitoring system −0.852 0.395
Performance evaluation system 2.432 0.016
Top leadership −0.597 0.551
Information sources 0.317 0.751
Ethics and CSR −1.710 0.089
Corporate image −1.351 0.178
In order to obtain objective 1(II) (Table 2), independent sample t-test is performed
on corporate governance practices in PSUs as perceived by management students of
different age groups (22–25 years and 25–29 years old). The result of t-test concluded
that there is no significant difference in perception of management students regarding
corporate governance practices on the basis of age (for internal control (t = 0.987,
p = 0.326), external monitoring system (t = 0.852, p = 0.395), top leadership (t =
0.597, p = 0. 551), information sources (t = 0.317, p = 0.751), ethics and CSR (t =
1.710, p = 0.089), corporate image (t = 1.351, p = 0.178) at 5% level of significance.
Whereas, it is found that there is a significant difference in perception of management
student only regarding performance evaluation system on the basis of age (t = 2.432,
p = 0.016) at 5% level of significance.
To analyze the difference in perception of management students regarding corpo-
rate governance practices in PSUs on the basis of work experience acquired, one-way
Anova is applied and it stated that perception of management students regarding other
corporate governance dimensions was not significant for internal control (p = 0.07),
performance evaluation system (p = 0.781), external monitoring system (p = 0.20)
ethics and CSR (p = 0.045), information sources (p = 0.558) and corporate image
(p = 0.883) at 5% level of significance. For an in-depth study of other corporate
governance dimensions Post hoc analysis is conducted and the result shows that
perception of management students regarding top leadership who have work expe-
rience of 0–2 years is found to be statistically significantly different from those who
have worked for 4 to 6 years (p = 0.006) and also the same is evident for those
Table 3 Karl Pearson correlation analysis

Variables x1 x2 x3 x4 x5 x6 x4
x1 1 0.771 0.206 0.659 0.646 0.629 0.594
x2 1 0.447 0.589 0.602 0.540 0.519
x3 1 −0.075 0.018 −0.090 −0.237
x4 1 0.817 0.734 0.811
x5 1 0.740 0.814
x6 1 0.759
x7 1
who have work experience of 2–4 years and 4–6 years (p = 0.007) at 5% level of
significance. Whereas, it is found to be insignificant for other remaining dimensions
of corporate governance practices as perceived by management students.
Pearson correlation is undertaken to obtain objective 2 (To explore the relationship
among corporate governance practices of PSUs as perceived by management students
(internal control, external monitoring system, performance evaluation system for
the boards/sub-committees/management, top leadership, information sources, ethics
and CSR, and corporate image) from which, it was observed that majority of the
dimensions of corporate governance practices as perceived by management students
found to be positively and statistically correlated to each other (Table 3).
Internal control (x 1 ): Internal control is positively and significantly correlated
with external monitoring system (r = 0.77, p = 0.000), performance evaluation
system (r = 0.206, p = 0.004), top leadership system (r = 0.659, p = 000), infor-
mation sources (r = 0.646, p = 0.000), ethics and CSR (r = 0.629, p = 0.000),
corporate image (r = 0.594, p = 0.000) at 1% level of significance where N = 199.
External monitoring system (x 2 ): External monitoring system is positively and
significantly correlated with performance evaluation system (r = 0.447, p = 0.000),
top leadership system (r = 0.589, p = 0.000), information sources (r = 0.602, p =
0.000), ethics and CSR (r = 0.540, p = 0.000), corporate image (r = 0.519, p =
0.000) at 1% level of significance where N = 199.
Performance evaluation system (x 3 ): Performance evaluation system is nega-
tively and significantly correlated with corporate image (r = −0.237, p = 0.001)
at 1% level of significance where N = 199. It was also inferred that performance
evaluation system does not statistically correlate with the top leadership system (r =
0.075, p = 0.296) information sources (r = 0.018, p = 0.802), and ethics and CSR
(r = 0.090, p = 0.2089).
Top leadership (x 4 ): Top leadership is positively and significantly correlated with
information sources (r = 0.817, p = 0.000), ethics and CSR (r = 0.734, p = 0.000),
and corporate image (r = 0.811, p = 0.000) at 1% level of significance where N =
199.
Information sources (x 5 ): Information sources are positively and significantly
correlated with ethics and CSR (r = 0.740, p = 0.000), corporate image (r = 0.814,
320 M. Bisla et al.
p = 0.000) at 1% level of significance where N = 199 (with ethics and CSR-r =

0.740, p = 0.000; corporate image-r = 0.814, p = 0.000).
Ethics and CSR (x 6 ): Ethics and CSR is positively and significantly correlated
with corporate image (r = 0.759, p = 0.000) at 1% level of significance corporate
image where N = 199.
5 Results
1. There is a significant difference in perception of management students regarding

corporate governance on the basis of demographic variables (gender, age, work
experience).
2. Majority of the dimensions of corporate governance (internal control,
external monitoring system, performance evaluation system for the boards/sub-
committees/management, top leadership, information sources, ethics and CSR
and corporate image) practices as perceived by management students found to
be positively and statistically correlated to each other.
6 Summary and Conclusion
The objective of the study, i.e., there is a significant difference in perception of

management students regarding corporate governance practices of PSUs on the basis
of gender is supported Chapman and Lipton [10], Lawson [8] and Alleyne and
colleagues [9]. They accomplished that the perceptions of business scholars regarding
ethical behavior found to be significantly related to gender. Thus, it is concluded that
ethical behavior differs on the basis of gender, but it could be further studied which
gender is more ethical in decision-making. Alleyne [9] reports that age has been found
to be an important predictor in the process of assessing the ethical behavior of students
and a study conducted revealed that “older students are having a higher ethical
perception as compared with younger students”. Thus, it is evident that there exists
a significant difference in perception of management students towards corporate
governance on the basis of demographic variables. The factors influencing corporate
governance are found to be inter-correlated with each other which is fundamental
to our economic system. The degree of priority of factors influencing corporate
governance may be studied in the future for an in-depth analysis of the process
which forms the overall perception of corporate governance practices of a company.
7 Limitations
1. The respondents have a constant changing mindset which can change their
feelings and their view towards the problems constantly.
2. Due to lack of time many respondents fail to answer their best opinion.
3. The respondents doesn’t pay much interest to others’ work.
4. The research was conducted in just the Delhi/NCR region therefore a collective
conclusion can’t be drawn for the whole country.
5. The sample size was limited.
8 Compliance with Ethical Standard
Conflict of interest: The authors declare that they have no conflict of interest.
Ethical approval: All procedures performed in studies involving human partici-
pants were in accordance with the ethical standards of the institutional and/or national
research committee and with the 1964 Helsinki declaration and its later amendments
or comparable ethical standards. Since the data of the study is anonymized, formal
consent is not required from the participants of the questionnaire.
References
1. Porter BA (2009) The audit trinity: the key to securing corporate accountability. Managerial
Auditing Journal 24(2):156–182
2. Bury S, Leblanc R (2007) Corporate governance research on the free web: a selected annotated
guide. Ref Serv Rev 35(3):497–514
3. Georgiou AK, Koussis N, Violaris I (2012) Corporate governance research applied at a private
university
4. Lozano J (2005) Towards the relational corporation: from managing stakeholder relationships
to building stakeholder relationships (waiting for copernicus). Corp Gov 5(2):60–77
5. Abdullah H, Valentine B (2009) Fundamental and ethics theories of corporate governance.
Middle Eastern Financ Econ 4:88–96
6. Zuckweiler KM, Rosacker KM, Hayes SK (2016) Business students’ perceptions of corporate
governance best practices. Corporate Governance: Int J Bus Soc 16(2):22–26
7. Crisan E, Turdean A (2011) Theories that lie behind corporate governance. In: Proceed-
ings of the 5th international conference of management and industrial engineering, bucharest,
politehnica bucharest, 20–21 Oct 2011, Niculescu Publishing House, pp 172-180
8. Lawson RA (2004) Is classroom cheating related to business students’ propensity to cheat in
the “real world”? J Bus Ethics 49:189–199
9. Devonish A, Charles-Soverall AJ, Marshall AY (2010) Measuring ethical perceptions and
intentions among undergraduate students. 4, 90–97
10. Chapman KJ, Lipton RA (2004) Academic dishonesty in a global educational market. Int J
Educ Manag 7:425–435
11. O’Leary C (2009) An empirical analysis of the positive impact of ethics teaching on accounting
students. Account Educ Int J 18(4–5):505–520
322 M. Bisla et al.
12. Khan MMS, Sethi N (2009) Management education and corporate governance: a case of India
and Pakistan. Res J Int Stud 12(12):29–43
13. Wright Nigel (2010) Employer branding survey. Nigel Wright Recruitment 1:16–17
Discrimination of Text and Non-text
Images
Pradipta Karmakar, Chowdhury MdMizan, Rani Astya,

and Sudeshna Chakraborty
Abstract “The configuration of the problem is frequently more necessary than its
solution, which may be merely a matter of analytical or experimental skill.” In this
paper, we solve the problem of the discrimination of the text and the non-text images
in natural images. In the paper, we introduce a novice system, which can take the
colour images, and extracts the feature values, i.e., the values extracted from the
distance transform values of the image. The values extracted are plotted as a bar
graph and the curve obtained by joining the top points of the bar graph is then studied.
The experiment was further conducted by studying the accuracy and performance
of the classifier in distinction between text and non-text images. The experiment has
been done on the image containing pure text and the image that is a pure non-text
image.
Keywords Discrimination of text and non-text · Distance transform · Bar graph ·

SVM (support vector machine) classifier
1 Introduction
Scene text in photographs and video is the text from the outside scene. The detection
and recognition of this scene text, captured by the camera, has become an important
field of study now a day. The images, which contain such scene text, are known as
P. Karmakar (B) · C. MdMizan · R. Astya

Guru Nanak Institute of Technology, Greater Noida, India
e-mail: pradipta23karmakar@gmail.com
C. MdMizan
e-mail: Chowdhury.mzn@gmail.com
R. Astya
e-mail: rani.astya@sharda.ac.in
S. Chakraborty
Sharda University, Greater Noida, India
e-mail: sudeshna.chakraborty@sharda.ac.in

https://doi.org/10.1007/978-981-15-5463-6_29
324 P. Karmakar et al.
Fig. 1 Text-based image
Fig. 2 Non-text-based
image
text images and the rest of the image, which does contain any text, is termed as the
non-text image.
The algorithm would work inefficiently if the image does not contain any scene
text. Therefore, it becomes an important topic of discussion in the field of image
processing to distinguish between a text image and a non-text image. This distinction
between the text and non-text images can be done with the help of feature values
(distance transform) deduced from the images (Figs. 1 and 2).
Previously, the OCR function was employed to extract the text from images.
That is only suitable if the input image comprises less noise and the images are of
hoardings, nameplates, etc. But as stated the algorithm would work ineffectively if
there is no text in the image, so it becomes necessary to first differentiate between an
image containing text or not and then extract the text from the image. If the system is
able to differentiate between a text and a non-text image accurately then it becomes
very useful in the extraction of the text. If the image does not comprise any text, then
the system would not require to do the task of wrenching of the text as it recognizes
previously that the image seems not to contain any text.
In our approach, we present a new problem of the distinction between the text
and non-text images from the natural images by studying the pattern of the curve,
obtained from the feature values extracted from the images, and then evaluation
using the classifier. This data (pattern of the curve and the classification accuracy)
is then employed to distinguish between the text and the non-text image [2]. After
the distinction, the text can be extracted by applying the text extraction algorithm.
The contribution of the paper is-we proposes a new method of first distinguishing
between a text and a non-text image and then apply any text extraction algorithm
for extracting the text from the image. This distinction would help in the efficient
working of the algorithm. In the subsequent sections, we review the related work,
propose the new classification method, and discuss the results.
Discrimination of Text and Non-text Images 325
2 Related Work
Many methods have been proposed concerning the distinction within the text and
the non-text images. Yet, we have studied a few experiments and we present it here
as follows:
1. In the year 2008, authors Ibrahim et al. [1] presented a paper in which heuristic
rules have been applied to differentiate among the text and the non-text images.
They did a study between the results of the Neural Network and Support Vector
Machine and they found out that the support vector machine was better than the
neural network.
2. In the year 2017, authors Khomenko et al. presented a paper in which they have
classified text and non-text on mobile devices. In their research, they have used
a neural network to distinguish between text and non-text.
3. In the paper presented by Indermuhle et al. [3] they presented the approach of a
distinction between text and non-text images online handwritten documents. In
their research, they have developed two systems in which the document segmen-
tation generated by the first system and the second system for the classification
of text and non-text zones.
4. In the year 2015, authors Zhang et al. [4] presented a paper in which they have
combined the methods of MSER, CNN, and BOW to distinguish between the
text and the non-text images and the method has proved to be the most efficient
and valuable.
5. In the paper presented by Gupta and Singh [5], they did the strategy of first
detecting and then extracting the text from both scanned and scene images. In
their analysis, they have removed the noise from the picture, then segmented
the image, and then distinguish it from the extracted feature.
6. In the year 2018, authors Chowrasia et al. [6] presented a paper on “Implementa-
tion of Optical Character Recognition Using Machine Learning” in which they
have applied the OCR technology after the feature extraction from the images.
7. In the year 2016, authors Chidiac et al. [7] presented a paper in which they have
applied the technique of applying both the method of MSER and OCR for the
extraction of the text from the image.
8. In the year 2015, authors Patel and Mitra [8], presented a paper in which they
have used the intensity values for separation of the text and the non-text area
and then recognize the text from the image. The algorithm produces the best
results on the Gujarati degraded documents.
9. In the year 2017, authors Karaoglu et al. [9], presented a paper in which they
assigned the images to different classes and then extract the text according to
the scene and is the most successful method in both the fields of classification
of the image and text retrieval.
10. In the year 1999, authors Malik and Chin [10] presented a paper in which they
have used an algorithm that is used to extract the text blocks from the whole
image and then extract the text from the image. Besides this, the stroke width
factor is also used for the extraction of the text from the image.
3 Proposed Scheme
In our approach, we tend to build a system which can accept both colour and greyscale
images and distinguish between it into text and non-text by the nature of the curve
obtained after extraction of the feature values from the image:-
1. In the first step, the image is taken as an input and the global threshold value is
being calculated.
2. In the second step, the input image was converted into black and white image.
3. In the third step, the distance transform of the image, i.e., the distance between
the separations of the points in the image has been calculated.
4. In the fourth step, the values of the distance transform are selected without
repetition and sorted in ascending order.
5. In the fifth step, the total area of the binary image was calculated and the areas
formed by the corresponding distance transform values are calculated. After
calculation of the values of the area’s, the area formed by each of the distance
transform values is then divided with the value of the area of the whole binary
image and is termed as feature values.
6. After getting all the feature values, the values then divided into intervals such
as 0.0000–0.0999, 0.1000–0.1999, and so on. After the division, the maximum
value from each interval is used to draw a bar chart. The curve, obtained by
joining all the top points of the bar chart, is observed and studied.
7. In this last step, datasets were prepared with a set of 10 images from both text and
non-text and were fed into the classifier for the training and the study. Among
all the classifiers, the classifier which produced the highest accuracy was sorted
out and then the related confusion matrix of that classifier was studied for the
performance of the proposed classification method.
An experimental study was done by using data sets containing purely text and purely
non-text images. The images from each set were fed into the system and the pattern
of the curve that was obtained from the images after extraction of the feature values
from the images were studied in order to propose the new classification system.
The experiment was carried out using two datasets, one purely text and the other
purely non-text. The accuracy and the performance of the dataset were also evaluated
using the classifiers which had the highest accuracy percentage. The results of the
experimental study are as follows (Tables 1 and 2).
The pictorial view of both the bar chart obtained from the text and non-text-based
image is as shown below:
From the above experimental result, we observe that for a text-based image, on
plotting the feature values in a bar chart we obtain a curve, which is almost a shape
of a parabola. The curve increases gradually from zero to the maximum level.
Table 1 Dataset Properties

Dataset Predicted Observed
Purely text-based set Parabolic curve Approximately a
parabolic curve
Purely Non-parabolic Completely
non-text-based set curve non-parabolic curve
Table 2 Classifier accuracy

Dataset SVM classifier (%) Ensemble classifier
(%)
Purely text-based 50 0
set
Purely 60 80
non-text-based set
On the other hand, we observe that for a non-text-based image, the nature of the
curve obtained is irregularly shaped. The curve increases gradually from zero and
forms an irregular shaped curve.
The nature of the curve in a text-based image is parabolic because of the pixel
values in the text regions, which are fixed in a particular shape. However, in the case
of a non-text image, the nature of the curve is complex because the pixel values are not
fixed in the shape. That is why the curve varies indefinitely starting from zero position
and gradually moving upwards to the highest point. These characteristics of the curve
enable a system to distinguish between a text-based image and a non-text-based
image.
In this study, we presented an approach to distinguish between the text and the
non-text images. The proposal is based on the extraction of the feature values of the
image and then plotting the bar chart and observing the nature of the curve obtained
by joining the top points of the bar chart. MATLAB has been used to develop the
system to improve the efficiency of the method. For further investigation, datasets
of both the text a non-text images were made with 10 images and were fed into the
classifier system and trained. After the training of the data with all the classifiers, the
classifier which provided the highest accuracy in case of text-based image was chosen
and the classifier which provided the highest accuracy in case of the non-text-based
image was chosen and then compared.
5 Comparative Analysis
It depicts the properties and the merits of the approach of the proposed method for
the discrimination between the text and the non-text images. The performance of
the classifiers has been evaluated using the accuracy of the confusion matrix. The
accuracy of the classifier depicts the performance in distinguishing between the text
Fig. 3 Text based image
Fig. 4 Non-text-based image
and the non-text image. The performance of the classifier has been evaluated by
training the dataset using two classifiers-ensemble and SVM and then evaluating the
accuracy of the confusion matrix. The details are shown below.
In Figs. 3 and 4, it depicts the performance of the classifier’s SVM and ensemble
for the text-based image and in Figs. 5 and 6, the performance of the classifier’s SVM
and ensemble for the non-text-based image by using the proposed method (Figs. 7
and 8).
From the above comparative analysis, we can infer that for a text-based image
the mean average accuracy of the ensemble classifier is about 0% and for an SVM
classifier the mean average accuracy is about 50%. On the other hand, for a non-text-
based image, the mean average accuracy of an ensemble classifier is about 70% and
for an SVM classifier, the mean average accuracy is about 60%. It is crystal clear
to us from here that SVM classifier has the highest accuracy in case of text-based
image whereas, for a non-text-based image, the ensemble classifier has the highest
accuracy.
6 Conclusion and Futurescope
Solving a problem for which there is an explorative solution laid towards a practical
approach. Extraction of the text from an image or from a video file is a very stern
Fig. 5 Confusion matrix of

text image in SVM classifier

text image in ensemble
classifier
process and is in the prioritized category of the research in Digital Image Processing.
Although if it is known that the image is a pure text or non-text beforehand then
it becomes quite easy but often it fails to prove its success in many of the cases
especially in cases where the text is not clearly visible due to blurring or due to the
lighting conditions. Our paper discusses the experiment mainly aims at distinguishing
between the text and the non-text image and it has proven in almost 80% of the cases.
For our study, we have chosen the SVM (Support Vector Machine) classifier for the
discrimination. But for doing a comparative study, ensemble classifier has also been
chosen and it has been proved from both of it that if the image has an average accuracy
of about 50% then the image can be categorized as a text-based image. On the other
hand, if an image has an average accuracy of about 70%, then the image can be

non-text image in ensemble
classifier

non-text image in SVM
classifier
categorized as a non-text image. However, the results are only the calculation from
both the SVM and the ensemble classifier but it may vary from image to image.
In future, we can further extend this work for determining the exact range of
the accuracy for both the text and the non-text images. The obtained result is just an
approximation but with this approximate result, we will not be able to classify almost
about 99.9% of the images into text and non-text. If the exact approximation can be
found out then it can also be employed to extract the text from an image or from a
video file. The text extraction algorithm would be able to give better performance
because it would be known beforehand that the image is a text or non-text image.
This would help in having a better performance for both the image classification and
the text extraction from it.
References
1. Ibrahim Z, Isa D, Rajkumar R (2008) Text and non-text segmentation and classification from
document images. In: CSSE ’08 international conference on computer science and software
engineering, vol 1
2. Khomenko V, Volkoviy A, Degtyarenko I, Radyvonenko O (2017) Handwriting text and non-
text classification on mobile device. In: International conference on artificial intelligence and
pattern recognition, Poland
3. Indermuhle E, Bunke H, Shatait F, Breuel T, Text vs non-text distinction in online handwritten
documents
4. Cong Tao et al, Automatic discrimination of text and non-text natural images, international
conference on document analysis and recognition (ICDAR)
5. Gupta V, Singh K (2013) A novel approach for detection and extraction of textual information
from scanned document images and scene images. Int J Adv Res Comput Sci Softw Eng 3
6. Chowrasia V, Shilakari S, Pandey R (2018) Implementation of optical character recognition
using machine learning. Int J Comput Sci Eng 6(6)
7. Chidiac NM, Daminien P, Yaacoub C (2016) A robust algorithm for text extraction from images.
In: 39th International conference on telecommunication and signal processing
8. Patel R, Mitra SK (2015) Extracting text fro degraded documents. In: 5th National conference
on computer vision, pattern recognition, image processing and graphics
9. Karaoglu S, Tao R, Gevers T, Smeulders AWM (2017) Words matter: scene text for image
classification and retrieval. IEEE Transa Multimedia 19(5)
10. Malik R, Chin SA (1999) Extraction of text in images. In: Proceedings of international
conference on information intelligence and systems
Calibration of Temperature and Pressure
Sensors for DAQ System in Air
Conditioning Test Rig
Vrinatri Velentina Boro, Vibha Burman, Amandeep Kaur, Manoj Soni,

and Pooja Bhati
Abstract This work has been done to develop a data acquisition system for a comput-
erized test rig which had gone defective. A conventional air conditioning test rig with
the same specifications of the computerized one was selected and the sensors were
calibrated. In order to automate data acquisition system, the sensors’ output which
gives raw data has to be converted to values that can be understood and used in
calculations. Both test rigs—one conventional and another computer interfaced with
one, having the same capacity and compressors are run in the same environment.
The sensor data from computer interfaced test rig is collected in ESP8266 Node
MCU board and raw data of temperature is compared with readings obtained on a
digital thermometer and the raw data of pressure is compared with the analog pres-
sure gauges fitted on conventional test rig. An equation is derived to represent the
raw data in terms of usable values for calculation. The result shows that calibration
has been successful. It is concluded that by this calibration process any system can
be modified and upgraded to computer interfaced one.
Keywords AC test rig · DAQ · ESP8266NodeMCU
1 Introduction
Air conditioning is defined as the process to modify the condition of air in any
of form like heating, cooling, ventilation, and disinfections. Air conditioners cool
and dehumidify the air for human comfort. It reduces the amount of humidification
in the air by removing heat from the surroundings. They are used widely for the
preservation of medicines, drinks, and food. Applications of air conditioners are in
rockets, aircraft, and submarine ships.
The AC test rig unit comprises compressor, evaporator, condenser, and a capil-
lary tube shown in Fig. 1. The separate fans were mounted on both evaporator and
V. V. Boro · V. Burman · A. Kaur · M. Soni (B) · P. Bhati

Department of Mechanical and Automation, Indira Gandhi Delhi Technical University for
Women, Kashmere Gate, New Delhi 110006, India
e-mail: manoj.soni2002@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_30
334 V. V. Boro et al.
Fig. 1 Conventional air conditioning rig test machine [3]
air-cooled condenser. All instrumentation facilities are fitted on the test rig so that
temperature and pressure can be calculated at various points in air conditioners [1].
The air conditioning test rig is based on a simple vapor compression refrigera-
tion cycle that provides an environmentally friendly nature. The vapor compression
refrigeration cycle comprises of four processes [2], as namely,
• Process 1-2 Reversible adiabatic compression process
• Process 2-3 Reversible heat rejection at constant pressure
• Process 3-4 Constant enthalpy expansion process
• Process 4-1 Reversible heat rejection at constant pressure.
Figure 1 shows the conventional air conditioning test rig schematic diagram [3].
Many researchers and industrial community fascinated with the blending of
sensors in control and automation system. This blending of sensors into Intelligent
devices and systems has escalated the magnitude to measure, analyze, and aggre-
gate data at a localized level [4]. Nowadays, to automate the process in industrial
evaluation Internet of things (IOT) plays the main role by creating the probability
of connecting computers, controlling and monitoring the system process. There is
successive interest in applying IOT technology using electronically interface with
IOT boards in numerous Industries to transform the conventional setup to automatic
one without changing any physical component in the machine [5]. IOT technology
is a typical pattern of model in information technology that all entities such as actua-
tors, sensors, transducer can bring communication to each other by utilizing internet
Calibration of Temperature and Pressure Sensors for … 335
networking systems and software. Therefore, the IOT system provides ease of use
[6]. Now, IOT board is being used in numerous areas of application rather than Indus-
tries such as smart home, Automobile, Agriculture, Transportation, health care, etc.
The IOT system uses hardware and software combination with computers to manage
and provide communication in between for various purposes and that also have low
energy which brings impact for surrounding. By the survey, it is expected that prob-
ability till 2020, 20 billion instruments or gadget will be connected to the internet.
IOT technology and computing is implemented for the surveillance system in smart
home application. The process of monitoring and controlling the system is taking
place via smart mobile phone. The system uses numerous types of sensing capa-
bility sensors to get environmental information and transfer the information to the
system unit controller. The smart controller will make a reaction later by examining
the information [7]. The parameters like temperature and pressure have different
changes in day to day life. It might seem well known for human beings to forecast it
but never replicate exactly. The seasonal variations are known for the biggest vari-
ation in an environment. So the temperature and pressure alter with the different
changes in condition. The changes in an environment can be cause and expensive
for the human if it is not monitored correctly so as to predict for such changes in the
future. Therefore, an automated system is required which can measure such param-
eter like temperature and pressure without human involvement and applying sensors
and considered accuracy in the process [8]. Temperature and pressure sensor data
can measure using ESP8266MOD IOT kit. ESP8266MOD IOT kit is used to trans-
ferred and manipulate the data acquired from sensors to the system [9, 10]. The data
measured experimentally based on the measurement of temperature and pressure
sensors. ESP8266MOD shows the program to be run in IDE software provides full
interaction with the test rig sensors through wire interfacing.
The experiment is conducted in IGDTUW in the months of February to April,
2019 at different room temperature condition.
The following section explains the application of hardware components used in
the system.
2 Hardware Component
2.1 ESP8266 IOT Board
This IOT board is a development board that is developed at ETI Labs, IGDTUW,
Kashmere Gate. A microcontroller is designed by Express if system named the
ESP8266. The ESP8266 itself is consisting of WiFi networking solution providing
as a path and communication from an existing microcontroller to WiFi and also
capable of self continuing contained application. In Fig. 2 is shown ESP8266 IOT
board containing the specifications given below
Fig. 2 ESP8266 IOT board

[7]
• WiFi SOC facility for wireless communication

• SRM: 128Kbytes.
• OS: XTOS.
• CPU: ESP8266(LX106).
• FLASH Memory: 4 Mbytes.
• Wired: SPI/SDIO/UART/12C.
• 10 BIT Analog to Digital converter.
• Operating Voltage: 3–3.6v.
• On board peripherals: LED, Push-button, potentiometer, Buzzer.
For ON board connectors ESP8266 Board requires USB cable for programming.
2.2 Temperature Sensor RTD PT100
The test rig contains three temperature sensors (2K141091C, 2K141044C,

2K141093C) connected electronically integrated and wired having specification.
The resistance of RTD PT100 sensor varies when the temperature of environment
varies with respect to the condition. Therefore, the PT100 works as a variable resistor.
According to the 2 wire, 3 wire and 4 wire configuration of the sensor the RTD PT100
is classified. It is popular for its capability to measure large range temperature up
to 200 °C with an accuracy of 0.1 °C. To make microcontrollers understand in the
system the variable resistance value is converted to voltage (0–5 v) as analog output
from RTD sensor.
• Operating temperature range: 0–200 °C.
• Power supply: 4–20 mA.
• 12–36 VDC (Fig. 3).
Fig. 3 RTD Pt100
2.3 Cord
Male to female cord and male to male cord is used for interfacing of sensor to output
port pin of ESP8266 IOT board Pins.
2.4 Digital Thermometer
A digital thermometer is a device for temperature measurement and its unit display
in terms of degree centigrade or Fahrenheit. Most vast application of digital ther-
mometer seems in the industrial area for scientific testing and measurement varia-
tion in room temperature. By batteries, the digital thermometer is powered and does
not require external mains power charging. The numerical value is provided on a
digital thermometer generally to one decimal place. Digital thermometer makes the
measurement process more precise, accurate and ease of use.
2.5 Personal Laptop
The Arduino software IDE makes it simple to write program code and upload it to the
development kit. This IDE software runs on Windows, Mac OSX, and Linux for this
uploading purposes of code the personal laptop is required to interface in between
hardware and software.
Fig. 4 Pressure sensor
2.6 USB Cable
USB provides power at 5 v to power USB downstream devices. USB is the medium
to transmit information about physical characteristics of connectors, cabling, and
power. ESP8266 IOT development board comes with an integrated USB connector
and a huge assortment of pin arrangements. With a micro USB cable or A to B printer
cable, the IOT kit can be connected to the laptop without any problem.
2.7 Pressure Sensor
See Fig. 4 of the pressure sensor used for the above experimentation.
3 Methodology
Different types of three RTD PT100 temperature sensors and two pressure sensors are
attached to the test rig electronically. The full hardware set up is shown in Fig. 5. The
ESP8266 IOT board is powered by USB meanwhile the temperature and pressure
sensor of the test rig is also wired or interfaced with the ESP8266 IOT development
board. The data pin from the temperature sensor and pressure sensor are connected
to the analog pin of the ESP8266 IOT board as well as the grounded pin from
the sensor is also connected to the ESP8266 IOT board. With the temperature and
pressure sensing, the RTD pt100 and pressure sensor give the analog output to the
ESP8266 board. The ESP8266 IOT board gives the output in terms of voltage. This
output is measured through the IDE Arduino software tool.
IDE software 1.8.8 is installed depending on the platforms’ software that will be
used. ESP8266 board is connected via USB cable to the system. ESP8266 board has
many different models so it requires installing the library according to the board and
this was selected by going to the tools option of the IDE software and click on the
library for installing the required interfacing library for the specified board. Now
the board is fully prepared for program by specifying each pin represented in the
Fig. 5 ESP8266 IOT board, pc is interfaced to the test rig
board as output or input mode. The I/p and O/p mode presents a reference voltage
(which is 3–3.6 v) to the power sensors and Receive data. ESP8266 IOT board is an
open-source platform and operated the hardware used in our project.
A code, program was made and data was recorded. The raw data was further
calibrated.
As the both test rigs have same capacity and compressors are equipped the output
data can be compared for calibration. The digital thermometer is used to measure
the variation of room temperature which is provided to the test rig for examining the
pressure changes in the test rig. From the experiment, it is familiarized that when
the temperature changes from one point to other successive point then occurrence
of changes in pressure is seen on the pressure gauge of the conventional ac test
rig shown in Fig. 6. On the other hand at the same time the raw temperature and
pressure data is also collected from the computerized IOT board interfaced test rig.
Fig. 6 Display of
experimental temperature
and pressure data on
conventional test rig
The output analog raw temperature and raw pressure vales data are collected at the
software named IDE. Inside IDE a serial monitor presents the data according to the
program specified in code. Then the data is stored in PLX.DAQ excel sheet and plot
the graph raw temperature data v/s raw pressure data are shown in Figs. 6 and 7.
Equation of line, y = mx + c has been used to verify that temperature and pressure
of raw data from ESP8266 IOT board are matching with the conventional machine
readings. Hence, we get the linear curve which implies that as the temperature
increases, pressure also increases.
Fig. 7 Temperature versus

pressure
5 Conclusion
Any conventional ac test rig can be converted to a computer interfaced one. For the
conversion, sensors are required and a controller to store the raw data, which has
to be converted to usable values. In this experiment, calibration has been shown.
The formula used has been for only a linear range. However, most of the sensors
have a nonlinear behavior. Still, the system can be calibrated for linear range and a
computerized model can be developed.
In order to increase the range to nonlinear range, more experiments will have to
be done and the stored values and nonlinear compensation will have to be specified.
With an IOT system, the input and output values can also be processed on cloud
platform and one can easily access the condition of the plant from a smartphone
mobile. This is also future scope for this project. It is finally concluded that sensors
have been successfully calibrated and can be used in any system that has to be made
automated.
Acknowledgements We would like to thank Mr. Bramha Swaroop Tripathi of CSE Department,
Mr. Rachit Thukral, and Ms. Manasi Mishra, Director of ETI Labs for assisting us throughout our
project.
References
1. Dossal RJ (2004) Principles of refrigeration. 4th ed, ND: Pearson Education Pvt. Ltd., pp
102–125
2. Jordan RC, Priester GB (1966) Refrigeration and air conditioning. 2nd ed, ND: Prentice-Hall
of India Pvt. Ltd., pp 16–23, 423–429
3. Khademi S, Lazin MNM, Darus IZM (2014) Mechatronic and instrumentation of automotive
air conditioning test rig. Ind Electron Appl (ISIEA) 48–53
4. Morales-Herrera R, Fernández-Caballero A, Somolinos ZJA, Sira-Ramírez H (2017) Integra-
tion of sensors in control and automation systems rafael. J Sensors
5. Rodrigues CMS, Castro BSL (2018) A vision of internet of things in industry 4.0 with ESP8266.
Int J Electron Commun Eng Technol 9:1–12
6. Saputra LKP, Lukito Y (2017) Implementation of air conditioning control system using rest
protocol based on node MCU ESP8266. In: International conference on smart cities, automation
and intelligent computing system
7. ETI labs Private limited IOT development board” (IOT 12E) www.etilabs.com/product/iot-
board/
8. Daq Q, Vwhp R, Tu Z (2017) EMACS: design and implementation of indoor environment
monitoring and control system, pp 305–309
9. Kodali RK, KS Mahesh (2016) Low cost ambient monitoring using ESP8266. In: 2nd
International conference on contempory and information
10. Ferández César (2017) Improving student engagement on programming using app development
with android devices. Comput Appl Eng Edu 25:655–658
On Condition Monitoring Aspects
of in-Service Power Transformers Using
Computational Techniques
Ujjawal Prakash Bhushan, R. K. Jarial, Vinay Kumar Jadoun,

and Anshul Agarwal
Abstract In this paper, the application of artificial intelligent techniques on condi-

tion monitoring and diagnosis of power transformer has been reported. Enormous
technological innovations have been reported by researchers to quantify the health
assessment methodologies for in-service power transformers such as Artificial Neural
Network, Fuzzy logic, Clustering techniques, and Expert systems for precise diag-
nostics and prognostics tasks. Albeit, numerous reports, and studies, prediction of
accurate health status of an in-service power apparatus like transformer is still a
challenge. An effort has been made in this paper to compile the outcome of various
research tools with practical in-service data to get an overall status of existing techno-
logical breakthroughs in the emerging field of condition monitoring of transformer for
the benefit of utilities and researchers. The prospective of condition monitoring and
diagnosis technologies of a power transformer can be emulated for asset management
and prevent catastrophic failures of power transformers.
Keywords Health index · Artificial intelligence · Transformers · Fuzzy logic
1 Introduction
Transformers are the most important and expansive equipment of power system.
The size of power transformer ranges between a hundred KVA to hundred MVA,
U. P. Bhushan (B) · R. K. Jarial

National Institute of Technology Hamirpur, Hamirpur, India
e-mail: ujjawaledukalp@gmail.com
R. K. Jarial
e-mail: jarial0@gmail.com
V. K. Jadoun · A. Agarwal
A. Agarwal

https://doi.org/10.1007/978-981-15-5463-6_31
344 U. P. Bhushan et al.
involves plenty of money as replacement costs in event of a catastrophic failures.

[1]. The power transformer is usually reliable throughout its service with opera-
tional life varying between 30 and 40 years. Practically, the transformer life can
be extended up to 50 years with good conditioning monitoring and maintenance
practices [1]. Failures of these power transformers majorly affect the social life of
utility and also dangerously affect the power system results in loss of revenue. The
health index is a mathematical tool that combines all the information such as results
of operating observation, field test, site, and laboratory test which provide a single
quantitative index that represents overall health index [2]. Initially, the transformer
works satisfactory, but as the transformer aged, some fault occurred due to internal
degradation. Mostly failure happened by a severe condition like short circuit, light-
ning stroke, switching transient or incipient fault. When a transformer is installed it
is sufficient to bear unusual conditions. After some time, the transformer age, their
insulation strength degrades so it cannot withstand these unusual conditions [3]. To
reduce or prevent these types of failures and maintain the transformer to work satis-
factory several studies have to be done and many techniques developed in recent
years. These techniques measure the various technical parameter such as breakdown
voltage (BDV), dissipation actor (DF), partial discharge (PD) thermal imaging, tap
changer test, bushing test, recovery voltage test, interfacial tension (IFT), moisture
content in oil, acidity, dissolved gas analysis (DGA), furan analysis, paper insulation,
winding temperature, sweep frequency response analysis (SFRA), also it includes
economical parameter such as percent of economic life (%EL) and ageing accelera-
tion factor (F_AA) [2, 3]. Traditionally such tests are conducted on a routine basis to
evaluate the health of transformers. Several authors have reported fuzzy clustering
based expert systems for health assessment of transformers [4]. The main advantage
of condition-based management is that maintenance is only done when it is neces-
sary rather than maintenance done at regular time intervals. There is a lot of testing
method and monitoring techniques which are used by the utility. This paper reviews
all those techniques and gives an idea about how to calculate the health index of
power transformer by emerging techniques.
2 Failures and Problems of Power Transformer
Failures of transformer may arise due to different operational conditions. Generally,

transformer failures are classified into three categories.
1. Electrically
2. Mechanically
3. Thermally.
The reason for failure may be external or internal. In view of the main tank failure,
bushing failure, tap changer, or in transformer accessories can also occur. Table 1
shows typical failures in transformer [1] and various failure mechanisms have been
summarized in [5].
On Condition Monitoring Aspects of in-Service Power … 345
Table 1 Typical cause of transformer failure

Internal External
Insulation deterioration, loss of winding Lighting strike, system switching operation,
clamping overheating, oxygen, moisture, solid system overload, system fault (short circuit)
contamination in transformer oil, partial
discharge, design and manufacture defects
winding resonance
The failure rate of the transformer can understand by bathtub curve which is shown
in Fig. 1. According to the bathtub curve, the lifetime of power transformer can be
divided into three stages. Correspondingly there are three stages of failure of power
transformer. The first stage denotes infant stage which is not more than one year. The
second stage denotes the normal stage. In both stages the failure rate is constant. The
third stage denotes wear out stage. In this stage failure rate is increased due to wear
and tear.
A survey report shows the main cause of failure of power transformer (51% in a
5-year period) due to the following problem [6].
• Transformer internal dielectric strength weakening due to moisture contents, oil
contamination, and ageing of oil.
• Winding short circuit or damage to the winding by decompression.
• Bushing problem due to loss of internal dielectric strength.
A survey conducted by CIGRE group on power transformers failures. On the
basis of the survey, they conclude that 41% of failures happened due to on-load tap
changer, and 19% happened due to windings. Figure 2 shows that the percentage
failure of power transformer distribution with on-load taps changers.
Fig. 1 Failure of bath tub

curve
Fig. 2 Percentage power

transformers failure
3 Monitoring and Diagnostic Method
Generally, the term “monitoring” means supervising activities in progress which

means to ensure they are on course and on schedule in meeting the objectives and
performance target. The term “diagnostics” means to assess the health with the
help of an expert system and suggest taking some action if anything is not in good
condition. There are so many tools that evaluate the health of transformers [1–4].
They can be divided into two types, one is traditional and another is nontraditional.
Former has been widespread use for many years and later still in the research stage.
Monitoring and diagnosis of a transformer play a critical role in deciding the financial
aspects and risk assessment of an industry. A proper condition monitoring and an
appropriate preventive or corrective timely action enable sound maintenance of the
transformer. This also ensures proper health monitoring and enables the long life of
the transformer. Condition monitoring of the transformer may also avoid premature
ageing of the transformer and avoids catastrophic failures.
4 Diagnostic Method
4.1 Oil Testing
The transformer oil is the most important parameter to evaluate the health of power
transformer. Thermal fault as well as electrical fault is the main cause of degradation
of oil. Recently, various oils based on esters and mixed oils are laid due emphasis by
the researchers [7–9].
Table 2 Key gases generated

Key gases Characteristic fault
by particular fault
H2 Partial discharge
C2 H6 Thermal fault <300 °C
C2 H4 Thermal fault 300–<700 °C
C2 H2 , C2 H4 Thermal fault >700 °C
C2 H2 , H2 Discharge of energy
1. Dissolved gas analysis

Dissolved Gas Analysis (DGA) is among the most important technique for the deter-
mination of incipient faults on oil-filled transformers. Due to thermal and electrical
stresses the hydro-carbon chains breakdown causing the formation of gases [10].
Various DGA methods like Gas Chromatography and Photo Acoustic Spectroscopy
extract information about the concentrations of various dissolved gases. Then DGA
techniques like Key Gas Method, Ratio Methods, or Graphical Methods are used to
analyze these data to predict nature of incipient fault developing in the transformer.
The major fault gases are H2 , C2 H2 , C2 H4 , C2 H6 , and CH4 . Table 2 shows the key
gases generated by a particular fault.
To determining the health index of transformer DGAF is calculated as follows
which is based on IEEE and IEC standards.
7
i=1 Si × Wi
DGAF = 7
(1)
i=1 Wi
where i denote dissolved gases, S i is the score value based on the volume of dissolved
gases, and wi is the weighing factor of each gas.
2. Oil insulating quality
Oil is the most important characteristic of the life of transformer. Insulation of oil
greatly affects the life of transformer. There are so many ways that reduced the
insulation level of transformer oil. That’s why many tools and tests are used to
determine the insulation quality of oil [11]. There are so many tests perform for
transformer oil. The tests, method/standard, and effects which are usually performed
are listed in Table 3.
From the observation of testing of transformer oil by the various methods, one
single parameter is defined called oil quality factor which is further used to calculate
the health index of transformer.
6
i=1 Si × Wi
OQF = 6
(2)
i=1 Wi
When paper ages, a number of furan compounds are present in the transformer oil.
The availability of these furan compounds is directly related to the paper insulation
Table 3 Insulation oil test

Test Method/standard Effects
Breakdown voltage (BDV) D877, D1816 (ASTM) Dielectric strength reduced
Acidity D644, D974 (ASTM) Sludge formation
Interfacial Tension (IFT) D971 (ASTM) Formation of soluble polar contaminants
and products of degradation
Color D1500 (ASTM) Color changes indicate deterioration
Water D1533 (ASTM) Influence ageing tendency of liquid and
solid insulation
Power Factor (PF) D924 (ASTM) Condition of capacitive insulation
Table 4 Guideline for paper

Furfural in ppm DOP Paper degradation
degradation
0–0.1 850–1150 Normal
0.1–0.25 750–600 More than normal
0.25–0.5 500–400 Poor
>10 <300 End of life
strength through its degree of polymerization (DOP) [4]. Transformer oil samples
must be tested for furan analysis when one of the conditions follows [1, 8]:
• Transformer overheating
• Transformer overloading
• Level of carbon monoxide (co) or carbon dioxide (co2 ) is very high
• Reduction in interfacial tension with a constant acidic number
• Change in color of oil
• Increase in moisture content.
Furan compounds are produced in transformer oil as cellulose material. These
cellulose materials are used in solid or paper insulation. Measurement of furan
compounds of oil also used for measurement of degree of polymerization of the
paper insulation [6–8]. Ranges and paper degradation are listed in Table 4.
4.2 Hot Spot Temperature and Load Index
The life of the transformer estimated by the manufacture, real age, weather condition
is taken into account to determine the health condition. As the transformer load
current flow in the winding heat is dissipated so the winding temperature is also used
to estimate the expected life of the transformer [9].
Another parameter related to winding temperature, i.e., load history also considers
evaluating the health index which is very useful. Instead from average load, the peak
Table 5 Temperature
Class Temperature range (°C)
classification
Normal 0–10
Moderate 11–20
Serious 21–50
Critical >50
load should be considered in certain time periods [9]. As the winding temperature
increases, mostly paper insulation degraded. So, for the protection of paper insulation,
it must be recognizing accurately where the hot spot occurring. The main work to
estimate the health indices adding with this concept is described in the following
methodology [4, 9].
• The winding temperature or hot spot temperature is determined by thermal
imaging camera or software based on the finite element method.
• Subsequently, spotting the hot spot winding visually and calculating the circu-
lating current in the winding. These values are ranged between optimal loads to
full load.
• An equation is proposed relating the hot spot and load index with the help of the
above two steps. Therefore, ageing acceleration factor of insulation system relate
to the transformer health condition.
The severity of overheating from the thermal imaging camera can be categorized
as shown in Table 5.
4.3 Economic Analysis
It is also very helpful in assessing the health condition of power transformer. Basi-
cally, it includes the capital cost, running cost, depreciation factor, or interest rate to
help assessing the condition of the transformer [2].
Economic analysis is done with the help of bathtub curve. At the time of starting
or initial time period transformer faults are more so it needs more inspection but this
time period is not more than one year. This time period is called infant time period.
After this time period transformer working normally and faults occur less than infant
period. The third and last time period is wear and tear stage in which faults occur
more than other two-time periods. The fault rate is equal in both infant and normal
time periods whereas in wear and tear stage fault rate is higher. From the bathtub
curve, we decide the failure rate as follows [6, 8]:
1. Modeling of failure rate of power transformer
2. Modeling of outage probability distribution of power transformer
3. Modeling of annual cost disturbance
4. Modeling of annual operational cost.
Once failure rate decided, Model the economic lifetime of power transformer
annually by modeling equivalent annual cost which also includes the investment
cost. In wear and tear time period maintenance costs should be increased due to more
failure rate to maintain the transformer work satisfactory [2]. So, for the evaluation
of economic life, operating and maintenance costs are taken into account to calculate
the minimum annual cost (AC) of the transformer.
AC(n) = PW(n) + OC(n) (3)
where n is the no. of year which is studied. Present worth (PW) includes initial
purchase cost (PC) and salvage Value (SV). The present worth is usually decreased
[2].
Operating cost (OC) include the interruption cost, cost of maintenance, diagnostic
test cost, and cost of labor. The operating cost (OC) is usually increased [2]. The
year in which the annual cost occurring its lowest value is the economic life of the
transformer. Then, percent of economic life is defined as given below.
AGE
PE% = × 100% (4)
EL
5 Health Index of Transformer
The conventional transformer health assessment needs information such as deteri-

oration of insulation system, load characteristics, winding temperature, and many
other factors to evaluate the life of transformer. Final health index is calculated as
follows:
n
i=1 K i HIFi
HI = n (5)
i=1 4K i
where ‘n’ is the number of input parameters.

K is the coefficient of multiplication.
HIF is the number from the evaluation of each testing parameter.
The health index value obtained from equation no (5) is categorized into five
divisions from 0 (zero represent the poorest value) to 1(one represents very good
value).
6 Different AI Techniques
This paper also reviews the different AI techniques which determine the health assess-
ment of power transformer. There are following AI techniques which usually used
by the utility.
1. Artificial neural network (ANN)
2. Fuzzy Logic
3. Adaptive neuro-fuzzy inference system (ANFIS).
6.1 Artificial Neural Network Technique
ANN is an AI technique that is motivated by human behavior of brain. An ANN is an

information processing paradigm that is inspired by the biological nervous system
such as the human brain’s information processing mechanism. ANN is an efficient
method that assess the health condition of the power transformer by observing the
relationship between inputs (transformer parameter which affects the health condi-
tion) and output (HI). ANN consists of three layers, i.e., input layer, hidden layer,
and output layer. ANN models are shown in Figs. 3 and 4 as in [10]:
Fig. 3 Schematic of ANN

model
Fig. 4 Schematic of ANFIS

model
Fig. 5 Schematic of ANFIS

model
6.2 Artificial Neural Network Technique
Fuzzy logic is a superset of Boolean logic that handles the concept of partial truth,
which is a truth value between “completely truth” and “completely false”. Fuzzy
logic is multivalued. It deals with degree of membership function and degree of truth.
Fuzzy logic uses the continuum of logical values between 0 denotes completely false
and 1 which denotes completely truth [11]. The membership function of fuzzy logic
is shown in Fig. 5.
6.3 Adaptive Neuro-Fuzzy Inference System
Adaptive neuro-fuzzy inference system is a kind of Artificial Neural Network that

combines both neural network and fuzzy logic principal. The ANFIS is a very strong
technique that helps in predicting test score and simulating the complex nonlinear
system. This model has five layers as follows in [4, 6].
7 Discussion on Various Research Tools
Many researchers are evaluating the health index of transformer with different
methodologies or used different kinds of tools to analyze their results to compare
with conventional methods. A few of results of researcher is shown below to get
an overall status of existing technological breakthrough in this field for benefit of
utilities and researcher. Results of health index evaluation using industry standard
and health index evaluation using ANN and ANFIS models are given in Tables 6 and
Table 7 respectively.
Table 6 Health index evaluation using industry standard

No. of trans. Determining the health index based on industry Expert judgment
standard
DFAF OQF PIF HI
1 1 1 1 1 1
2 1 1 1 1 1
3 1 2 2 2 2
4 2 1 2 2 2
5 5 1 1 3 3
6 4 1 2 3 3
7 5 1 4 4 4
8 5 1 4 4 4
9 5 5 3 5 5
10 5 4 4 5 5
8 Conclusion
A review of the application of AI techniques on condition monitoring and diagnosis

of power transformer has been reported. In the health assessment part, the actual age,
environmental conditions of transformer location, and life expected by manufacturer
are taken into account to determining the health index. The winding temperature is
also used to estimate the life of the machine. The load history of the transformer
could be very useful for the health index. Another group of practical data that has
been considered for the health evaluation is the leakage reactance, state of bushing,
electrical resistance, ground isolation, focusing on oil leaks, and the level and color
of oil. The physical and dielectric properties of oil are the most common variables
mentioned by industry. Some other group of data reported includes the economical
parameter to monitor the life of power transformer.
354
Table 7 Health index evaluation using ANN and ANFIS models

Voltage ratio (KV) 410 33/6.6 400/15.75 20/0.072 400/15.75 410/13.8 230
Power rating (KVA) 100,000 10,000 94,000 2500 94,000 160,000 84,000
Age (year) 2 5 7 9 12 14 35
BDV (kV) 75 81.8 74.8 81.7 75.5 75 75
DF 0.0015 0.0115 0.0072 0.0165 0.0016 0.0014 0.0155
Acidity (KOH) 0.04 0.0403 0.07 0.0203 0.06 0.06 0.12
IFT (mN/m) 35.4 35.5 31.8 36.8 33.8 35.1 20.2
Water (ppm) 3 2.9 2.3 1.6 1 2.2 10.5
% Water Paper 2 3.1 1.9 1.9 1 1.9 4.6
Furfural (ppm) 0.09 0.32 0.11 0.09 0.11 0.12 0.46
DGAF 1 1 1 1 1 1.111 2.056
PE % 10.526 8.475 36.842 19.149 63.158 73.684 269.231
FAA 5.25 × 10−5 4.47 × 10−5 1.57 × 10−4 1.41 × 10−5 1.15 × 10−4 4.47 × 10−5 3.23 × 10−5
Experimental HI 1 0.9219 0.7656 0.8281 0.5625 0.4062 0.1719
ANFIS HI 1 0.9118 0.8296 0.8335 0.6007 0.4177 0.2269
ANN HI 0.9927 0.9187 0.8200 0.8067 0.5765 0.3859 0.2250
U. P. Bhushan et al.
Acknowledgements The authors are thankful to TIFAC CORE on Power Transformer Diagnos-
tics at NIT Hamirpur, India for providing in-service data and technical support for carrying out
experimentation for field tests.
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Communication Techniques in Smart
Grid—A State of Art
Aastha Khanna and Anuradha Tomar
Abstract This paper first introduces the concept of Smart Grids (SG). We review in
this paper, numerous forms of ways of communication of the smart grid; there pros
and cons, and the best-suited scenario for the adaption of a certain communicating
network. The communication techniques include wireless communication, SFiWi,
NANs, WSNs, etc., we review in this paper certain protocols as well as architectures.
Protocols include discussion on RPL and CBR RPL protocols. Last, we review the
security details of SGs.
Keywords Smart grid · Communication protocols · Wireless network
1 Introduction
Developments and progress in human societies are majorly driven by energy. Almost
50 years ago, the power grids all over the world need an overhaul. Therefore, the
new power grid envisioned to be energy-efficient, eco-friendly, and demand-supply-
friendly is known as smart grid [1]. Smart Grid uses new Communication and Infor-
mation Technologies. It ensures better control and management of sources’ energy
[2]. Special efforts are put into the design of network architecture which is robust,
efficient, and capable of control and operation management. For the above-mentioned
purpose, we use new wireless as well as wired technologies apart from the previous
technologies [3].
A. Khanna (B)
Department of Electronics and Communication, HMR Institute of Technology and Management,
Delhi, India
e-mail: aasthakhanna1802@gmail.com
A. Tomar
Electrical Engineering Department, JSS Academy of Technical Education Noida, Noida, India
e-mail: eranu28@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_32
358 A. Khanna and A. Tomar
In this paper, we will give an overview of the various communication tech-

niques and networks used in the smart grid substation namely wide area moni-
toring, distributed generation, and automation [4]. In addition, we review the extent
of progress in the field of wireless and wired technologies.
2 Various Communication Networks and Architecture

for Smart Grids
2.1 Wireless Communication
Due to the expeditious development of wideband wireless communication technolo-

gies, this type of communication is considered increasingly by power communica-
tion services to provide a supplement to the fiber-optics in order to branch out the
services of the smart grid to various regions where the conventional communication
technology using wires cannot reach [5]. Connectivity with wireless devices is the
key to the ICT systems, i.e. information and communication technology system, and
its various applications. The ICT system has devices effectively connected with each
other to make private lives as well as the professional lives of people convenient
regularly [6].
SCADA, i.e. supervisory control and data acquisition is widely in operation to
control the distributed network’s utility power. But the SCADA system currently in
use is unable to accommodate a high rate of data applications of the SG namely
surveillance via video monitoring of assets for the prediction of faults the very
purpose of healing self [7]. In this paper, we review and compare two networks i.e.
LTE 230 M and LTE 1.8G on various parameters such as coverage, delay, supporting
ability of service, throughput, and smooth evolution [5].
On comparing, we observe that coverage of LTE 1.8G is almost equal to the
coverage provided by LTE 230 M. The LTE 230 M supports basic services that
have data rates that are fixed and low but fail to support services like wideband
services, IMS services, and data rates that are high. LTE230 M is worse than LTE
1.8G on parameters like delay, supporting ability of service, throughput, and smooth
evolution. Hence, LTE 1.8G is better of the two options for urban regions due to
wideband and dense terminals. While LTE 230 M is a good choice for regions with
large coverage and low terminal density and hence LTE 230M can be opted for
in rural areas. A common drawback of these networks is that they don’t provide
any deep coverage. Hence, in this case we find ourselves in need of a remote radio
technique to fulfil the above-mentioned drawback [5].
Communication Techniques in Smart Grid—A State of Art 359
2.2 Sensor Enhanced Fiber-Wireless (SFiWi) Network
Based on EPON, wireless sensor (WS), WLAN, and fiber optic sensor (FOS) tech-
nologies, this paper reviews the eco-conscious designing of sensor enhanced fiber-
wireless (SFiWi) network that can be used as a communication infrastructure for
smart grids and broadband access. To facilitate the utilities in deciding the deploy-
ment of FOSs and WSs in various scenarios and approximate all the sensor-related
costs, we use TCO, i.e. total cost of ownership model. [8] To protract the life of the
battery of wireless devices and to maximize the energy efficiency on the whole, a
new energy conservation method for SFiWi, i.e. ECO-SFiWi is deployed. The entire
network is designed by ECO-SFiWi into three distinct TDMA layers. This is so
done to augment the performance of the network, while at the same time appointing
different network components to go to sleep outside the transmission slots. Therefore,
this model accounts for both of the following:
i. Wireless components that are front end
ii. Optical backhaul
iii. Delay analysis on M/G/1 queuing mechanism [9].
While comparing FOSs and WSs, it is found out that the FOSs are superordinate
to WSs where techniques such as advanced interrogation are used in the reduc-
tion of the entire cost [9]. ECO-SFiWi attains energy savings of more than 89%,
meanwhile maintaining both low broadband delay and traffic in the smart grid in
various scenarios. FPGA hardware and analytical result verify the effectiveness of
ECO-SFiWi. [9].
2.3 Advance Metering Infrastructure
The development of Advanced Metering Infrastructre (AMI) systems is to execute

three functions. These are: reducing peak loads, machine-controlled meter reading,
and energy efficiency. But there are two problems with the AMI system. The first
problem is the communication with the consumer and handling and treatment of
data in reference to the electricity collected from the consumer by power utilities.
The second issue is managing the resources of this communication network and
organizing of metering in order to avoid and avert errors in communication and
congestions. In AMI, the consumer data is collected by the concentrator from the
meter and is further sent through communication networks [10]. Communication
between central controller and numerous sensors is shielded by protocols related to
security. Algorithms that are cryptographic are present in these protocols, and thus
are responsible for causing, to the sensor nodes, and energy overhead that is heavy
[11].
The AMI system consists of MDMS servers, smart meter, and concentrators. This
grouping method allows the message or the data size to decrease by approximately
88% [10]. A big integral of the SG, AMI is responsible for two way communication
between users and the center of control. For communications to be enhanced, a
critical aspect is the dependability of data in the application flow. While keeping
in mind the downlink and uplink AMI applications, researches have analyzed DAN
(Distributed Area Network) [12].
Therefore, this paper reviews a method to decrease network utilization and the size
of the message on the server. This method concatenates or couples smart metering
messages that are small from apt meters whereas the conventional method couples and
agglomerates all the messages and the data without any numerical processing [13].
The new suggested method has messages and data operated upon by the concentrator
to decrease the evaluated cost and the size of the messages on the server. An ns-
3 network simulator was used to simulate the traditional and proposed methods.
The simulation is done to assess their ability in transferring messages regarding the
volume of power intake of the server. The simulations result in proving the suggested
method to be better than the conventional method by reducing the size of the message
or the data by approximately 98.5% in certain instances and cuts back the time taken
for communication between server and the meters with the help of concentrator [10].
Thus, the suggested method cuts back the tenancy rate at LANs, WANs, and the
server. The method aids in reducing the load on sensors and networks [10].
2.4 RPL Protocol
In the present times, numerous protocols have been devised to assist the smart grid
system on various parameters such as environment constraint, dependability, and a
massive transfer of data. With the aforementioned constraints, the RPL protocol is
devised to assist: memory, interconnection, energy, and power. An important part
of the RPL Protocol is the energy balance metrics and ETX that help in improving
the performance of the RPL. [14] With the implementation of this protocol the
system becomes tolerant to numerous faults is scalable. Thus, this implementation
is dependable, high speed, and thus best-suited for devices with low power [15].
The RPL protocol is thus created and evaluated for constrained resources in order to
extend a helping hand to forthcoming SGs and to applications of LLNs. A tree type
of topology DODAG (i.e. Destination Oriented Acyclic graph) is employed under
RPL [16]. RPL in SGs is in usage for forwarding of data, i.e. covering dissemination
and acquisition of data. RPL is categorized as a proactive protocol used for the sensor
to root communication hence, providing a delay of low level for no occurrence of
loop [17].
RPL is designated as routing protocol IPv6. This is for lossy and low-power
networks. LLN applications include WSN and AMIs. End-to-end bidirectional
communication on IPv6, allowed by the RPL, results in the topic of IoT (Internet
of Things). These have millions of communicating devices forming connections
through mesh multihop networks [18].
To protract the lifetime of the network and to supply relevant energy balancing,
this paper reviews a suggested Weight Ranking actuator. In this mechanism, we
combine three parameters namely energy consumption, Rank value and ETX. The
results show that the metric is capable of protracting the lifetime of the node by
10.24% and 14.13% in comparison to the traditional method with weights 0.5 and
0.9, respectively [14].
2.5 Enhanced RPL-Based Routing Protocol for CR-Enabled

AMI Networks (CBR RPL)
Used as a means to subdue shortfalls in wireless communication, Cognitive Radio

Technology has an important part in the upcoming numerous applications of the smart
grid especially in Advanced Metering Infrastructure (AMI) networks with Quality of
Service (QoS) requirements. [19]. These are considered to heighten the usefulness
and productivity of SGs. CBR RPL has the capability to achieve communications
that are wireless in addition to having an efficient spectrum. [20] CBR RPL is energy-
efficient over distances that are virtual so that the optimum route which is also efficient
in energy can be chosen. It also has a methodology for the protection of the licensed
primary users [21].
DMACO-RPL is known as Directional Mutation Antcolony optimization-based
cognitive RPL. An algorithm that is globally optimized is used by this protocol. It
is used for the selection of the optimum route in the entire network. This protocol
is used for AMI networks that are CR-enabled [22]. Therefore, in relevance to the
practical needs of various applications of smart grid, another protocol with two aims
is suggested: the first one is to concentrate on real-time requirements and the second
to zero in on a way to fulfil the requirements of energy efficiency. An exclusive
specification of cognitive radio technology, the protocol has a special feature that
protects the preliminary users, i.e. licensed users which at the same time fulfils
the utility requirements of cognitive or secondary users. Evaluation at the system-
level depicts that the suggested routing protocol may achieve higher performance as
compared to the conventional method [19].
In this section, review two problems or drawbacks in CR-enabled AMI networks:
real-time and energy-efficiency requirements. Thus, we review a suggested advanced
routing protocol, i.e. CRBR-PL, which is viewed as a supplement to the conventional
RPL-based routing protocol for CR-enabled AMI networks. Unlike the conven-
tional methods, which are sender-based routing protocols, the enhanced routing
protocol is receiver-based. It fully accomplishes the transmission characteristics of
wireless communications in order to decrease retransmissions and enhance the effi-
ciency regarding routing [23]. Additionally two sub-divisions of these protocols are
suggested for various applications of the smart grid. The two classes are: Class A
and Class B. Class A is used for applications that are delay-sensitive and Class B
for energy-efficiency requirement applications. Furthermore, a CTQ concept is also
integrated into CRB-RPL. This concept is used for rank computing. It guarantees
QoS while accomplishing the utility demand of the secondary network. Simulations
show that CRB-RPL can overcome the aforementioned problems while decreasing
unsafe interference to PUs. Hence, it is proved that the suggested new protocol,
CRB-RPL, supplies a feasible answer for the factual AMI networks [19].
2.6 Neighbourhood Area Networks (NANs)
NANs, i.e. neighbourhood area networks is a significant aspect of the smart grid,
which is used for the last one-mile communication. It is used in Smart Grid Commu-
nication Method (SGCN) [24]. In order to enhance the performance of NANs, a
routing algorithm technology is used. One thing that is vital for routing algorithms in
NANs is devising the routing metrics. Selecting a high-throughput way in between
a source and the goal is the main aim of the metric [25]. It is used for connecting
the customers in a residence as an aspect of communication which is termed as two
ways. This infrastructure is used for status measurement, transmission of sensing
power grid, and message control [26].
NANs have a significant role to play in the SGs since they provide deployment
which is flexible, large range of coverage, and are economical [27]. Therefore, NANs
are responsible for the right time delivery of the data for its various applications.
Proper configuration is required for the correct fulfilment of requirements of the
applications of NAN [28]. NANs are known as the vital sections of the SGCN (Smart
Grid Communication Networks) as the shoulder the responsibility of transmission
of information or messages between the utility and the meters which are very large
in numbers, to facilitate different applications of the smart grid [25].
Providing delay and throughput, which in a SGCN are the main QoS requirements,
in wireless NANs is a demanding task. Therefore, to subdue the problem, we review
a suggested technique, i.e. Priority-based Relaying technique. In this technique the
information from a smart meter is segregated into low and high priority information.
Therefore, the transferring of the prioritized data ensures that the data concentrator
receives high priority data efficiently. For simulation of the suggested technique,
we use OPNET. The results thus prove that the Priority-based Relaying technique
enhances the performance of various QoS parameters [25]. Layer-3 protocols are
used for wireless mesh NANs. Two of the most efficient layer-3 protocols are Routing
Protocol for Low-power and Lossy networks (RPL) and Greedy Parameter Stateless
Routing (GPSR) [29].
This paper reviews the comparison between the aforementioned two layer-3 proto-
cols. The comparison is done on the performance of their system and their practical
application in various NAN scenarios. The parameters for comparison are routing
path, reliability of transmission, and latency [29]. A realistic routing metric known
as a Hybrid Metric is yet another metric to be reviewed for the communication in
the NANs. Taking into consideration the resources exhausted by a packet, delays in
packet switching and interference factors, the HM efficiently improves and hence
overcomes many of the shortcomings of different already existing metrics for NAN
such as HC, ETX, ALM, and ETT [30].
2.7 Wireless Sensor Network (WSN)
Electrical transmission and Distribution Networks (ETDN) is associated with many

applications related to sensing that could make good use of WSN to raise the
numerous measured magnitudes and to attain low levels of cost. Some other proposed
gains to be attained from using WSN for various applications related to measurement
are: sensor recalibration and easy reconfigurations. Therefore, the research of WSN
thus became, successfully, a goal for DENISE, the smart grid project in Spain [31].
With respect to the maintenance parameter, some of the significant accomplish-
ments are diminution in efforts put in a certain task, expenditure, and expunction of
the wire test. An impressive reduction of setup and launching time, an upsurge in the
number of various sensors communicating with one another and aided use of batteries
are the envisioned perks related to the deployment of this network. An impressive
upsurge in the total magnitudes that a sensor can sense is also envisioned. There-
fore, in order to receive more precise values, in the process thus enhancing control
and security, we can use various source algorithms. Numerous other advantages
with respect to the use of mesh networks and AdHoc which permit the utilization
of easy methods of calibration, utilization of transferable switchgear devices, the
repeated use of devices using wireless communication for contrasting applications
and transportability of sensor devices [31].
Smart House Communication System as an integrated component of SG is in
a way WSN. It regularly uses WiFi or Zigbee as a method of communication to
transfer the data received from the power meter and thus sent to gateway [32]. WSNs
security implementation is a difficult task. This may be because of the availability of
few resources related to the sensors. The methodology for security not only focuses
on the reduction in power consumption in relation to sensor devices but also keeps
up with high dependability [33]. The WSNs are simulated by the M2M networks that
are machine to machine networks, IoT, etc. in this, in order to maintain operation
during a long period of time, the WSN must be energy-efficient [34].
For the public utility of WSNs, the data is taken and evaluated about basic day to
day utilities like water, gas, and electricity. For analysis of data, such information is
transmitted via the IoT to the monitoring central station [35]. It is desirable to use
WSNs in critical environments where dependability and delay are crucial aspects.
But such an employment is in need of stringent QoS. To provide QoS numerous
optimization and interaction based on cross-layer is provided [36].
2.8 Image Sensor Communication
As compared to the conventional method of Radio Frequency Communication, Image

Sensor Communication has a number of benefits such as security, cost of the system,
frequency interference, and consumption of power. Introducing this communication
method in a smart house converts that very house into ‘greenhouse’ [32]. Making
the use of ISC in a form of smart grid data vector method in a smart house is
potential and agreeable ac ISC is a distinct method as compared to other methods of
communication. Thus, it is safe to say that a smart house ISC is cost efficacious and
a green method [32].
2.8.1 Data Aggregation Point (DAP)
Data and information (for example information collected from the smart meters)
are transmitted to the control center or decision-making and investigation. But, the
convention Data Backhaul Network is rigid, has less reliability and finite data rates
and reportage. In this paper, we review a new SG architecture for the Data Backhaul
Network to improve both the reliability and coverage. Information regarding power
consumption and other information is transferred by the SMs via a wireless mesh
networks to a DAP in order to sustain throughput and self-healing requirements of
SG. Employment of cooperative communications, in order to transfer the data to the
center, is done by DAP. Therefore, as aforementioned, the new architecture results in
improving the dependability and coverage of the backhaul network which thus leads
to better decision-making with respect to the power supply at the center [37].
There are challenges faced in the geometric placement taken up by the DAPs in
AMIs. The challenges are communication over links that are wireless and the neces-
sity of location of the DAPs on utility poles [38]. The deployment of Aggregation
points (APs) is done in the plane of data so as to evaluate and then send it between
the control center and the SMs. Hence, methods are used to make it cost-effective
[39].
The data which is supervised by the smart meters is sent periodically to many or
only one DAPs majorly via communication using wireless techniques and thus to
select the best possible position for the DAP is hard work [40]. PALDA is Privacy-
preserving Authenticati0n for Lossless data aggregation scheme. It provides privacy
in two scenarios: assembling the sum of the usage of the energy for a smart meter
cluster and assembling the usage of energy for smart meters individually during a
specific period of time [41].
2.9 Grid Link
In java, for the execution of a distributed control system, grid link facilitates a commu-
nication infrastructure. It is an entirely scattered solution. In the grid link, the partners
communicating create a cluster while execution is carried out of known instances. It
uses a dispersed event bus whose underlining basis is an asynchronous communica-
tion model. A typical system of grid link is devised from various sets of models that
perform communication with one another with the means of transmitting messages
ad to carry out distributed applications [42].
2.10 Power Line Communication
Over the past many years, Power Line Communication (PLC) has facilitated a number
of applications of SG. But for the effective realization of SGs, safe channels of
communication are a pivotal issue. Thus, this has led to the use of security provided
by the physical layer for PLC systems. The performance of the system while using
physical layer security is assessed on the parameter: Average Secrecy Capacity [43].
An OFDR methodology stands for Opportunistic Decode and forward-based multiple
relaying methodologies. This methodology is used for advancing the PLC network
performance. In this, the relay due to known as an optimal relay, for data forwarding,
is dynamically chosen [44].
Since a large number of applications of the SG have low data needs, therefore,
it results in making the narrow-Band Power Communication Line an acceptable
technology. The aforementioned technology is sturdy and dependable as it provides
communication sans (BER) Bit Error Rate [45]. Whenever PLCs are used the grid
transforms into an actual infrastructure of information delivery [46].
In order to decrease the noise which is impulsive, we have two schemes: equalizer
and clipping. The compensation of the PLC channel effects is done by the equalizer.
To ward off the amplitude of the received input over the level of threshold, clipping
is used [47].
2.11 Feeder Automation
In certain networks, for example, the distribution network, during fault condition the
feeder automation is responsible for creating fast, automated, and real-time restora-
tion of power. The relatively newer solutions provided by the feeder automation
effectively reduce the outage time with the help of smart field-devices communicating
through a communication network, performing functions of feeder automation. The
most recent methods of feeder automation make the use of internet network utility
for the swapping of information regarding control. Therefore, many security issues
have arisen and hence measures regarding the same should be put into working in
order to protect the data communication of the feeder automation over the net [48].
The feeder automation system is highly suitable for point to the multipoint mode
of communication. The worth of intelligent distributed FA is far more due to its effi-
cient adaptability, better implementation of functions, and high-speed fault detection
process [49]. The platform PREDIS is used in one scenario for the designing of the
FA. The components present are generator, DAS, i.e. Data Acquisition System and
control that is supervised [50].
The huge SG network is segregated into three subnets in order to increase the
dependability of the distributed system. Therefore, even when one of the subnets
faces any certain challenge, we have no need to de-energize the network completely
[51]. Development of the economy has led to the increase in the demand of the
dependability of the network. Hence in order to achieve isolation from faults, Feeder
Automation is used by the system in peer to peer communication in between the
control devices and the terminal [52].
2.12 ICenS: An Information-Centric Smart Grid Network

Architecture
Of numerous SG networking architectures, the majority of them are confined to

subdomains like HAN (Home Area Network) or different sub-station networks or
are not scalable, and thus it is essential to have a comprehensive and an overarching
architecture of communication which can consider all scenarios of SG communica-
tion. Thus, in this paper, we review an integrated architecture of SG networking, i.e.
iCenS [53].
Security and Privacy. Security and privacy related to iCenS are as follows:
1. Let us assume a Public Key Infrastructure (PKI) so that the users contribute
their keys to their aggregation nodes, and thus use message authentication nodes
i.e. MAC or signatures that are not symmetric to ensure safety of data. But, the
present-day encrypting methods are relatively slow and hence may end up in
violating the deadlines imposed on-grid communications that are urgent [54].
A substitutive option is the use of MACs to prevent the injection of false data.
Source identification and confidentiality of the message are very important. As
reviewed in this paper, use of a naming scheme is done to increase privacy. In
this scheme, the prefix of the data to be sent is replaced by a hash. To fortify the
privacy of the user, aggregated profiles can be created by nodes. These profiles
do not contain the identities of its customers rather they are signed with private
keys. In case, trust cannot be placed on the aggregation nodes, the same method
can be carried out at decision-making stage [53].
2. Another way of ensuring security and privacy is to ensure availability of correct
data entities [53].
3. To Strengthen Privacy: Information of the user can be leaked or compromised, if a

compromise is made with the aggregation node. Therefore, to enhance the privacy
of identity, the use of pseudonyms in place of identities is very crucial [55]. There
are two suggested approaches to carry out the aforementioned privacy enhance-
ment that are: obfuscation of load profile with batteries that are rechargeable
at home and privacy-preserving aggregation. But these methods are too costly.
Hence, suggested architectures which make the use of condition anonymity or
k-anonymity. In this case, the load data and privacy of a user are preserved if a
user is unrecognizable from a number of k different users. Granular agent ID,
such as street/block level or a prefixed hashed ID change rapidly hence making
their implementation in this architecture easy [53].
3 Distributed Energy Management Algorithms
In this section, we will review the communication nature of the algorithms

of distributed energy management which are: Privacy-Preserving Algorithm for
Distributed Energy Management (PrivADE), COHDA, and PowerMatcher. Using
SiENA, the simulator for the SG, simulation of the aforementioned algorithms
is done using PLC, LTE technology, and broadband wired access. Results of the
simulation and evaluation are used to recommend the best algorithm for a specific
communication technology [56].
The evaluation results show that COHDA is dependent majorly on communication
that is parallel and hence has data volume high, although having convergence times to
be moderate. Power Matcher demands data volumes that are low and parallel higher
communication only. In the case of PrivADE, the technology used for communication
has low data rate and less latencies due to the message flow in sequential methodology
[56] (Table 1).
4 Detecting Anomalies
SG is a complicated system combining physical as well as logical components [57].

The physical part consists of: weather, humans, power plants, etc. the logical part
consists of the infrastructure of communication, control algorithms, and protocols.
The huge amount of factors and the communication between these factors individ-
ually results in the overall system having a highly complex nature. Thus, sleuthing
anomalies in this complex nature of the SG system demands numerous observa-
tions. Hence, an approximation framework, used to examine the stochastic process
in relation to SG, is suggested. Therefore, in this section, we review the aforemen-
tioned framework [58]. A crucial detection in the aforementioned framework is that a
meager structure, induced by these systems, allows a reduction in dimension through
schemes that are sensing like [59]. The algorithm makes the use of sparse estimation
Table 1 Proposition table

Technology Proposition
Power line communication (PLC) Algorithms associated with data volume that is low
can only be used. Time is required to access the
channel and hence results in lesser data rate than
possible theoretically. Algorithms with message flow
categorized as sequential are suitable for PLC [56]
Long term evaluation (LTE) technology In case of LTE, any algorithm can be put to use. But
other services using LTE technology will get an
impact as the network of communication, due to the
operation of an algorithm requiring high cost of
communication, is occupied [56]
Wired broadband technology It can administer every algorithm and has less
convergence time. High workload can be a result due
to parallel communication which is high as is the case
with COHDA [56]
and wavelet projection techniques to approximate the function value of the practical
system and compares it to the computer-based value function using prediction [59].
5 Applications
5.1 Electric Vehicles
With the growing inclination to curb carbon emissions and to achieve independency
from the use of oil in vehicles, various countries, are moving toward Electric Vehicles
(EVs). Equipped with devices for communication and wireless sensors, EVs are
able to create connections with the environment. This communication is limited not
only to EVs but to V2I, i.e. Vehicle-to-Infrastructure, V2G, i.e. Vehicle-to-Grid and
V2V, i.e. Vehicle-to-Vehicle. This supports a new prototype in communication and
networking in the domain of IoT (Internet of Things). Apart from conventional grids,
SGs incorporate communication, and thus EVs will collaborate with them [60].
Hence, a technique is suggested that will interface EVSE (Electric Vehicle Supply
Equipment) with utility. Therefore, in this section, we will review the methodology
which is suggested. The suggested system proposed bidirectional real-time commu-
nication and information between utility and EVSEs with the use of a cloud server.
The use of this methodology ensures the tight coupling of the utility with the load,
hence resulting in the perks to both user and the utility. The benefits include downward
force on expenditure and advanced schemes for protection [61].
The consolidation of numerous systems is a hard task because of the pres-
ence of prevalent solutions. In order to solve this consolidation problem regarding
EVSEs, an architecture based on cloud system was developed that gave advan-
tage to open protocols on the internet, which over a network connection, assisted
machine-machine interaction. This system provided coherent connectivity within
BMS (Building Management Systems), utilities and EVSEs in order to enforce
control and monitoring system [61].
Thus, we review the demand for normalization of communication and modelling
in EVANETs (Electric Vehicle Ad Hoc Networks) and their communications with the
environment like smart meter, grid and smart controller. Taking into consideration the
numerous different manufactures and the manufactured products, there is a demand
for developing a cluster of communications standards termed as smart communi-
cation standards that will be used by numerous methodologies to ensure device
seamless consolidation. Therefore, standards of communication of two domains:
IEC 61850 and IEEE Wave 1609 for substations and EVs, respectively, are consol-
idated to achieve the concept of Smart City [60]. We now review the methodology
for charging the EV. Advantages like reduced pressure on SG cost-effective, efficient
battery time and avoiding overcharging are held by the suggested method [62].
EVs are considered to be a measure efficient enough against shortages of energy
and pollution. Charging through wireless methods, no physical link is required to
form a network between SG and EVs. Thus, the EVs that are based on technologies
relating to wireless methods efficiently absorb energy that is renewable and hence
results in decreasing the large scale impact of EVs [63]. Discovery of channel with
the use of a modem is important in SGs, 2- wire and in-vehicle communication [64].
5.2 Intelligent Electronic Devices
A major advancement has been attained, with the introduction of IEDs i.e. Intelli-
gent Electronic Devices in electric substations, in terms of parameters: maintenance,
speed, reliability and expenditure. Thus, in this concept, the IEC 61850 standard is
viewed as one of the major proposition for automation of substations in SGs that plays
the electrical control network and protection digitally. However, this advancement
may have a few security issues [65].
The evolution and the execution of these devices lead to efficiency improvement
and similarly up gradation in security and dependability in SG. Programming via
open source and HNA, i.e. Hybrid Network Architecture are the methods used for
communications via the suggested IEDs. With the help of IEDs, we can achieve high
linearity, tractability, economical cost and fast response and hence results in aiding
the base for evaluation of the use of power as well as monitoring control. Hence, it
results in the development of an advanced management power system in SG [66]. In
order to start an SD (SmartDistributi0n) system, we need IEDs which are known to
be the fundamental part of the integrated DMS as well [67]. Feeder IEDs based on
IEC61850 is shown with the aid of processing of communication data. These IEDs
are used as a part of an R&D project [68]. The Phasor Measurement unit enabled
IEDs have risen in number rapidly. Data that is synchronized becomes a prominent
part of the operation of the power system. To avoid the expensive system the various
IEDs have to have a consistency which is accurate in addition to being able to upgrade
and scale in the upcoming years [79].
6 Network Utility Maximization (NUM) Based

Cross-Layer Optimization Framework
The traditional framework balances trade-offs in relation to requirements of band-

width by numerous users and the existing resources related to network. In this section,
we review a suggested enhanced NUM. The enhanced NUM assists the systems in
adjusting: delays in communication due to scheduling of the priority packet and reli-
ability of communication due to routing categorized as multipath in the existence of
outages of network [69].
Though traditional NUM framework assists in balancing distinct requirements of
the user on fixed bandwidth, integrating QoS requirements of SG is a basic issue.
Scheduling of the packages can decrease the delays in communication because of
small scale time congestion. Although outages of communication because of the
deterioration of networks that are unreliable can be extenuated with the multipath
routing [70]. A part of the data stream may be preserved by transmitting packet
streams via different routes even though some nodes in the network fail. It is practical
to enhance flexibility further than the aforementioned method with the use of routing
diverse coding, i.e. sending excess data over numerous routes. The combined use of
the aforementioned techniques, i.e. diversity coding and multipath routing assists in
the reduction in throughout of information or enhancing the delays in communication
because of existing resources of network. The approach reviewed in this paper is
trade-off balancing which requires taking into account requests of specific users.
Making an assumption that each user’s choices can be categorized by some functions
of utility [69].
7 Security
In line with the IEC 61850 standard, GEESE, is a command-line packet generating
software. In this paper, we review suggested software, i.e. GEESE 2.0, an advance-
ment from GEESE that renders a GUI (Graphical User Interface) that easily assists in
the evaluation of cyber security-related threats. Additionally GEESE 2.0 is capable
of detecting, capturing, modifying and transmitting packets in order to form various
distinct attacks to evaluate the security of the substation [65].
IPsec tunnel execution supplied data secrecy, authentication of the data origin,
authentication of peer and data integrity. These processes guard the communication
of FA data via the internet against attacks such as eavesdropping, replaying attack,
IP address spoofing, alteration of data, man in the middle attack and service denial.
Additionally, communication termed as reliable was achieved by transmitting IEC
104 messages over a connection-based transport protocol, i.e. TCP [71]. Parameters
such as scalability, expenditure, complexity and flexibility can be used to compare
to FA approaches. Safe communication of data by FA approach improves reliability
of the distributed electrical network. Therefore, mechanisms related to information
security should be considered at the time of making a choice and execution in relation
to FA approaches [48]. Communication between the central controller and numerous
sensors is shielded by protocols related to security. Algorithms that are cryptographic
are present in these protocols and thus are responsible for causing, to the sensor nodes,
an energy overhead that is heavy [72].
Cybersecurity of the SG is an important element in successful adaption at a wide
scale of the SG. The major challenge in the execution of cybersecurity is the nature of
the SG that is distributed and the mountainous number of the communicating devices
connected together [33]. The system tends to become complex due to the layer of
cybersecurity which contains information usage of power and the instructions for
control management [73].
Cyber-attacks have a scope that ranges from small scale to large scale enter-
prise networks. An agent that monitors cybersecurity weights a dependable commu-
nication network that is end-to-end in order to protect the devices on the grid
[74].
8 Comparison
See Table 2.
9 Conclusion
We have reviewed, in regard to this paper, as many as 14 different protocols commu-

nication methods in SGs. It is thus reviewed that the selection of the technique used
for communication in different scenarios is of utmost importance. Security-related
issues have been stated. Some of the applications of the Smart Grid like Electronic
Vehicles have been discussed.
Table 2 Overview of some communication techniques

Communication Coverage Application Advantages Disadvantages
technology
PLC BB-PLC: WAN, FAN, AMI 1. Low 1. Distortion of
1.5 km expenditure Channel
NB-PLC: 2. Infrastructure 2. Routing is
150 km of complex
communication 3. Difficulties due
is already to high bit rate
constituted for
SG
WIFI 300–1 km HAN, V2G, AMI 1. Network is 1. Interference is
(Depends on cheap high
versions used) 2. It has resilience 2. Consumption
of power is
high
3. QoS support is
provided
WIMAX 10–100 km AMI,WAN,FAN 1 It is 1. Network
(Depends on connection-based management is
performance) 2. As compared complex
with WIFI, it 2. Use of
has longer spectrum is
distance licensed
ZigBee Up to 100 m HAN,AMI,V2G Interoperability of 1 Bandwidth is
the latest ZigBee low
SEP 2.0 with IPv6 2. Not applicable
to large
networks
Cognitive radio Up to 100 km WAN, AMI 1. Distances 1. Licensed user
covered are interface
long
2. Performance is
high
3. Broadband
access tolerant
to faults
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FGM Composite Cylindrical Shell Panel
Analysis for Post Buckling Resting
on Elastic Foundations
and Thermomechanical Loading
Rajesh Kumar
Abstract FGM composite Cylindrical shell Panel Analysis in thermomechanical

loading for post buckling resting on elastic foundations is carried out. The technique
applied is first order perturbation with SFEM in MATLAB code. Present study is
focused on study of variations in plate thickness ratios simultaneously increase in
amplitude ratios and elastic foundations in thermal environments. Present findings
are compared with Published work and with more robust simulation. Applicability
of this study is in Aerospace Engineering.
Keywords Cylindrical shell panel · Foundations · Uncertain parameters · FGM
Nomenclature
Aij, Bij, etc Laminate stiffnesses

vf , vm Poisson’s ratio of fiber and matrix, respectively
Vm Vf Volume fraction of fiber and matrix, respectively
E 11 , E 22 Longitudinal and Transverse elastic moduli
Ki Linear bending stiffness matrix
R. Kumar (B)
Rajasthan, India

https://doi.org/10.1007/978-981-15-5463-6_33
378 R. Kumar
M, m Mass and inertia matrices

p
f, {f}(e) Vector of unknown displacements, displacement vector of eth
element
σ̄i j , ε̄i j Stress vector, Strain vector
ψ y , ψx Rotations of normal to mid plane about the x and y axis respectively
, λ, Var(.) Mass density, eigenvalue, variance
ΔT, ΔC Difference in temperatures and moistures
1, 2, 1, 2 Thermal expansion and hygroscopic coefficients along x and y
direction, respectively
1 Introduction
In this research direction, Bindu et al. [1] studied the thermally induced Post
deforming force of functionally graded material shell panel. Yang et al. [2] found
outcome of the thermo-mechanically induced post-deforming force of functionally
graded material shell panel. Shen [3] Yang et al. [4] investigated the randomness in
deforming force functionally graded material plates.
Singh et al. [5, 6] and [7] worked on Nonlinear buckling. Shen [8] found the
combined effects of moisture and temperature cylindrical shell panels.
But research is not carried out for shell with thermomechanical investigation and
supported on flexible support with uncertainties is reported in the literature up to this
time.
2.1 Displacement Field Model
Cylindrical shell panel laminate are presented in Fig. 1. Assumptions are made
FGM Composite Cylindrical Shell Panel Analysis … 379
Fig. 1 Geometric view of

cylindrical shape panel
for ceramic and matrix layered shell panel. Composite cylindrical shell panel has
diameter 2R, height h.
In ibid diagram, ū and v̄ w have usual notations. Detail modifications done in
equations are given in [9] and [10].
ū = u + f 1 (ζ )φ1 + f 2 (ζ )θ1

ζ
v̄ = 1 + v + f 2 (ζ )φ2 + f 2 (ζ )θ2
R
w̄ = w (1)
where θ1 = w,ξ1 and θ2 = w,ξ2

q = u v w θ2 θ1 φ2 φ1 (2)
where (,) denotes partial differential.
2.2 Stress—Strain Expression
kth layer description of ceramic and matrix is given in [9]. Detailed micromechanical
model approached is expressed in [11].
380 R. Kumar
Potential force are denoted by

1
u iref = Ci jkl εiref ε
j kl
ref
d − qiref u iref dΓ1 (i, j, k, l = 1, 2, 3) (4)
2
Γ1
Notations have their usual meanings.

The exact solution minimizes on the set of all kinematically admissible
func-
tions denoted by V, i.e. u ∈ V such that, V = u ∈ H 1 () : M(u) = 0 on where
M() is an operator defined by the edge condition. This yield

δ u i = Ci jkl εi j δεkl d − qiref δu iref d1 = 0
ref ref ref
(5)
1
The total potential energy due to perturbation of the system can be written as
p p 1

p p

p
δ u i = σicrj εi j d + σi j εi j d − qicr u i d1 (i, j = 1, 2, 3) (6)
2
1
where σicrj is the current thermal linear state of stress (pre-buckled) due to the critical
ref p
load q cr and is given by σicrj = λcr σi j . Upon substituting the perturbation strain εi j
from Eq. (5) and linearizing the above equation, we arrive at the following expression.
2.3 FEM Discretization

NN
NN
NN
q= ϕi qi ; ξ1 = ϕi ξ1i ; and ξ2 = ϕi ξ2i (7)
i=1 i=1 i=1
p
u i = qi K iLj q j + qi K iNj L1 q j + qi K iNj L2 q j + qi K iNj L3 q j − λcr qi K i(G)
j qj (8)
3 Governing Equations

Finding λcr and u ∈ V , u ∈
/ 0 such that is

K iLj + K iNj L − λcr K i(G)
j q kj = 0 (9)

K i j − λcr K i(G)
j q kj = 0 (10)
where, K i j = K iLj + K iNj L with K iNj L = 21 K iNj L1 + K iNj L2 + 21 K iNj L3

here K iLj , K iNj L1 , K iNj L2 , K iNj L3 , K i(G) k
j , q j are linear, non linear, geometric stiffness
matrices and displacement vector, respectively defined in appendix.
The K i j and geometric stiffness matrix K i(G) j are random in nature, A DISFOPT
finds uncertainties of Eq. (10).
This investigation used as independent input uncertain variables (RVs).
Any arbitrary uncertain part can be expressed as the sum of its expected average
and zero average. Uncertain part, expressed by ‘d’ and ‘r’, respectively.
K i j = K idj + K i j ,r K i(G) (G)d

j = Ki j + K i(G)
j ,r
λi = λid + λi ,r q j = q dj + q rj (11)
K idj and K i(G)d

j usual notations.
3.1 Mean and COV of Deforming Investigation

qid K idj + λdcr K i(G)d
j q i,r
= −λ cr,r
q d (G)d d
i K ij q j − q d
i K i j,r
+ λ d (G) d
cr i j,r q j
K (12)

λcr ,r = −qid K i j ,r +K i(G)
j ,r q j (i, j = 1, 2, . . . , n; r = 1, 2, . . . , R).
d
(13)
It may be noted again that the Eigen vector in the ibid expression is

d ∂λcr bld
λcr = λdcr bl + bl − bld (l = 1, 2, . . . ., R) (14)
∂bl
The statistics of critical load can be examined by solving Eq. (12).
4 Outcomes of Investigation
Element with 567 DOFs is investigated [9].

Standard Deviation for present investigations is given for First Order Perturbation
Technique [12].
p1 = E 11 , p2 = E 22 , p3 = G 12 , p4 = G 13 ,
p5 = G 23 , p6 = α11 , p7 = α22 ,
p8 = β2 , p9 = k1 , p10 = k2
382 R. Kumar
Critical deforming force for present investigation is taken as:
Ncrl b2
λcrl = ,
E 22 h 3
here, N crl denotes dimensional thermal deforming force. [E 22 C = 0%, T =

0 ◦ C.].
k1 = K 1 b4 /E 22
d 3
h ; k2 = K 2 b4 /E 22
d 3
h ; here k 1 and k 2 are foundation stiffness.
Other input material used as [3].
(pi ) are numbered as:
p1 = E c , p2 = E m , p3 = υc , p4 = υm ,
p5 = n, p6 = αc , p7 = αm , p8 = k1 ,
p9 = k2 , p10 = kc and p11 = km
E c , E m , υc , υm , αc , αm , k1 , k2 , kc , km and n have usual notations.

λT cr = α(T )cr × 103 , where λT cr are denoted as average post deforming
force and temperature. In the ibid expression, Ncr and (T )cr are the specific post
deformed loading and temperature, respectively. In the ibid expression (T )cr is
expressed as λT T where λT is the specific thermal loading force parameter and
T is considered as T c = 400 and T m = 300. (T c –T m ). For the mean dimensionless
postbuckling analysis of FGM plate, the dimensionless parameters λcr and λT cr are
used. While for the calculation of coefficient of variance (COV), the dimensional
mean Ncr and (T )cr are used.
4.1 Average and COV of Thermal Deforming Condition
Table 1 shows the comparison of post buckling loads of FGMs cylindrical shell
subjected to thermal loading (a/h = 100, a = 0.6, b = 0.3, R = 1,) uniform temperature
Table 1 Comparison of deformed forces of functionally graded material cylindrical shape panel
under deforming force due to thermal condition (a/h = 100, a = 0.6, b = 0.3, R = 1,), Temperature
dependent and temperature independent condition, CCCC support
N TD (Temperature Dependent material TID (Temperature Independent material
Properties) Properties)
Bindu et al. Yang et al. Present Bindu et al. Yang et al. Present
[1] [2] [HSDT] [1] [2] [HSDT]
0.0 2.9705 3.1742 2.7941 2.8606 3.7492 3.5371
0.5 2.5500 2.5941 2.4421 2.4763 2.9739 3.0909
2.0 2.0485 2.3209 2.2250 2.2243 2.6174 2.8178
10 1.6919 2.2018 2.0669 1.8301 2.4628 2.6196
Metal 1.7477 2.0284 1.8845 1.4839 2.2554 2.3578
Table 2 Deforming forced shell under thermal environments without electrical loading conditions
(R1 /h = 200, b2/R1 h = 100 and h = 1.2). SSSS support comparison
Lamina lay up Voltage Shen [3] Lal et al. [13] Present [HSDT]
(V) T = 0 T = T = 0 T = T = 0 T =
200 200 200
P/[0/90]2s 0 220.39 210.07 228.98 211.83 225.63 213.67
[45/P/-45/45/-45]S 0 268.72 250.93 270.94 253.36 271.72 248.80
distribution having TD and TID material properties CCCC support with Bindu et al.
[1] and Yang et al. [2]. It is seen that present results are in good agreements with
published work.
In another comparison is made of buckling loads for cylindrical shell under thermal
environments without electrical loading conditions (R1 /h = 200, b2 /R1 h = 100 and
h = 1.2). SSSS support as presented in Table 2. It is further seen that present results
for mean thermal buckling loads are in good agreements with published results of
Shen [3] and Lal et al. [13].
4.2 Comparative Results for Probabilistic Hygrothermal

Deformed Loading
The findings for the coefficients of variations of the deformation due to randomness
in laminates (pi , (i = 1, …, 4)) for CCCC, bi-axial compression laminate with (n =
0.2 and 0.8) and a/h = 10, is shown in Fig. 2 and validated with investigated findings
of [4] and [14]. It is noticed that Direct Iterative based SFEM gave satisfactory
Fig. 2 Comparison of 0.16

coefficients of variations for n=0.2
deforming force due to 0.14 Lal et al.[10]
Yang et al.[13]
uncertainties in structure
0.12 Present [2]
n=0.8
Lal et al.[10]
0.10
Yang et al.[13]
COV, λcr
Present [2]
0.08
0.06
a/h = 10, a/b = 1, CCCC
biaxial compressed Al/ZrO2 plate
0.04
0.02
0.00
0.00 0.02 0.04 0.06 0.08 0.10 0.12 0.14 0.16
COV, (Εc , Εm , vc , vm )
384 R. Kumar
results with the results of Yang et al. [4] using FSDT with semi-analytical approach
in conjunction with FOPT and Lal et al. [14].
Table 3 variations of (a/h), pi , {i = (1 − 11) = 0.10} on the dimensionless mean
(T crnl *1.0e + 2 and COV (λcrnl ) of thermomechanically induced postbuckling load
of FGM Cylindrical shell supported on different supports with uniaxial applied force
(N x ) for moisture and temperature R/b = 50. Fiber volume index n = 5.0, Initial
temperatures T c = 400 °C, T m = 300 °C, T = (T c − T m ), simple support (SSSS)
support boundary condition. Linear without foundations for a/h = 5.0, (T = 0 °C,
(T crl ) = 3.6983, (λcrl ) = 0.0942), (T = 200 °C, (T crl ) = 7.0029, (λcrl ) = 0.0954). It
is observed that for thick cylindrical shell supported on Winkler support the mean and
COV is higher and further increases on increase of W max /h. Mean and COV further
vary when shell supported on Pasternak support. On varying temperature the mean
and COV further changes. On increasing plate thickness i.e. for thin shells the mean
diminishes drastically to lower values, however; it is more when shells are exposed
to higher temperature and supported on Pasternak support.
Table 4 effects of rise in temperature, amplitude ratios (W max /h) and pi , {i = (1 −
11) = 0.10}. Average (T crnl) , coefficients of variation (λcrnl ) of thermomechanically
induced postbuckling load of functionally graded materials laminated composite
cylindrical shell panel supported on (k 1 = 100, k 2 = 00) and (k 1 = 100, k 2 = 10).
(N x ), a/h = 80, R/b = 70. Linear without foundations, uniaxial, for n = 5.0, (T
= 0 °C, (T crl ) = 1.5085, (λcrl ) = 0.0790), (T = 200 °C, (T crl ) = 4.3088, (λcrl )
= 0.1038). It is seen that there is rise in mean and COV increases on increase of
temperature and amplitude ratios.
5 Conclusion
Average dimensional thermal deforming force of laminated composite cylindrical

shell increases more and influenced if there is random change in E c , and E m . The
strict control of these random parameters is therefore required for reliable design.
It is also observed for similar prevailing circumstances; the thermal deforming
force varies on change of supports. The (R/b) does not influence hygrothermal
deforming force for (0°/90°) laminate.
The thermal deforming force influence is effective for higher temperature condi-
tion. Rise in thermal condition lessens stiffness, thus decreasing and weakens
structure makes it unstable.
Table 3 Effects of thickness ratios (a/h), random system property pi , {i = (1–11) = 0.10} on the dimensionless mean (T crnl *1.0e + 2 and COV (λcrnl ) of
thermomechanically induced postbuckling load of functionally graded materials laminated composite cylindrical shell panel resting on elastic foundations (N x )
for moisture and temperature R/b = 50. fiber volume index n = 5.0, Initial temperatures T c = 400°C, T m = 300°C, T = (T c –T m ), (SSSS). Linear without
foundations for a/h = 5.0, (T = 0 °C, (T crl ) = 3.6983, (λcrl ) = 0.0942), (T = 200 °C, (T crl ) = 7.0029, (λcrl ) = 0.0954)
a/h W max /h T = 0°C T = 200 °C
k 1 = 100, k 2 = 00 k 1 = 100, k 2 = 10 k 1 = 100, k 2 = 00 k 1 = 100, k 2 = 10
Mean (Tcrnl ) COV (λcrnl ) Mean (Tcrnl ) COV (λcrnl ) Mean (Tcrnl ) COV (λcrnl ) Mean (Tcrnl ) COV (λcrnl )
5 0.3 68.006 0.1502 106.8925 0.2908 128.4327 0.1557 201.8763 0.2889
0.6 70.4746 0.1545 109.8677 0.2419 133.2459 0.1568 207.8968 0.2389
0.9 74.5073 0.1675 112.5902 0.1731 141.0384 0.1631 213.6382 0.1711
Tcrl (67.289) (105.855) (127.049) (199.6633)
20 0.3 1.5180 0.0860 2.3543 0.1399 3.8360 0.0860 5.9482 0.1400
0.6 1.5693 0.0922 2.4052 0.1480 3.9648 0.0925 6.0764 0.1484
0.9 1.6545 0.1054 2.4900 0.1631 4.1808 0.1055 6.2916 0.1633
FGM Composite Cylindrical Shell Panel Analysis …
Tcrl (1.5042) (2.3406) (3.8010) (5.9134)

40 0.3 0.2012 0.0859 0.3112 0.1401 0.5498 0.0862 0.8502 0.1403
0.6 0.2080 0.0920 0.3179 0.1480 0.5683 0.0924 0.8686 0.1482
0.9 0.2195 0.1036 0.3294 0.1615 0.5997 0.1040 0.8998 0.1617
Tcrl (0.1994) (0.3094) (0.5448) (0.8452)
60 0.3 0.0608 0.0856 0.0939 0.1402 0.1710 0.0882 0.2642 0.1412
0.6 0.0628 0.0918 0.0960 0.1481 0.1767 0.0941 0.2699 0.1491
0.9 0.0663 0.1034 0.0994 0.1615 0.1865 0.1054 0.2796 0.1624
Tcrl (0.0602) (0.0934) (0.1694) (0.2627)
80 0.3 0.0259 0.0861 0.0400 0.1404 0.0739 0.0945 0.1142 0.1436
0.6 0.0268 0.0922 0.0409 0.1484 0.0764 0.0999 0.1167 0.1513
0.9 0.0282 0.1037 0.0423 0.1617 0.0806 0.1104 0.1209 0.1645
Tcrl 0.0256 (0.0398) (0.0733) (0.1136)
385
386 R. Kumar
Table 4 Effects of rise in temperature, amplitude ratios (W max /h) and random system property pi ,
{i = (1 − 11) = 0.10} on the dimensionless mean (T crnl) and COV (λcrnl ) of thermomechanically
induced postbuckling load of functionally graded materials laminated composite cylindrical shell
panel resting on (k 1 = 100, k 2 = 00), (k 1 = 100, k 2 = 10 with SSSS, (N x ), a/h = 80, R/b = 70.
Linear without foundations, uniaxial, for n = 5.0, (T = 0 °C, (T crl ) = 1.5085, (λcrl ) = 0.0790),
(T = 200 °C, (T crl ) = 4.3088, (λcrl ) = 0.1038)
W max /h (T = 0°C) (T = 100 °C)
Tcrl k 1 = 100, k 2 = 00 k 1 = 100, k 2 = 10 k 1 = 100, k 2 = 00 k 1 = 100, k 2 = 10
Mean COV Mean COV Mean COV Mean COV
(Tcrnl ) (λcrnl ) (Tcrnl ) (λcrnl ) (Tcrnl ) (λcrnl ) (Tcrnl ) (λcrnl )
0.3 2.5880 0.0861 3.9988 0.1404 5.0490 0.0892 7.8011 0.1416
0.6 2.6744 0.0924 4.0844 0.1486 5.2176 0.0953 7.9683 0.1497
0.9 2.8199 0.1049 4.2291 0.1628 5.5015 0.1073 8.2506 0.1638
Tcrl (2.5647) (3.9756) (5.0035) (7.7560)
(T = 200 °C) (T = 300 °C)
0.3 7.3922 0.0945 11.4212 0.1436 9.6257 0.1016 14.8718 0.1464
0.6 7.6389 0.1001 11.6660 0.1515 9.9470 0.1066 15.1907 0.1542
0.9 8.0545 0.1115 12.0792 0.1655 10.4881 0.1172 15.7287 0.1679
Tcrl (7.3254) (11.355) (9.5388) (14.7856)
(T = 400 °C) (T = 500 °C)
0.3 11.7569 0.1101 18.1643 0.1500 13.7931 0.1198 21.3096 0.1543
0.6 12.1497 0.1146 18.5541 0.1575 14.2538 0.1237 21.7671 0.1616
0.9 12.8104 0.1242 19.2111 0.1710 15.0288 0.1324 22.5378 0.1747
Tcrl (11.6509) (18.0592) (13.6686) (21.1862)
References
1. Rupvate B, Jagtap KR, Lal A, Singh BN (2015) Thermal post buckling analysis of functionally
graded materials cylindrical shell. Int J Modern Trends Eng Res (IJMTER) 2(7). Special Issue
of ICRTET
2. Yang J, Liew KM, Wu YF, Kitipornchai S (2006) Thermo-mechanical post-buckling of FGM
cylindrical panels with temperature-dependent properties. Int J Solids Struct 43:307–324
3. Shen H-S (2010) Buckling and post buckling of anisotropic laminated cylindrical shells with
piezoelectric fiber reinforced composite actuators. Mech Adv Mater Struct 17:268–279
5. Singh BN, Lal A, Kumar R (2009) Postbuckling response of laminated composite plate on
elastic foundation with random system properties. Commun Nonlinear Sci Numer Simul
14:284–300
6. Kundu CK, Han J-H (2009) Nonlinear buckling analysis of hygrothermoelastic composite shell
panels using finite element method. Compos Part B: Engrg 40(4):313–332
7. Pandey R, Shukla KK, Jain A (2009) Thermoelastic stability analysis of laminated composite
plates an analytical approach. Commun Nonlinear Sci Numer Simul 14(4):1679–1699
8. Shen H-S (2002) Hygrothermal effects on the post buckling of axially loaded shear deformable
laminated cylindrical panels. Compos Struct 56:73–85
9. Reddy JN, Liu CF (1985) A higher order shear deformation theory of laminated elastic shells.
Int J Engg Sci 23(3):319–330
12. Klieber M, Hien TD (1992) The stochastic finite element method. Wiley, Chichester
13. Lal A, Saidane N, Singh BN (2012) Stochastic hygrothermoelectromechanical loaded post
buckling analysis of piezoelectric laminated cylindrical shell panel. Techno press Smart Struct
Syst 9(6)505–534
Model. 10.1016
PV-Based Water Pumping
System—A Comprehensive Review
Sahil Sharma, Anuradha Tomar, and Vishesh Bhagat
Abstract Pumping system based on photovoltaic energy is a proven alternative

for farmers, who are still not connected with the main grid. In literature, over the
past two decades, a considerable, great deal of research has been carried out in this
area. Energy efficient solutions have been developed and proposed in the literature,
addressing many practical issues of such systems, like mismatching/shading, vari-
ations in irradiance level, load mismatch, motor-pump efficiency, pumping system
maintenance, maintenance and initial cost of installation. This paper gives a compre-
hensive review on the water pumping system solely based on the PV technology
which is easy to understand the present scenario, the purpose and understand the
gaps in research that are limiting the wide applications or implementations of such
PV-based irrigation systems. During the literature survey, it was realized that many
critical and practical real-field problems like diminishing water levels, low PV power
availability during early morning and late evening hours, low ROI, high maintenance
cost, optimized system sizing, selection of particular configuration/topology and high
installation cost still need attention. It was found that either these problems are not
addressed or solutions to these problems are not available in implementable form or
their feasibility analysis is still required. This paper would be helpful to understand
the status of developments in water pumping system solely based on the technology
of PV and will give a clear vision to readers for future work.
Keywords Photovoltaic (PV) · PV water pumping · PV irrigation system ·

Maximum power point tracking (MPPT) · Brushless DC motor (BLDC)
S. Sharma (B) · V. Bhagat

HMRITM, New Delhi, India
e-mail: Sharmasahil328@gmail.com
V. Bhagat
e-mail: Visheshbhagat98@gmail.com
A. Tomar
JSS Academy of Technical Education Noida, Noida, India
e-mail: Eranu28@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_34
390 S. Sharma et al.
1 Introduction
A large number of researches have been done to make the agricultural process more
easy and efficient. Several researches and experiments are performed with the use
of photovoltaic cell, fuel cells and on different types of motors to get maximum
output in the recent days. This paper gives a literature review on various researches
that are done in the area of making agricultural processes more efficient, cheap, and
sustainable in rural and isolated areas. Different techniques can be used in the future
for autonomous integration of further development. The idea behind this review is
to discuss the various type of controlling distribution of the electricity techniques;
PV panels energy harnessing and to attain MPPT with different motors; among the
loads.
Water pumping system solely based on photovoltaic energy becomes a proven
substitute for farmers, who are still not connected with the main grid. In literature,
over the past two decades a considerable amount of research funding is done in this
area [1]. Energy efficient solutions have been developed and proposed in the literature,
addressing many practical issues of such systems, like mismatching/shading, vari-
ations in irradiance level, load mismatch, motor-pump efficiency, pumping system
maintenance, maintenance and initial cost of installation. A comprehensive review
is presented, in this paper, on the pumping system solely based on PV to understand
the present scenario of the art to understand the gaps in research that are limiting the
wide applications or implementations of such PV-based irrigation systems. During
literature survey, it is realized that many critical and practical real-field problems like
diminishing water levels, low PV power availability during early morning and late
evening hours, low ROI, high maintenance cost, optimized system sizing, selection of
particular configuration/topology and high installation cost still need attention. It was
found that either these problems are not addressed or solutions to these problems are
not available in implementable form or their feasibility analysis is still required. This
paper would be helpful to understand the status of developments in water pumping
system solely based on PV technology and will give a clear vision to readers for
future developments.
2 PV-Based Water Pumping System with Various

Motor-Pump Configurations
In most commercial DC PV systems, DC motor pumps are connected directly to the

PV generators. In this connection, the apparatus works at the junction of load line
and PV array voltage-current (I-V) curve. Due to the shift of point of operating the
amount of energy lost is significant from maximum power point from generators.
To reduce this loss, a pump controller is required along with a generator and motor-
pump set. A DC PV water pump can be said a DC-DC boost converter duty cycle
PV-Based Water Pumping System—A Comprehensive Review 391
of which is based on MPPT algorithms. The hydraulics and speed of the pump is
controlled on the basis of isolation level [2].
For water pumping application by solar, various types of techniques and topolo-
gies can be used. Converter circuitry exceeds 10 and more than 19 MPPT distinct
methods of control techniques have been stated in different kinds of literature [3].
For dynamic change in conditions of irradiance and to minimize the losses, two
stage SPV fed sensorless vector-controlled induction motor can be used to obtain a
greater significant amount of increase in efficiency especially during cloudy weather
conditions [4].
An open-end winding induction motor (OEWIM) is the type of single phase induc-
tion motor. The dual-inverter-fed OEWIM drive can replace the three-level inverter
because it requires less voltage on DC bus. This kind of arrangement in PV modules
avoids large strings and improves performance with larger operating voltage to work
with. It also reduces ratings of switching DC and DC-link capacitors. Hence, the
system does not need large number of sensors [5]. Induction motor with open-end
winding with dual inverter can be a reason for a single-stage PV system. Conven-
tional three-level counterpart consumes high PV voltage relative to a three-level dual
inverter. This will result in reduction of capacitors voltage rating and semiconductors
and avoid the large string of PV modules according to system requirements. It may
further reduce the cost of the system. An integrated algorithm to control SAZE PWM
techniques and MPPT is used to operate. The SAZE PWM avoids the zero-sequence
current. Forcing the system to work toward voltage region of PV curve can maintain
system stability, as proposed in algorithm [6].
A vital role is played by DC-DC boost converter in efficiency enhancement of
SPV array and BLDC motor that includes power control. PWM linked with voltage
regulator controls the speed of BLDC motor. It offers cost-effectiveness, compact-
ness, and simplicity. The standard one operates at 20% solar irradiance successfully
[7]. Obtained from variable SPV input and maximum power from a regulated DC
output is tracked with negative output of DC-DC LUO converter, PI controller is
utilized to regulate LUO converter and modeled PV array with single diode [8].
The extracted optimum power from PV array, an lNC (incremental conductance)
method is productive if used as adjusting duty of boost converter in between array
of PVs, VSL, track MPP (maximum power point), The pump is operated in control
mode of vector with the PMSM. PMSM is best suited for water pumping using solar
PV and has an advantage of low maintenance, high reliability, low torque ripples,
low7 noise, long life and high torque to weight ratio along with high efficiency [9].
Zeta converter can be used in between DC-DC converter, and SPV array is used to get
the maximum power available. BLDC motor gets a soft starting from Zeta converter
through INO-MPPT algorithm to drive centrifugal water pumping. Zeta converter
includes output current to be continued, unlike buck-boost converter. Continuous and
ripple free is obtained by output inductor. However, to get a smoothen input current
a filter with small ripple filter is required [10].
One of the most generally used power ranges in industries are pulse width modu-
lated (PWM) and voltage source inverters (VSIs). Studies on different types of multi-
level VSIs are stated in many kinds of literature with better output voltages and
smaller. Open-end stator is a better approach to be conventional delta-connected/star-

connected stators, and it improves output voltage and suppresses common-mode
voltages [11]. It was found that a simple control can be used for driving PV pump
inverter having maximum power point tracking (MPPT) at maximum power point
(VpV@Pmax ) in every light intensity can pump 104,504 L in 9 h (8.00 AM–5.00 PM)
approx [11].
A space vector modulation control strategy is used for sensorless direct torque
motor control. It includes some major advantages in fewer requirements of motor
parameters and simple control [12]. An SVRM is used because of its structural
integrity of the rotor and does not have any winding or permanent magnets. This
type of motor is cheaper, simple relative to other motors [13].
Different types of motor drives, such as permanent magnet brushless DC motor
(BLDC), permanent magnet synchronous motor (PMSM), permanent magnet DC
(PMDC) motor, and induction motor (IM), are used to drive the water pumping.
BLDC motors have major purpose for the water pumping system as its efficiency, reli-
ability, and torque/inertia ratio. For water pumping system with CSC converter in SPV
array to control BLDC motor is widely used [14]. Making electrical machines work
by solar energy is an increasingly major attraction for many engineers, researchers,
and scientists because of its sustainability clean and silence considerations. The
maximum energy utilization and great efficiency are important [15].
Permanent magnet brushless DC (BLDC) motors are expected to offer induction
motors because they provide high efficiency and robust structure in remote areas
compared to any other. A brushless DC motor of semi-modular dual-stack (SMDS)
spoke type was introduced to work of a deep bored well electric submersible pump
(ESP) which can be powered by PV. This proposed motor was able to concentrate
a good amount of flux without disturbing rotor ruggedness and low cogging torque
advantage [16]. The speed of generation of (V/f) control scheme can be controlled
with PWM frequency and pump affinity law. This control scheme is used with a
boost converter [17].
3 PV-Based Water Pumping System with Various

Converter Configurations
PV panels system has two elements, battery and 3 – Ø induction motor. The voltage
from the PV panel is sent through boost converter to the inverter. A bidirectional
converter is used for battery charging and discharging. Obtaining maximum effi-
ciency in these systems is our prior motive. The efficiency of motor can be increased
by using Rosenbrock method. The PV MPPT is done by P and O algorithm [18].
The permanent magnet centrifugal pump is driven by a boost converter that uses
constant voltage MPPT (CVMPPT) technique. To achieve PMDC motor demand,
seven modules of 1 kWp polar PV array are connected in parallel [19].
A boost converter is required in between two components that are solar PV panel
and pumping motor. A constant voltage is maintained by changing the boost converter
duty cycle. To minimize the usage of fossil fuels, an alternative voltage source is
required. PV water pumping is highly suitable and efficient and remote sites are best
suited where energy requirement is in between small to moderate. The efficiency of
the permanent motor is higher than an induction motor. PV system building blocks
comprises of solar cells or PV. PV cells are connected in series and parallel to
increase output. This connection is known as PV modules. Output voltage of PV
array can be increased by use of DC-DC boost converter. And, then insulated gate
transistor (IGBT)-based voltage source inverter (VSI) is used for AC-DC conversion
and connected to pumping water [20].
Without using any batteries bipolar the converter drives three motors directly
from PV energy. Using a current-fed multi-resonant converter, a system is developed,
which is also known as a resonant two-inductor boost converter (TIBC) along with a
full bridge three-phase voltage source inverter (VSI). A result is obtained at a rated
power of 210 W, for a DC-DC converter, efficiency is 91% and the efficiency of
three-phase VSI is 93.64% [21].
Designing a buck-boost converter which is fed from SPV array was required,
which can work on a switched reluctance motor (SRM) drive. An infinite incrimina-
tion of conductance (InC) is facilitated by continuous conductance mode (CCM) of
buck-boost converter and also reduces stress on converter component [22]. A better
power is extracted from PV units by the proposed MISO converter under mismatching
conditions. This reduced the power losses under partial shading or mismatching of
parallel connected PV module and improved power. There is no need of any blocking
diode and bypass diode in proposed system configuration [23].
There are many other buck-boost converters present, but one unique member
of this family is canonical switching cell (CSC) converters which is capable of
regulating voltage at its input terminal. Switched reluctance motor (SRM) has high
starting torque and better options to use water pumping system which is fed from
solar photovoltaic (SPV) array because it is reliable, cost-less, and has wide speed
range operation. SRM winding excitation runs on voltage pulses. The midpoint SRM
converter has less power loss, and low-frequency switching is easy; it also offers high
range speed [24].
By combining buck-boost and buck converter, the desired converter is formed.
This integration improves the conversion efficiency and also reduces repeated power
processing. Three tasks can be performed simultaneously with only one transistor;
they are MPP tracking, constant rate pump driving, and battery charging. To get
MPPT and output voltage regulation duty cycle, variable frequency control is required
which can be obtained by operating two inductors in different modes. An efficiency
of 92% is confirmed at 14 W laboratory experimental prototypes [25].
The basic system comprises of two 1 kW PV generators, two MPPT power
adapters, and 1.5 kW/220 V/50 Hz induction motor. The function of the DC-side
inductor filter is to filter out the DC ripples and allow its control. While performing
the AC-side of the inverter, capacitive filter in three Y-connected capacitors makes
some resistance for the induction machine [26].
Water pumping by photo voltage is gaining a huge range of attention because of

its everlasting energy source. To achieve the highest efficiency, BLDC motor needs
to be soft start and the buck booster needs to fit in between voltage source and PV
array by proper control. Regardless of physical loads like connected load, DC-DC
buck-boost converter, irradiance and temperature allow only follow-up maximum
output [27].
For solar water pumping system, a boosting capable of new quasi impedance
source inverter was proposed in [28]. Quasi impedance source inverter with extended
self-boost is expandable and increased boosting potential. The self-boost inverters
boost the PV modules output and also reduce the number of PV panels.
4 Maximum Power Point Tracking Methods
MPPT techniques are necessary because PV arrays produce a unique point of opera-
tion where power is maximum and shows nonlinear voltage-current characteristics.
Perturb and observe (P and O) MPPT algorithms are used to track maximum power
point (MPP) with the help of a DC-DC boost converter [29]. In between SPV array
and a 3 – Ø voltage source, a boost converter was employed. This is done to operate
SVRM (synchronous motor) efficiently and also to obtain maximum power from
SPV. Under changing physical weather conditions, boost converter through MPPT
algorithm by incremental conductance, the low cost, rugged structures, and minimum
winding loss makes the importance of usage of SVRM [30].
MPPT controller is very important while working with photovoltaic water
pumping systems. An MPPT makes sure that the PV works at its maximum power.
A searching algorithm with an artificial neural network (ANN) is used to get the
MPPT. The duty cycle of a buck booster with load impedance is controlled by PWM
signal coming from an ANN controller which uses the input signals from speed of
the DC motor and PV generators output power. This process maximizes the motor
speed, and thus, water discharges at a high centrifugal pumping rate [31].
Two different types of MPPT for photovoltaic water pumping loads methods were
performed to obtain the most efficient algorithm for KC-120-1 PV module (source),
Kyocera SD 12–30 solar pump (load) and storage tank (storage). Based on system
error and water flow rate, perturb and observe (P and O) and fuzzy technologies are
used before and after. An MPPT technique is used to get the MPP operations under
variable atmospheric conditions. Perturbation and observation (P and O) algorithms
and incremental condition are most widely used. Maximum power point is achieved
in P and O by perturbation. In PV system, an MPPT controller uses a sliding mode
control scheme (SMC) for its working in standalone condition [32].
Pumping system is applied with the proposed MPPT. A system is built using
centrifugal pump DC motor, boost converter, and a solar generator. The output is
analyzed by the ANN controller which shows a great improvement in terms of power
extraction and efficiency. The results of perturb and observe controller and ANN
method are compared; the water pumped gain by ANN method is higher [33]. The
three-phase induction motor is driven at a point of MPPT of the PV system to drive

a pump. 3 – Ø inverter and DC-DC boost converter is connected with PV generator
and motor for power conditioning. A real global MPP is obtained correctly and
quickly with the proposed MPPT algorithm [34]. Widely used algorithms to achieve
MPPT are artificial neural network (ANN) and adaptive neuro-fuzzy inference system
(ANFIS) [35].
5 Hybrid PV Water Pumping System
To achieve high penetration which is feasible and realistic, a pump and battery are
combined together. A supervisory controller is needed to manage the difference
between maximum energy capture and energies consumed [36]. The proposed system
in [37] consists of three main major parts and can be classified as (a) power electronics
interfacing, (b) MPPT technique and renewable energy power generation sources (i)
Proton exchange membrane fuel cell (ii) Solar PV system.
In the comparison, it was observed that the photovoltaic/thermal solar hybrid
system works with an efficiency of 14 and 15% for the tube-and-sheet collector
and channel hybrid collector works at 10.5% efficiency. Tube-and-sheet collectors
are more preferred over the channel hybrid water collector. For basic use of water
pumping, a tube-and-sheet collector (with an active surface of 0.87 m2 , well depth of
50 m) can extract around 7.9 m3 /day, whereas the channel water collector can only
extract 3.4 m3 /day [38]. Hot water tanks are most commonly used to store energy and
have negligible costing. It is commonly used as energy storage technology. Electrical
water heaters can be used along with the solar thermal heat in most region of the
globe. However, during day period solar thermal collectors operate without the use
of any electrical power [39].
6 Conclusion
Since last two decades, PV-based water pumping system is being explored by various
researchers with the objective of increasing the availability of drinkable water,
turbulence-free water pumping, increase in yield outcome, addressing the issue of
variations in rain cycle, etc. Various types of system configurations were proposed
in the literature, including both MPPT and non-MPPT operation of solar; however,
a clear comparison is still lagging. In this paper, a compressive review of PV-based
water system is presented considering various factors like type of motor pump,
converter configurations, and MPPT method applied. It is observed that a bench-
mark in PV-based water pumping is required so that techno-economical selection of
system components becomes feasible.
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Economic Analysis of Battery Swap
Station for Electric Three Wheeled
Vehicle
Devanshu Grover, Ishan, Shubham Bansal, and R. C. Saini
Abstract This Statistical article underlines the economics for the sustenance of an
Electric Vehicle ecosystem and battery swap station using the deductive method of
economic analysis. The maximum range of an Electric Vehicle is limited and charging
the battery requires a considerable time thus swapping of battery stands to be a viable
option. Ii-ion batteries have limited life span hence the cost of repurchase of battery
will raise the operating cost of Electric vehicle. By removing the purchase of new
battery from the equation after the end of its life cycle, the cost of ownership will
decrease and the sales of Electric Vehicles can be significantly raised thus making
a bankable model from dealer’s point of view. Therefore a sound swapping ECO-
SYSTEM is inevitable for the sustenance of the Electric vehicles. The Government of
India is encouraging development of infrastructure for Electric vehicles, increasing
stakes for a much feasible system is proposed further in the paper.
Keywords Electric three wheeled vehicle · Battery swap station · Swapping

outlet · Deductive method of economic analysis · Local hotspot · Encrypted
batteries · Swapping eco system · Travelling pattern
D. Grover (B) · Ishan (B) · S. Bansal (B) · R. C. Saini (B)

Maharaja Agrasen Institute of Technology, Rohini, Delhi, India
e-mail: devanshu11grover@gmail.com
Ishan
e-mail: ishan4937@gmail.com
S. Bansal
e-mail: shubhambansal741@gmail.com
R. C. Saini
e-mail: rakeshchandersaini@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_35
400 D. Grover et al.
Table 1 Newly registered

Cities No. of autos
ETV’S in various cities
Delhi [8] 14,110
Mumbai [9] 92,240
Pune [9] 15,456
Chennai [10] 8635
1 Introduction
EVs have started making their space in Indian automotive sector however the absence
of requisite substructure for refuelling EVs is still absent. Infrastructure is one of the
essential element to accelerate the adoption of EV’s in India. Government of India
has launched various guidelines [1] to enhance the charging infrastructure. Recent
approval of Faster Adoption and Manufacturing of Electric Vehicles in India Phase
II scheme [1] highlights government increased focus on public sector transformation
into electric. India holds a diverse automotive sector in which the primary players
that bear the major load of public transportation are autos and buses. The charging
setup loses its valour when the insight of converting auto rickshaw (ETV) segment
into electric comes into play. We need to address the problem that the adoption of EV
will only be possible if we stop finding the solution for automotive sector as a whole.
Each segment of automotive segment of India demands a unique solution thus India
needs to take steps forward in developing distinctive segment specific infrastructural
solutions. As cited previously the ETVS (as per Table 1) segment being the primary
player that reduces the load of public transport thus it demands an eccentric solution.
In this paper applying the deductive method of economic analysis we have proposed
the economics of battery swapping eco system for ETV’s.
2 The Deductive Method for Economic Analysis
2.1 Perception of the Problem to be Inquired into
Electric Vehicles (EVs) are the future of transport and they will replace Internal
Combustion Engine (ICE) based vehicles. India needs to evolve new approaches
to build an EV industry to sustain EV Eco System which encourages affordability,
reliability and enhances the efficiency of EVs. The sustenance of EV eco system
demands consumer performance and price expectations through government and
industry collaboration.
Though there has been considerable efforts to setup charging stations but they hold
a significant drawbacks like charging takes more time and large space is required to
setup a charging station. The setup of charging station will destabilize the current
ICE vehicle refuelling scenario. Fast chargers solves this problem to some extent.
Economic Analysis of Battery Swap Station … 401
These chargers would provide 50% of the total recharge in just 10–15 min [2] which
is significantly more when compared to average refuelling time per vehicle at a fuel
station. The expected life span of a 3 KWh Li-Ion battery is 2000 life cycles or
3.42 years [3] and the legal life span of vehicles in India is 15 years [4]. The cost
of battery dominates the total cost of an electric vehicle as well as multiple battery
purchase by the owner of EV further increases the burden on the owner thus making
adoption of EV ecosystem less sustainable thus here we aim to solve this problems by
defining a model of Battery Swap Station (BSS) which focuses on various prospects
of ETVs such as their travelling pattern, range and life span.
2.2 Defining of Terms
2.2.1 Battery Swap Station (Swapping Outlet)
Battery swapping is the only unique available solution to sustain EV eco system. This
model is in coherence with petrol station where the depleted tank is refuelled with
the required mileage similarly in the swap station replacing the discharged batteries
with the fully charged one. The swapped batteries are owned by the EV stations thus
giving a sense of independence to the EV owner from the procurement cost of buying
new battery after the end of its lifecycle. The batteries are rented by SO (SWAPPING
OUTLET) on a predefined agreement between manufacturers, customers and the SO.
The discharged batteries can be replaced by the charged one at the SO outlet. The
SO can be setup in the similar manner as present day fuel station. The swapping of
batteries at SO takes similar time as taken in refuelling the vehicle at present day
fuel stations. The SO will only be providing service to the vehicles with which an
agreement has been framed between the SO and manufacturers (For present model:
Auto-Rickshaws). The charges would be levied on KWh consumption of the battery
by the vehicle. The batteries used would be tamper proof and encrypted. These
encrypted batteries communicate with swapping machines at SOs.
The encrypted batteries can only be installed in a predefined vehicle and can
only be charged at a predefined SO outlet. Thus preventing exploitation of these
batteries due to inadequate charging or various other non-specified usages. The
encrypted batteries transfer the consumption data, Time of swapping, Serial number
of the vehicle in which it has been swapped and the remaining life of battery. These
data sets are stored in universal servers used across SO’s. The SO charges the battery
at prescribed constant current, constant voltage and at required temperature, thus
ensuring maximum life of the batteries.
2.2.2 Guidelines for Setting up of Battery Swap Station
1. The land for setting up of battery swap station will be acquired considering the
present fuel station land allocation policies of government of India.
2. The swap station should meet norms/standards/specifications made by power

ministry of India.
3. The chargers used for charging batteries should conform to the International
standards.
4. The procedure for selection of location of battery swap station in a considered
space are as follows:
a. Identification of local hotspot (area with high density of auto rickshaws)
within the considerable space.
b. Division of considered space (the region under analysis) into various smaller
sub regions (average travel radius of auto rickshaws in a particular hotspot)
and allocating one swap station in that sub region.
c. To know the definite no. of battery in that swap station the distribution pattern
of the vehicles in the considered region is studied.
5. Thus considering the procedures cited in point 4, the intertransportation cost of
battery between swap stations in sub region can be considered negligible.
6. Additional 5% of the total battery stock available is kept as buffer for
miscellaneous circumstances.
2.2.3 Infrastructure Cost
Infrastructure cost includes following costs:

a. Cost on setup of air conditioning unit used to maintain appropriate temperature
(25 °C) for maximum battery life.
b. Cost on setup of Information technology used to manage swap station.
c. Material cost for building infrastructure.
d. Fire safety equipment.
All the above mentioned cost are variable and depends upon the region where the
battery swap station is going to be setup hence an average is taken and infrastructural
cost is assumed as 4 times the cost of no. of chargers.
2.2.4 Workforce Required and It’s Cost Analysis
• A swap station will generally have 8–10 swap points on which battery can be
swapped.
• Thus it will require around 6 unskilled workers.
• 2 skilled Technicians are required.
Considering the current minimum wage rate [5] issued by ministry of labour
and employment, government of India, The per day wage for the workers swapping
batteries will be Rs. 373 and for technician it is Rs. 527.
Fig. 1 BNEF battery cost forecast
2.2.5 Battery Cost and Its Life Span
• Cost:
According to BNEF forecast the battery cost is $200/kWh. Therefore for 3 kWh
battery the cost will be Rs. 42,000 and for 500 batteries the cost will be Rs. 2.1 crore.
As per standard interest rate (11.3%) compounding the above principle value for a
tenure of 5 years, cost of battery will come out to be Rs. 55,168 (Fig. 1).
• Life span:
According to the paper titled “Comparison of Lead Acid to Lithium-ion in Stationary

Storage Applications” Published by AllCell Technologies LLC in March 2012. We
found that nominal life cycle for Li-Ion battery is 1500 lifecycles and considering 1
charge discharge cycle per day the total lifespan of battery comes out to be 4.10 years
(Fig. 2).
2.2.6 Range of Electric Auto Rickshaws
Based on the data selected from the various manufactures of electric auto rickshaws
in the market, an average range is assumed to be 70 km (Table 2).
Fig. 2 Battery life cycle versus capacity
Table 2 Comparative
Company Battery Range Charging time
analysis of specifications of
specification
various electric auto
rickshaws in the market Mahindra treo 3.69 kWh 85 km 2 h 35 min
yaari-HRT [11] Li-Ion
Clean motion 3.68 kWh Up to 80 km 4–5 h
zbee [12] Li-Ion
GMW smart 4.8 kWh 110 km 3h
auto [13] Li-Ion
2.2.7 Charging Pattern of Batteries in a Swap Station
The paper titled “electric vehicle battery swap station” [6] conducted the result on
the scheduling technique for swapping the battery at swap station and the following
results was achieved:
Number of batteries = 12 batteries
Charging time of each Battery = 4 h
Number of chargers required in a swap station = 4 chargers
Thus following the same pattern of scheduling,
Number of Batteries = 500 batteries
Charging time of each Battery = 4 h
Number of chargers required in a swap station = 170 chargers.
2.2.8 Cost of Charge
The cost of charger is Rs. 18,000 excluding taxes (Table 3).
2.2.9 Electricity Cost Analysis on Charging at Swapping Outlet
• For 72 V Li-Ion battery an 81.6 V charger will be required.

• The charger is 1C rated.
Table 3 Charger specification [14]

Charger type Charger connectors Rated voltage No. of charging points/no. of
connector guns(CG)
Slow/moderate Bharat AC-001 (10 kW) 230 V 3/3 CG of 3.3 kW each
• According to BSES Rajdhani power limited tariff schedule 18–19, the price per
unit is Rs. 7.5 [7].
• The average charging time of a battery is 5.20 h.
• Number of units consumed by charger = 81.6 * 8 * 5.20 = 3.394 units
• Thus cost of electricity per battery = 3.394 * 7.5 = Rs. 25.4592
2.2.10 Air Conditioning Cost Analysis of Swapping Outlets (so)
The 10% of the total cost of charging is dedicated to maintain the temperature
prescribed for efficient charging in the battery warehouse.
Thus Air conditioning cost per battery = Rs. 2.54.
2.2.11 Depriciation Cost
Straight line depreciation is the method used to find the carrying amount of a fixed
asset evenly over its useful life. It is used when there is no particular pattern to the
manner in which an asset is to be utilized over time. The straight-line calculation
steps are:
• Determine the initial cost of the asset that has been recognized as a fixed asset.
• Subtract the estimated salvage value of the asset from the amount at which it is
recorded on the books.
• Determine the estimated useful life of the asset.
• Divide the sum of step (2) by the number arrived in step (3) to get annual salvage
depreciation rate.
Initial cost of battery = Rs. 55168
Salvage value of battery = Rs. 2758
Useful life of battery = 4.10 years
Depreciation cost/year = (55168 − 2758)/4.10
.
= Rs. 12,782
2.2.12 Salvation Cost
The battery packs in EVs reach end of life with 70–80% of their initial capacity
and power remaining. These batteries can have various other uses mainly as storage
batteries in micro grid, as UPS, as integration with sources of renewable energy like
wind, solar or as batteries in data centre. Capturing this value would have the effect of
reducing the repurchasing cost of EVs battery. Residual value varies due to various
factors which may include ultimate end use applications market price for new battery
storage, electricity cost, value of use of battery across varied geographical region and
maturity of energy market. The present battery reprocessing setup available are:
1. BAE systems HDS
2. BMWi
3. Green charge network.
Taking this in consideration the battery pack can be considered a cash flow gener-
ating asset whose value derives from the ability to provide service to an end user thus
considering all above factors the minimum salvation value for the depleted battery
pack can be assumed to be 5% of initial cost.
Thus, salvation value for the depleted battery pack is 5% of initial cost.
2.3 Economic Analysis of Model
See Table 4.
3 Conclusion
A Battery swapping service should be efficient, reliable, viable, cheap, quick which
requires a concrete infrastructure. A charging station can offer space only to 5–7
vehicles at a time at most and each vehicle will take approximately 2–4 h for full
charge. Integrating this to the span of whole day the charging station will only be
able to serve maximum of 40–50 vehicles per day thus it will not be able to cater the
mobility need of growing and fast moving cities. The only solution to this is a battery
swap station which can serve one vehicle per minute. Secondly a swap station will
reduce the range anxiety rather provide infinite mileage.
The adoption of swap station was facing a chicken egg dilemma, the consumer
wants fuel for the EV and the manufacturer wants consumer to buy EV thus By
bringing swap station in the equation an ecosystem for EV can be setup and main-
tained. The consumer is happy getting mileage of 0.62 p/km, manufacturer is happy
as the vehicles manufactured are getting a swapping infrastructure eventually a large
market and the dealer at the swapping station is happy because of his significantly
large margin.
Table 4 Economic analysis

No. of battery at each station 500
of model
No. of charger at each station 170
Battery size in kWh 3
Battery cost per kWh (in rupees) with interest 18389
Battery investment per station (in rupees) 2.75 Cr
Buffer stock for battery 25
Buffer stock for charger 10
Battery lifetime in cycles 1500
Battery lifetime in years 4.10
Interest cost 11.3%
Battery depreciation cost per year (in rupee) 12782
Total travelling range of auto (in km) 140
Range per charge (in km) 70
Vehicle mileage (Wh/km) 42.85
Total charger cost (in rupees) 10.2 lac
Time taken for charging (in hr) 5.20
Other infrastructure cost (in rupees) 40.4 lac
Units used for charging one battery per day 3.394
Cost of electricity per unit (in rupees) per day 7.5
Cost of electricity per battery charging (in rupees) per 25.4592
day
Cost of air conditioning per battery (in rupees) per 2.54
day
Total cost of electricity per battery (in rupees) per day 27.99
No. of unskilled labour + No. of technicians 6+2
Total wages per day (in rupee) 900
Cost of battery per km (in rupees) 0.25
Cost of charger per km (in rupees) 0.0097
Cost of infrastructure per km (in rupees) 0.038
Cost of electricity per km (in rupees) 0.199
Cost of labour per km (in rupees) 0.0128
Cost of buffer battery per km (in rupees) 0.0125
Cost of buffer charger per km (in rupees) 0.00057
Total cost per km (in rupees) 0.522
Dealer’s margin (%) 20
Rate to the customer per km (in rupees) 0.627
References
1. Government of India ministry of power (2018) Charging infrastructure for EVs—guidelines

and standards, no. 12/02/2018-ev, Government of India ministry of power, Dec (2018). https://
powermin.nic.in/sites/default/files/webform/notices/scan0016%20%281%29.pdf
2. Bansal P (2015) Charging of electric vehicles: technology and policy implications. J Sci Policy
Governance 6(1):1–20
3. Keil P, Schuster S, Lüders CV, Hesse H, Arunachala A, Jossen A (2015) Lifetime analyses
of lithium-Ion EV Batteries. In: 3rd Electromobility challenging issues conference (ECI),
Singapore, 1–4 Dec 2015
4. ARAI (2014) Automotive industry standard end-of-life vehicles draft, AIS-129/F4 end of life
vehicles-, ARAI
5. Ministry of labour and employment (2018) Government of India—minimum wage rate issued
on 28/09/2018, Ministry of labour and employment
6. Mahoor M, Hosseini ZS, Khodaei A, Kushner D (2017) Electric vehicle battery swapping
station. arXiv preprint arXiv: 1710.06895
7. BSES Rajdhani power limited (2019) Electricity tariff schedule 18–19, BSES Rajdhani power
limited. https://www.bsesdelhi.com/web/brpl/know-your-tariff
8. RTO Delhi (2018) Total vehicles registered in Delhi in 2017–18, RTO Delhi. http://transport.
delhi.gov.in/content/few-interesting-statistics-five-year
9. Transport Department Maharashtra (2018) Category wise and office wise number of vehicles
newly registered during 2017–2018 in Maharashtra State, transport department Maharashtra.
https://transport.maharashtra.gov.in/Site/Upload/GR/Statistics%20Information-2017-18.pdf
10. Government of Tamil Nadu (2018) Newly registered vehicles, Government of Tamil Nadu.
http://www.tn.gov.in/sta/newreg.html
11. Mahindra and Mahindra Pvt Ltd (2019) Mahindra treo specifications, Mahindra and Mahindra
Pvt Ltd. http://www.mahindraelectric.com/vehicles/treo-electric-auto/
12. Clean motion Pvt Ltd (2019) Clean motion zbee specifications, Clean motion pvt Ltd (2019).
https://cleanmotion.se/zbee/specification/
13. Gayam motor works (2019) GMW smart auto specifications, gayam motor works. http://www.
gayammotorworks.com/product/urban-et-3-wheeler/
14. Government of India Cabinet (2019) Cabinet approved scheme for FAME India Phase, II,
Government of India Cabinet. https://dhi.nic.in/writereaddata/UploadFile/publicationNotific
ationFAME%20II%208March2019.pdf
Optimization of Inlet Swirl for Flow
Separation in Annular Diffuser
Hardial Singh and B. B. Arora
Abstract The flow development characteristics and its performance have been
studied with the help of computational fluid dynamics with various inlet swirl angle
inside the parallel hub axial annular diffuser having an equivalent cone angle 15° for
area ratio 2. The analysis predicts the effect on Non-dimensional velocity profile,
streamline velocity, static pressure recovery on the casing wall, and reversal of flow
on the diverging part of the diffuser. To predict the optimum inlet swirl angle encoun-
ters the optimum performance with no flow separation either on hub or casing wall.
The results reveal that increasing the inlet swirl angle leads to distortion of the
longitudinal velocity profile at the diffuser exit.
Keywords Annular diffusers · Non-dimensional longitudinal velocity · Inlet swirl
Nomenclature
AR Area ratio
L Diffuser length
x/L Non-dimensional axial length
θ Wall divergence angle
Cp Pressure recovery coefficient
P Static pressure
y/Ym Non-dimensional radial length
ï Diffuser effectiveness
H. Singh (B) · B. B. Arora

Department of Mechanical Engineering, Delhi Technical University, Delhi, India
e-mail: hardialsingh3@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_36
410 H. Singh and B. B. Arora
1 Introduction
The diffuser is a mechanical device which converts the kinetic energy of flowing
fluid in term of pressure energy due to the diverging cross-section along the length.
In numerous engineering, application diffusers are used to slow down the flow due to
that dynamic pressure convert in static pressure. The major applications of the diffuser
are gas turbine engine, combustion chamber, centrifugal compressor, ramjets and the
inlet portion of a jet engine. The efficiency of the system can be increased signif-
icantly by improving the static pressure recovery. In turbomachinery, an optimum
diffuser is essential for good performance of the system. The state and development of
the turbulent boundary layer have a considerable influence on diffuser performance.
The optimum design and geometry of diffuser depend upon the dynamical parameter
and inlet boundary conditions that play a vital role to achieve better performance and
boundary layer growth inside the diffuser. Geometrical parameters such as equivalent
cone angle, area ratio, length, angle of divergence, aspect ratio etc. are important to
determine the optimum geometry of the diffuser, whereas the Fluid dynamic parame-
ters such as inlet velocity, blockage factor, velocity profile, turbulence level, Reynolds
number, Mach number, flow pulsation, and inlet swirl helps to understand core flow
phenomenon and diffuser performance. It was well demonstrated that diffuser of
annular type are complex in nature as besides other parameters the inner wall of
the diffuser comes into existence, which enhances the complexity Flow through the
annular diffuser is characterized by boundary layer growth rapidly, leading to various
degrees of irregularity in the flow pattern, non-uniformity of the velocity profile, total
pressure loss, instability and recirculation if the flow separates [1]. Worked on the
hundred different geometries having diverging center bodies conically with an inlet
radius ratio of 0.5–0.7. The characteristics performance had predicted based on the
free discharge of diffuser with a thin boundary layer [2]. Investigated the perfor-
mance of an equiangular annular diffuser with a thick and thin velocity profile at the
inlet. It was shown that performance was better for short diffuser with a thin layer
[3]. Worked on the annular diffuser with a series of inlet swirl angle between axial to
46° swirling flow. It shows that peak pressure recovery obtained at the high outward
cant angle as the inlet swirl angle increases [4]. Evaluated the performance with
the naturally fully developed flow at the inlet in an annular diffuser to measure the
recovery of pressure and total pressure loss along the diffuser passage [5]. Worked
on four different equivalent cone angles in parallel hub annular diffuser using a finite
difference method to predict the velocity profile, pressure recovery coefficient and
effectiveness experimentally as well as computationally is quite satisfactory. In the
second case increases the turbulence level at the inlet due to that gain in pressure
recovery of up to 20% and increases the total pressure loss [6]. Predicted the sepa-
ration of flow on the midway in a plane diffuser followed by reattachment in the
tailpipe [7]. Evaluated the performance of eight annular straight wall diffusers with
different inner and outer cone angles and swirl angle varies from 0 to 44°. It was
shows that as the swirl angle increase beyond the 25° separation occurred on the hub
due to that flow becomes unstable [8]. Analyzed the performance experimentally
Optimization of Inlet Swirl for Flow Separation … 411
in an annular diffuser with the strut and without strut and found that performance
improves with strut for the stalled diffuser [9]. Developed the correlation equation
for annular diffuser performance based on available data in open literature such as
inlet swirl, area ratio, passage [10]. Worked on the computational analysis with the
fluent on diffuser geometry data that was published by sovarn and klomp. It shows
that sst k-ω turbulence model gives the best performance on annular diffuser geom-
etry length and aerodynamic blockage [11–13]. Shows that flow separation starts
shifting from casing towards hub along the direction of the flow with a maximum
value at the outlet at a particular swirl angle [14]. Showed that swirl improves the
performance up to the particular angle and the flow is much stronger to toward the
outer wall rather than the inner wall due to the swirl flow [15]. Annular diffuser with
different equivalent cone angles was analyzed with and without inlet swirl for flow
separation and pressure recovery and concluded that the coefficient of performance
decreases with the increase in the equivalent angle of the diffuser at both hub and
casing walls at the exit [16]. Worked on the subsonic swirling flow with a Reynolds
number 1 × 105 in the short annular diffuser in which square tabs were installed on
the center body. It was shown that the highest pressure recovery observed on AR =
2.73. Optimum diffuser design based on geometrical parameters i.e., area ratio and
axial length of diffuser.
2 Problem Description
The present paper represents the research on parallel hub annular diffuser with an
equivalent cone angle 15° on area ratio 2 with different inlet swirl angle 0°, 7.5°, 12°,
17°, 25° with a fully developed velocity profile fed at the inlet of diffuser to predict the
flow separation and performance characteristics of flow inside the annular diffuser.
The main work of the study to analyze the effect of different inlet swirl angle on the
flow characteristic and evaluate the performance of annular diffuser. The geometrical
parameters of the annular diffuser are Rhi = 38 mm, Rci = 77.5 mm, θ e = 15° and
L = 212.51 mm (Fig. 1).
3 Mathematical Model
The governing equation of conservation of mass and conservation of momentum

in the axis-symmetric form of Newtonian fluid flow is governed by time-averaged
Navier-Stokes equations are represented given below.
Continuity equation
∂ 1 ∂
(ρu) + (ρr v) = 0 (1)
∂x r ∂r
Fig. 1 Diffuser geometrical parameter
Time-averaged Navier-Stokes equations

∂ 1 ∂ ∂p ∂ ∂u 1 ∂ ∂u ∂v
(ρuu) + (rρvu) = + μe 2 + r μe +
∂x r ∂r ∂x ∂x ∂x r ∂r ∂r ∂x
(2-a)

∂ 1 ∂ ∂p ∂ ∂v ∂u
(ρuv) + (rρvv) = − + μe +
∂x r ∂r ∂r ∂x ∂x ∂r

1 ∂ ∂v v ρw2
+ r μe 2 − 2μe 2 + (2-b)
r ∂r ∂r r r

∂ 1 ∂ ∂ ∂w 1 ∂ ∂w w ∂ ρvw
(ρuw) + (rρvw) = μe + r μe − 2 r μe −
∂x r ∂r ∂x ∂x r ∂r ∂r r ∂r r
(2-c)
Streamwise u is the axial velocity component in x-direction and v is the radial

velocity component in r-direction as well as swirl velocity component w in θ direction
on which all gradients will be neglected. The effective viscosity μe is computed from
μe = μ + μt (3)
where the turbulent viscosity is μt , and μ is the laminar viscosity.

The extra term on Eq. 2-b is ρwr i.e., due to the centrifugal force produced by the
2
presence of swirl velocity w. Two equation turbulence model is adapted to consider to

close the solution of RANS set of Eq. (1–3). We consider the standard k-ε turbulence
model for the non-swirling flow and RNG k-ε turbulence model for swirl flow in the
annular diffuser. In the standard k–ε model transport equations are

∂k ∂ μt ∂k
ρu i = + G k − ρε + Sk (4a)
∂ xi ∂x j σk ∂x j
And

∂ε ∂ μt ∂ε ε ε2
(ρu i ) = + C1ε G k − C2ε + Sε (4b)
∂ xi ∂x j σε ∂x j k k
The mathematical transport equations of RNG k-ε model are as

∂k ∂ ∂k
ρu i = αk μe f f + G k − ρε + Sk (5a)
∂ xi ∂x j ∂x j

∂ε ∂ ∂ε ε ε2
(ρu i ) = αε μe f f + C1ε G k − C2ε − Rε + Sε (5b)
∂ xi ∂x j ∂x j k k
In the above equations, inverse effective Prandtl number is α k and α ε for k and ε,
respectively.
4 Performance Parameter
Static pressure recovery coefficient: it represents the rise of the static pressure
of the flowing fluid at the cost of kinetic energy due to the diffusing action at any
cross-section of the annular diffuser.
p2 − p1
cp = (6)
1
2
ρvav1
2
where subscript 1 represents the static pressure inlet conditions, and subscript 2
represents outlet conditions. V av1 represents average velocity at inlet
Diffuser effectiveness: it represents the relation between actual pressure recov-
eries to the ideal pressure recovery of the flowing fluid in the annular diffuser.
cp
η= (7)
c pi
where cpi is the ideal pressure recovery
1
c pi = 1 − (8)
AR2
Fig. 2 Grid test with the various mesh size
5 Grid Independency Test
The grid independency was carried out after performing the simulation with different
grid sizes to obtain the optimal solution. Quadrilateral elements have been selected
for the entire geometry of the annular diffuser. To measure the sensitivity of the grid,
four different types of mesh size were used. It is observed from the Fig. 2 there is no
change in pressure recovery coefficient for grid 3 and grid 4. Hence grid 3 160,000
elements are used for the present study.
6.1 Velocity Profile
Figure 3 shows the streamline velocity of the axis-symmetric annular diffuser with
different inlet swirl angle (0°, 7.5°, 12°, 17°, and 25°). From Fig. 3 (0°, 7.5°, 12°)
there is no separation of flow from the casing as well as hub wall due to that maximum
recovery of pressure found on the inlet swirl angle 12°. The flow is pushed toward
the casing wall at a swirl angle 25° large separation zone on the hub there is a fall
of pressure recovery at the exit of diffuser. Non-dimensional longitudinal velocity
profiles u/Um with diffuser passage height y/Ym for area ratio 2 are shown in Fig. 4.
The longitudinal and swirl velocity distributions are shown for various inlet swirl
angles 7.5°, 12°, 17°, and 25° y/Ym = 0 represent the hub position and y/Ym = 1
represent the casing position of the traverse. Similarly, the swirl velocity profile is
Fig. 3 Streamline velocity with swirl angles (0–25°)
shown in Fig. 5 of the length of diffuser passage at x/L = 0.1, 0.3, 0.5, 0.7 and 0.9 of
the area ratio 2 with different inlet swirl angles. Figure 4 represents the peak of the
velocity for equivalent cone 15° occurs at y/Ym = 0.46 for the area ratio 2. When
swirl angle is 17° then flow is separate on the hub wall at x/L = 0.7 and x/L = 0.9.
The swirl angle increases up to 25° the flow is reversed up to y/Ym = 0.13, 0.23 and
0.30 for x/L = 0.5, 0.7 and 0.9 respectively. The peak of the velocity shifts from hub
to casing wall as the inlet swirl increases.
6.2 Coefficient of Pressure Recovery
Figure 6 represents the coefficient of pressure recovery at casing wall with respect to
the diffuser passage length x/L non-dimensional for area ratio 2 with different inlet
swirl angles are 0°, 7.5°, 12°, 17°, and 25°. The pressure recovery increase with the
length of diffuser in every case of swirling and non-swirling flow. The maximum
pressure recovery obtained for the inlet swirl angle of 12° without flow separation.
Fig. 4 Longitudinal velocity distributions with swirl angles (7.5–25°)
For 17° and 25° inlet swirl angle is lower the flow non-swirl beyond x/L = 0.54
and 0.29 respectively. Maximum C p is 0.28 for 25° inlet swirl after that decay the
performance along the diffuser passage length.
7 Conclusions
The following observations were made on equivalent cone angle 15° and AR = 2 for
different inlet swirl angles.
• Non-dimensional longitudinal velocity profiles with respect to the height of
diffuser passage have been computed with various inlet swirl angles. It was
predicted that the non-dimensional longitudinal velocity profile decreases in the
downstream direction continuously whether the flow is non-swirling or swirling
at the inlet of the diffuser.
Fig. 5 Swirl velocity distributions with swirl angles (7.5–25°)
• Boundary layer growth resulted in velocity profiles with a distinct shape. Shifting
is observed for the maximum non-dimensional value of flow velocity due to the
swirl flow.
• The optimum inlet swirl angle is 12° to achieve the maximum performance of the
given geometry.
• It shows that swirl enhances the performance up to certain diffuser passage after
that reversal of flow take place.
Fig. 6 Coefficient of pressure recovery at casing for area ratio 2
References
1. Sovran G (1967) Experimentally determined optimum geometries for rectilinear diffusers with
rectangular, conical, or annular cross section. Fluid Mech Internal Flow 270–319
2. Coladipietro R, Schneider JH, Shridhar K (1974) Effects of inlet flow conditions on the
performance of equi-angular annular diffusers. CSME Paper No. 73–84
3. Lohmann RP, Markowski SJ, Brookman ET (1979) Swirling flow through annular diffusers
with conical walls. J Fluids Eng 101(2):224–229
4. Stevens SJ, Williams QJ (1980) The influence of Inlet conditions on the performance of annular
diffusers. J Fluid Eng 102:357–363
5. Ganesan V (1980) Flow and boundary layer development in straight core annular diffusers. Int
J Eng Sci 18(2):287–304
6. Buice CU, Eaton JK (1995) Experimental investigation of flow through an asymmetric
plane diffuser. Report No. TSD-107, Thermosciences Division, Department of Mechanical
Engineering, Stanford University, Stanford, CA, USA
7. Klomp ED (1997) Performance of straight-walled annular diffusers with swirling flow.
Aeronaut J 101(1010):467–480
8. Ubertini S, Desideri U (2000) Experimental performance analysis of an annular diffuser with
and without struts. Exp Thermal Fluid Sci 22(3–4):183–195
9. Japikse D (2002) Correlation of annular diffuser performance with geometry, swirl, and
blockage. In: Proceedings of the 11th NASA/OSU thermal and fluids analysis workshop, pp
107–118
10. Anderson M (2008) Fluent CFD versus Sovran and Klomp diffuser data benchmark study. In:
The 46th AIAA aerospace sciences meeting and exhibit, p. 665
11. Arora BB, Kumar M, Maji S (2010) Study of inlet conditions on diffuser performance. Int J
Theoret Appl Mech 5(2):201–221
12. Arora BB, Kumar M, Mazi S (2010) Analysis of flow separation in wide-angle annular diffusers.
Int J Appl Eng Res ISSN:0973–4562
13. Singh H, Arora BB (2019) Effect of area ratio on flow separation in annular diffuser. In:
Advances in fluid and thermal engineering. Springer, Singapore, pp 297–305
14. Kumar M, Arora BB, Maji S, Maji S (2011) Effect of inlet swirl on the flow behavior inside
the annular diffuser. Int J Dyn Fluids 7(2):181–188
15. Kumar M, Arora BB, Maji S, Maji S (2012) Effect of area ratio and inlet swirl on the
performance of annular diffuser. Int J Appl Eng Res 7(13):1493–1506
16. Cerantola DJ, Birk AM (2015) Experimental validation of numerically optimized short annular
diffusers. J Eng Gas Turbines Power 137(5):052604
Innovative PMI-Based Inspection
Planning for Planar and Cylindrical
Features
Pratik Kalaskar, Surbhi Razdan, and Amol Jawalkar
Abstract Coordinate Measuring Machine is used to inspect the manufactured prod-

ucts to ensure that they meet the desired specifications. In most of the inspec-
tion software, including PMI, the inspection process involves loading of the CAD
model, selecting an inspection feature, feeding the PMI into the inspection software,
and selecting an appropriate inspection strategy depending on the type of feature.
Inspection results are then compared with the nominal tolerance values. This process
involves the application engineer’s input at multiple stages. The automatic inspec-
tion process is becoming an important requirement in industries, which adds value to
the inspection software and eliminates human intervention. In PMI-based inspection
planning, the CAD model affixed with PMI is fed to the inspection software, then
most of the traditional inspection steps are automated by reading and extracting PMI
from the CAD model, identifying the feature associated with a PMI and then devel-
oping an inspection strategy on the identified feature. Later, results are validated by
feeding the inspection points in the inspection software.
1 Introduction
It is mandatory to inspect the manufactured product for maintaining its overall quality.
According to the application, the CAD model can be made by any modeling software
prior to actual production. Product and manufacturing information (PMI) transmits
non-geometric attributes in 3D CAD and collaborative production systems needed to
P. Kalaskar (B)
Dr. Vishwanath Karad MIT World Peace University, Pune 411038, India
e-mail: pratikkalaskar64@gmail.com
S. Razdan
Dr. Vishwanath Karad MIT World Peace University, Pune 411038, India
e-mail: surbhi.razdan@mitwpu.edu.in
A. Jawalkar
Renishaw Metrology Systems Limited, Pune 411057, India
e-mail: Amol.Jawalkar@renishaw.com

https://doi.org/10.1007/978-981-15-5463-6_37
422 P. Kalaskar et al.
manufacture components and assemblies of products. PMI include geometric dimen-

sions and tolerances (flatness, parallelism, cylindricity, position, etc.), dimensions,
surface finish, and material specifications. Klages et al. [1] represented the construc-
tion of a prototype electronic system, which includes an electronic product module
and specialized model enhancement software. This system is termed as Automatic
Programming Software (APM). APM then creates a CMM program on receiving
information from the inspection expert and the CMM programmer. Anagnostakis
et al. [2] proposed the work on a tool, which captures inspection strategies and
knowledge developed by the CMM programmers. Wong et al. [3] described algo-
rithm methods based on the extraction of features. Elkott et al. [4] proposed the
inspection of the complex and irregular free-form surfaces, by using four algorithms
for sampling based on non-uniform rational basis spline (NURBS) features. Anag-
nostakis et al. [5] discussed the obstacles and provocations in the current inspection
planning systems, about knowledge capture, and formalization. Ritchie et al. [6]
represented a tool for performing an inspection process by using a virtual CMM
measurement ambiance. Lipman et al. [7] proposed an approach integrated into a
software tool for checking the conformance of STEP files to the practices followed
for the PMI representation. Adamczak et al. [8] proposed a method for quantita-
tive comparison of cylindrical profiles. Hu et al. [9] described the methodology,
design, and implementation of the advanced virtual coordinate measuring machines
(AVCMM). Obeidat et al. [10] described the reduction of the inspection points for
complex surfaces using the machining path. Albuquerque et al. [11] discussed the
development of automatic point placement and path planning methods for CMM
inspection. Moroni et al. [12] proposed an approach for developing CMM inspection
strategies for different tolerances, which focuses on the reduction of inspection costs.
Petro et al. [13] defined a criterion for defining the pattern of sample points for CMM
inspection. Ricci et al. [14] described the need for PMI data for exploration of a case
study, which gives the main advantages, user’s efforts and improve limitations. Zhao
et al. [15] provided a methodology that automatically generates inspection plans
for CMM inspection in conjunction with a laser scanner and a touch trigger probe.
Inspection features are specified from a CAD model based on the geometry features
extracted and the associated PMI items.
The study of earlier works indicates that the performed inspection process is either
completely manual or partially automated. Currently, in the inspection software, the
inspection application engineer manually adds the PMI to the CAD model features
and generates the inspection program to inspect the manufactured model. This PMI
is fed with the help of drafted drawings and consumes more time. There is a need
for the automation in the inspection process from reading the PMI data attached
to the CAD model to a generation of the inspection plan. This research provides
the methodology that extracts the PMI data, identifies the feature attached to the
annotation, and finally generates the inspection plan to inspect the manufactured
model. 3D Interop and ACIS geometric modeler, developed by Dassault Systemes is
used for the proper implementation of this method [16]. These tools are essentially
data translators that solve the problems linked to the exchange of CAD 3D data
throughout design and engineering. Microsoft Visual Studio 2017 is used for the
Innovative PMI-Based Inspection Planning for Planar… 423
Fig. 1 Flow chart for manual method
Fig. 2 Flow chart for proposed automated method
development process, using C++ as a programming language. Figure 1 shows the

manual method and Fig. 2 shows the proposed automated method of the inspection
process, respectively.
The manual method involves loading the CAD model, selecting the inspection
feature, applying PMI to the feature, selecting an inspection strategy, performing the
inspection, and comparing results. In the proposed automated method, automation
is performed on the steps such as selecting the feature for inspection, applying PMI
to the feature and selecting an inspection strategy.
2 Proposed Automated Method
The automatic method is classified into three stages as shown in Fig. 3:
Fig. 3 Stages of the proposed automated method

Fig. 4 3D Interop and ACIS architecture
• Extraction of the PMI data from the CAD model.

• Identification of the feature to which annotation is attached.
• Development of an inspection strategies on the identified feature.
2.1 Extraction of the PMI Data from the CAD Model
3D Interop allows to read the CAD data, including PMI data from different CAD
platforms (CATIA, Solid Works, NX, etc.) and provides the structured data in a
CAD neutral platform [16]. It offers high-quality exchange of data between CAD
formats to allow the best translation of CAD files. Figure 4 shows the 3D Interop and
ACIS Architecture, in which ACIS geometric modeler reflects different PMI features
(entities).
2.2 Identification of the Feature to Which Annotation is

Attached
ACIS has the capability to identify the feature and it gives the entity attached to
the annotation. The entity type can be a face, edge, 2D curve, etc. Further, the face
can be a planar face, circular face, etc. and similarly edge can be straight edge,
circular edge, etc. After getting the entity, the inspection strategy can be developed
for the inspection process. For example, on the planar face, inspection strategies
for tolerances like flatness, perpendicularity, parallelism, etc. and on the circular
face, inspection strategy for the cylindricity tolerance can be developed, respectively.
Table 1 shows the list of features on which the tolerances can be measured.
Table 1 List of features on

Plane Flatness, perpendicularity, profile surface, and
which the tolerances can be
parallelism
measured
Cylinder Cylindricity, perpendicularity, and parallelism
Line (edge) Perpendicularity, profile line, and parallelism
Cone Perpendicularity
2D curve Profile line
3D curve Profile surface
Fig. 5 CAD model attached with PMI
Figure 5 shows the CAD model attached with PMI (Flatness and Cylindricity),
having nominal tolerance values as 0.02 and 0.02, respectively. These values are
then used to compare with the inspection results (actual tolerance values from the
manufactured product). PMI is attached with the help of NX software (NX 11).
2.3 Development of an Inspection Strategy on the Identified

Feature
The inspection strategies are developed with the help of ACIS geometric kernel.
Mainly, Application Programming Interface (API) played a major role in developing
strategies. In this research, inspection strategies are developed for the plane and
cylinder features, respectively. Grid pattern strategy and circular strategy are the
inspection strategies developed for the plane feature and the cylinder feature, respec-
tively. Figure 6 shows the implementation of the grid pattern strategy. The density
Fig. 6 Grid pattern strategy for flatness tolerance
of the inspection points can be varied along the grid, containing rows and columns.
The accuracy of the inspection results depends entirely on the density of the points.
More points will give more accuracy at the cost of more inspection time.
Figure 7 shows the implementation of the circular strategy. The density of the
inspection points can be varied along the cylinder diameter and height, respectively.
Minimum four points are mandatory to inspect the cylindricity tolerance along the
cylinder.
Fig. 7 Circular strategy for cylindricity tolerance

Table 2 Pooled standard

Tolerance Pooled standard deviation
deviation
Flatness 0.000503497
Cylindricity 0.00037345
3 Experimental Validation
CMM is used for the inspection of the actual manufactured model. The inspection
software communicates with the CMM through hardware drivers and provides the
inspection result. CMM machine takes the touches on the part, with the help of a
probe and provides the actual coordinates of the touch position. Inspection software
then compares the nominal value (obtained from the CAD model) and actual value
(exact position on the manufactured product).
4 Results
The results are validated by varying the density of the inspection points and then
fed to the inspection software. These points must be present exactly on the face and
must be detected by the probe, excluding the other features on it. By taking three
sets of 20 readings each, flatness and cylindricity tolerances are measured [17]. It is
observed that from Table 2, pooled standard deviations (weighted average of each
group’s standard deviation) are almost negligible, automated method is reliable and
time-saving method. This method also reduces the work of the application engineer
of selecting the feature and the appropriate strategy.
5 Conclusion
In this research, the automated method for PMI-based inspection planning is

proposed. This method is bifurcated into three steps as PMI from CAD is extracted,
the feature (face, edge, etc.) attached to the PMI is identified. Further, inspection
points are generated with some simple strategies and then the validation of these
points is done on CMM. Additionally, new directions have been identified that more
effective inspection strategies could be developed to optimize the inspection process.
Acknowledgement The authors acknowledge Mr. Gaurav Saxena for his kind support and guidance
throughout the research, conducted at Renishaw Metrology Systems Limited, Pune.
References
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of cmm inspection strategies, bulletin of the transilvania University of Brasov 9(58) No. 2—
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rithmic inspection feature recognition, and inspection case representation for CBR. Rob Comp
Integr Manuf 22(2006):56–68
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inspection planning of free-form surfaces. Int J Prod Res 40(11):2653–2676
5. Anagnostakis D, Ritchie J, Lim T, Sivanathan A, Dewar R, Sung R, Bosche F, Carozza L (2016)
Knowledge capture in CMM inspection planning: barriers and challenges. Changeable, Agile,
Reconfigurable & Virtual Production, Procedia CIRP 52:216–221
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capturing planning strategies. Proceedings of the ASME 2017 international design engineering
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STEP data exchange files, National Institute of Standards and Technology (NIST), Systems
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profiles measured with different methods using legendre-fourier coefficients. Metrol Meas Syst
XVII(3):397–404
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coordinate-measuring machines. IEEE Trans Instrum Meas 61(5)
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machining. Procedia Manuf 26:1492–1499
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algorithms for automatic CMM inspection. Int J Comput Integr Manuf 13(2):107–120
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Procedia CIRP 10:54–60
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B, Senin N (eds) Geometric tolerances. Springer, London
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geometrical and dimensional controls in modern industries. Comp Aided Des Appl 11:S36–S43
15. Zhao Haibin, Kruth Jean-Pierre, Van Gestel Nick, Boeckmans Bart, Bleys Philip (2012) Auto-
mated dimensional inspection planning using the combination of laser scanner and tactile
probe. Measurement 45:1057–1066
16. Spatial Corp - Product Documentation, https://doc.spatial.com
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of CMM equipment. Manufacturing Engineering Society International Conference, Vigo
(Pontevedra), Spain
Experimental Study of Sliding Wear
Behavior of Journal Bearing Materials
Vinayak Goel, Akshat Jain, Vibhor Heta, Sanchit Jain,

and Vipin Kumar Sharma
Abstract In the present work, attempts have been made to investigate the tribolog-
ical properties of the commonly used phosphorous bronze journal bearing material.
Later a new bronze material (Al-Ni-Cu) is proposed and tribological properties were
compared with phosphorous bronze. A linear reciprocating tribometer has been used
to inspect the wear and friction in fully flooded and unlubricated conditions. It was
observed that the conventional phosphorous bronze material performed better under
dry conditions as compared to the Al-Ni-Cu. The presence of soft phase phosphorous
in phosphorous bronze helped in reducing the wear and friction coefficient, whereas
Al-Ni-Cu performed better in fully flooded lubricated conditions. In the lubricated
condition, the al element in Al-Ni-Cu formed a protected layer by absorbing oxygen
contents from lubricated oil and prevents the wear.
Keywords Journal bearing material · Wear · Friction · Sliding wear · Phosphorous

bronze
1 Introduction
A journal bearing is a shaft or also known as journal rotating inside a bearing. A

layer of lubricant separates the two parts and the shaft rotates in the bearing. Journal
bearings are often used when the load is light and the motion is continuous as journal
bearings are designed to reduce load friction. The primary factors which affect the
working performance of the journal bearing are material, Working Conditions, and
lubrication oil. For the optimum performance of the journal bearings, the above three
factors should be considered carefully. Once these factors are found to be satisfactory
the bearing will have a longer life and better efficiency. A brief review of recent work
in the field of tribological testing is presented here.
V. Goel (B) · A. Jain · V. Heta · S. Jain · V. K. Sharma

Maharaja Agrasen Institute of Technology, Rohini Sector 22, Delhi 110086, India
e-mail: vinayakgoel11@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_38
430 V. Goel et al.
Ramakrishna et al. chose Zn-Al-Cu alloys and EN steel to perform pin on disc
experiment for studying the friction and wear characteristics of journal bearings mate-
rial under dry, semi-dry and lubricated condition varying the rotational speed from
0–400 rpm keeping the journal bearing specimen diameter from 30–100 mm, increase
in graphite and fly ash content resulted in the decrease of wear loss and increase in
load results in wear of alloy and matrix thereby improving the conformability and
embeddability of the bearings using zinc base organic product [1]. Gebretsadik et al.
studied the seizure behavior of some selected Pb-free engine bearing materials under
lubricated condition using constant rotational speed of 125 rpm and increasing load
up to 475 N flooded with engine oil and base oil resulting that Sn-based overlay
plated materials showed higher friction when compared to Pb based material and
seizure occurred at the fully formulated engine at high load [2]. Gebretsadik et al.
concluded friction and wear characteristics of different Pb-free bearing materials
in mixed and boundary lubrication regimes using block on ring at a different rota-
tional speed varying from 25–250 rpm with 35 mm diameter bearing outer ring of
high grade bearing steel, four bearing materials were used A1- AlSn25Cu1.5Mn0.6,
A2 -CuSn5Zn1, A3- CuSn5Zn1, B1 -CuPb23Sn2 resulting in higher friction during
amid mixed and boundary regime in Al-Sn-based material whereas PAI based overlay
proved to be better when done in boundary condition [3]. Mathavan et al. experi-
mented using aluminium-based bearing material, with filler metals silicon, nickel,
chromium under dry condition on pin on disc apparatus and lubricated condition in
multi specimen tester, resulting to loss of pin material to be 20% greater in case of
dry as compared to lubricated condition thereby concluding that wear resistance of
aluminium-based bearing materials are higher than as compared to classical bearing
material and they can be used at higher temperatures also [4]. Tufekci et al. studied
tribological properties of porous bearings manufactured with P/M under dynamic
loading based on Cu and Fe bearing, surface of journal was prepared by cylindrical
grinding using SAE 1050 hardened steel for test shaft loading in static, dynamic and
vertical periodic resulting in a change of coefficient of friction with temperature with
larger values for Cu-based as compared to Fe-based bearing. The observations were
that the change of coefficient of friction was reduced with an increase in load at a
constant speed for bearing material but the value of friction coefficient was found to be
the same for increment in speed at constant load for two materials [5]. Liquids do not
work effectively and the coatings have limited scope under extreme conditions which
lead Zhu et al. to test the Ni3Al matrix for self-lubricating properties. Ni3Al matrix
composites with 1.5 weight% graphene nanoplatelets (GNPs) under varying loads,
the formation of ultrafine layer and matrix refinement layer due to the plastic deforma-
tions and friction heat accumulation reduced the coefficient of friction and improved
wear rate [6]. The need for research is, therefore, justified by developing fundamental
understanding of nature, atomic-scale interactions as well rational design material
[7]. Friedrich et al. carried out the wear tests which gave them the conclusion that if
the particle size of the filler material used in PTFE is severely reduced to the degree
of nanoscale, improvements in the polymer’s wear resistance were achieved at 1–3
vol. % nanofiller content [8]. Pin on Disc using three different lubricating oils, i.e.,
chemically modified rapeseed oil (CMRO), SAE20W40 (synthetic oil), CMRO with
Experimental Study of Sliding Wear Behavior … 431
Nano CuO at 200 N load with sliding speed of 2–10 m/s, Baskar et al. observed
that friction and wear behavior varied showing minimum coefficient for CMRO with
Nano CuO and higher COF for the CMRO, SAE20W40 oils [9]. Feyzullahoglu et al.
researched Al-based alloy tribological properties under lubrication, Experimental
conditions were sliding speed of 0.6–2.4 m/s and pressure of 0.231–1.036 N/mm2 ,
variation in the sliding condition lead to the change of friction and wear behaviors
thereby Al8.5Si3.5 Cu alloy showed lower coefficient of friction [10]. Friction coef-
ficient of bronze radial depicted a higher trend and higher wear rate in dry condition
as compared to the lubricated condition [11]. PTFE and aluminium alloys were tested
for tribological properties in journal bearing as a function of the applied normal load.
The coefficient of friction and lubricating oil temperature were measured resulting
in reduction in coefficient of friction by 28% for aluminium alloy compared to PTFE
composite, based on the observation by Ku et al. aluminium proved to be more reli-
able material [12]. Singh et al. proposed an aluminium bronze material as a possible
journal bearing material. Pin on disc experiments were performed by the authors and
results were compared with leaded bronze and phosphorous bronze bearing mate-
rials. It is reported that aluminium bronze material performed better in fully flooded
lubricating conditions [13]. Sharma et al. proposed an aluminium-flyash composite
material as a bearing and piston ring material. The flyash contents in the aluminium
improve the wear and friction properties of the aluminium composite [14].
Numerous attempts have been made by researchers to propose an alternative for
the conventional journal bearing material. In this work, a new aluminium bronze
material has been used in this work and compared for the wear and friction proper-
ties with conventional phosphorous bronze material. Pin on disc experiments were
performed in dry and lubricated conditions using a linear reciprocating tribometer.
2 Experimentation
The experimentation started with the preparation of four square plates of mild steel
material with dimensions 50*50*5 mm. The plates were cut for the required size
from a large specimen and the surface grinder was used to finish the surface of the
plates.
The preparation of pins was done in house. The aluminium nickel copper material
rod and phosphorous bronze material rod were procured as casted from the market
and the pins were prepared of diameter 8 mm and length 10 mm. The Lathe machine
was used to cut the rod to the required dimensions and then the upper and lower
surface of the pins were ground on the surface grinder to get a smooth surface finish.
Two pins of each material were prepared.
The wear and sliding friction tests for aluminium nickel copper in comparison
with phosphorous bronze under fully flooded lubricated and dry conditions were
performed on a linear reciprocating tribometer with to and fro motion [15, 16]. The
tribological experiment was followed by the preparation of the pins and plates which
were slightly grounded with the help of sandpaper of grit size 1500. The plates
432 V. Goel et al.
Table 1 Input parameters for

Frequency 10 Hz
the experiment
Load 30 N
Lubricating condition SAE 15 W 40
Stroke length 10 mm
Water inflow Room Temp
Time 180 s
and pins were cleaned with of spirit and then they were weighed using a weighing
machine.
The specimen plate was fixed on the tribometer and the pin was fixed between the
jaws. It was ensured that the plate was fitted in the fixture properly and there were
no vibrations. The pin was also griped between the jaws perpendicularly in order to
minimize error. Table 1 depicts the input parameters chosen.
During the process, the temperature rises due to friction so water inflow was
provided at room temperature in order to maintain the temperature. The experiment
was done for about 3 min for each pin.
The experiment was carried out in two conditions, i.e., dry condition and fully
flooded lubricated condition. The lubricant used was SAE 15W40 [17, 18]. The wear
tests were conducted under different loads (20, 30, and 40 N), insubstantial load of
20 N was unable to form a clear and obvious wear track for wear loss measurements.
Besides, at a heavy load of 40 N experimented in the dry sliding condition, the friction
coefficient increased, and because of safety restrictions, the tribometer stopped. There
was debris of metal that got worn lying on the plate. The debris was removed and the
specimens were again cleaned with the help of spirit and they were again weighed
on the weighing machine and the readings were recorded and analyzed (Fig. 1).
(a) (b)
Fig. 1 a Linear reciprocating tribometer b pin and plate specimens

3 Results
The comparison of Phosphorous Bronze and aluminium nickel copper was fetched
based on the output of the experiment on linear reciprocating tribometer. Conven-
tionally phosphorous bronze is used in the journal bearings, attempts have been made
to replace the conventional material and provide an alternative with better utilization
having less coefficient of friction and reduced wear rate thereby reducing the cost of
maintenance in the industrial applications. During the experimentation, a constant
load of 30 N was applied on the pin, with a frequency of 10 Hz. Stroke length was
set to 10 mm with water inflow at room temperature. SAE 15W40 was used in the
case of the lubricating condition experiment.
3.1 Wear Parameter
Wear was measured by comparing the weight of the specimens before and after the
experiment. Wear is directly proportional to the cost of maintenance and replace-
ment of worn-out parts. We need minimum wear for providing the best industrial
application usage.
(A) Dry Condition
Table 2 shows the wear of Phosphorous Bronze and aluminium nickel copper under
the dry conditions at load of 30 N for 180 s.
It is established that wear of aluminium nickel copper shows a greater wear rate
as compared to phosphorous bronze in dry conditions. As the linear reciprocating
tribometer operates, it wears out the plate and the pin and the aluminium debris forms
a layer over the plate. Aluminium being a harder metal erodes further and increases
the wear in case of dry condition. Figure 2 shows a graphical representation of wear
of specimens where x-axis represents the two specimens and y-axis represents wear
of pins in grams.
(B) Lubricated Condition
Table 3 shows the wear of the same specimens under lubricated conditions (SAE
15W40) at the same load for 300 s.
We were able to cater that under the lubricated condition aluminium nickel copper
alloy shows less wear since the debris gets washed away along with the lubricant.
Figure 3 shows the graphical representation of wear of specimens under lubricated
Table 2 Weight of specimens

Material Initial wt. Final wt. Wear
before and after experiment
under dry conditions Al-Ni-Cu alloy 5.1448 5.1440 0.0008
P Bronze metal 5.6969 5.6967 0.0002
434 V. Goel et al.
Fig. 2 Graphical 0.001

representation of wear under
dry condition 0.0008
Wear
0.0006
0.0004
0.0002
0
AlNiCu Alloy P Bronze metal
Specimens
Table 3 Weight of specimens

Material Initial wt. Final wt. Wear (g)
before and after experiment
under lubricated condition Al-Ni-Cu alloy 5.1440 5.1438 0.0002
P Bronze metal 5.6970 5.6966 0.0004
Fig. 3 Graphical 0.0005

representation of wear under
lubricated condition 0.0004
Wear
0.0003
0.0002
0.0001
0
AlNiCu Alloy P Bronze metal
Specimens
conditions.
3.2 Coefficient of Friction
The coefficient of friction is directly proportional to the frictional force. Coefficient

of friction should be minimum to provide the best industrial application thereby
reducing the cost of maintenance and providing smooth working.
Figures 4 and 5 depicts the graphical representation of coefficient of friction
against time (Microseconds) under dry and lubricated (SAE 15W40) condition,
respectively.
In both the graphs, there is an initial peak that represents inertia, after that the
results in lubricated condition are more or less similar due to a layer of fluid in
between the two contact surfaces. But in case of dry conditions, aluminium nickel
copper depicts a lower coefficient of friction as compared to phosphorous bronze.
Dry Condi on
0.25
0.2
Coefficient of Fric on
0.15
0.1 Al-Ni-Cu
P-Bronze
0.05
0
0 500 1000 1500 2000 2500 3000
-0.05
Time (us)
Fig. 4 COF versus time (dry condition)
Lubricated Condi on
0.14
0.12
Coefficient of Fric on
0.1
0.08
0.06 Al-Ni-Cu
0.04 P-Bronze
0.02
0
0 500 1000 1500 2000 2500 3000
-0.02
Time (um)
Fig. 5 COF versus time (lubricated condition)
Hence, we can infer that although aluminium nickel copper had a greater wear rate
in case of dry condition, it still corresponds to lower coefficient of friction than
phosphorous bronze.
4 Conclusion
An alternative for the journal bearing material (Al-Ni-Cu) from the conventional
phosphorous bronze is possible in lubricated conditions. Performing the experiment
at 30 N load and room temperature, and under dry and lubricated conditions, it is
observed that:
1. Wear of Phosphorus Bronze (0.0035%) was less compared to Al-Ni Cu alloy pin
(0.015%) in dry condition.
2. Wear of Phosphorus Bronze (0.0070%) was more compared to Al-Ni Cu alloy
pin (0.0038%) in lubricated conditions.
436 V. Goel et al.
Upon analyzing, it was found that the reason for the behavior of the different
material under different conditions was that the aluminium debris formed by the
reciprocating pins on the plate further increased the wear on the pin in dry conditions
whereas it got washed away in lubricated condition. It is thereby concluded that for
lubricated condition, Al-Ni-Cu alloy is preferred while for dry condition Phosphorus
Bronze is preferable.
The coefficient of friction for the materials was also examined. It is observed
that in case of dry conditions, aluminium nickel copper depicts a lower coefficient
of friction as compared to phosphorous-bronze. Hence, we can infer that although
aluminium nickel copper had greater wear in case of dry condition, it still corresponds
to lower coefficient of friction than phosphorous bronze.
References
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on characteristics of journal bearing material by friction and wear. Int J Innov Res Sci Eng
5(7)12:298–307. https://doi.org/10.15680/ijirset.2016.0507036
2. Gebretsadik DW, Hardell J, Prakash B (2017) Seizure behaviour of some selected Pb-free
engine bearing materials under lubricated condition. Tribol Int 1112017. 265–275. https://doi.
org/10.1016/j.triboint.2017.03.021
3. Gebretsadik DW, Hardell J, Prakash B (2015) Friction and wear characteristics of different Pb-
free bearing materials in mixed and boundary lubrication regimes. Wear. pp 340–341, 63–72.
https://doi.org/10.1016/j.wear.2015.06.002
4. Mathavan JJ, Patnaik A (2016) Analysis of wear properties of aluminium based journal
bearing alloys with and without lubrication. In: IOP conferences series: materials science
and engineering. vo1 49, p 012052. https://doi.org/10.1088/1757-899x/149/1/012052
5. Tufekci K, Kurbanoglu C, Tunay RF (2006) Friction and wear properties of Cu and Fe based
P/M Bearing materials. J Mech Sci Technol (KSME Int J) 20(4):513–521
6. Zhu Q, Shi X, Zhai W, Yang K, Ibrahim AMA, Zengshi X, Chen L, Xiao Y, Zhang A, Zhang
Q (2015) Influence of subsurface micro/nano-structural evolution on macroscopic tribological
behavior of Ni3Al matrix composites. Tribol Lett. https://doi.org/10.1007/s11249-014-0458-1
7. Kumar S, Sen SS (2014) Wear and friction in journal bearing: a review. Int J Eng Manag Res
4(4):250–263
8. Friedrich K, Zhang Z, Schlarb AK (2005) Effects of various fillers on the sliding wear of
polymer composites. Compos Sci Technol 65(15–16):2329–2343. https://doi.org/10.1016/j.
compscitech.2005.05.028
9. Baskar S, Sriram G (2014) Tribological Behavior of Journal Bearing Material under Different
Lubricants. Tribology in Industry. 36(2):127–133
10. Feyzullahoglu E, Sakiroglu N (2009) The wear of aluminium -based journal bearing materials
under lubrication. Mater Des 31(5):2532–2539. https://doi.org/10.1016/j.matdes.2009.11.037
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28(3):973–977. https://doi.org/10.1016/j.matdes.2005.09.022
12. Boncheol Ku, Park Y, Sung C, Han Y, Park J, Hwang Y, Lee J, Lee J, Kim H, Ahn S, Kim
SH (2010) Comparison of tribological characteristics between aluminium alloys and poly-
tetrafluoroethylene composites journal bearings under mineral oil lubrication. J Mech Sci
24(8):1631–1635. https://doi.org/10.1007/s12206-010-0508-z
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bearing materials. Mater Res Express 6:066533. https://doi.org/10.1088/2053-1591/ab0be4
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doi.org/10.1016/j.jestch.2017.08.004
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15W-40 lubricant with the addition of graphite particles. Mater Today: Proc 25:719–723
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the dry sliding tribological behavior of aluminum composites. Mater Res Express 6(8):0865f4
17. Sharma VK, Singh RC, Chaudhary R (2018) Experimental study of tribological behavior of
casted aluminium-bronze. Mater Today: Proc 5(14):28008–28017
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of aluminium- and copper-based metal matrix composites for bearing applications. Int J Mater
Eng Innov 10(3):203
Deep Learning Architectures:
A Hierarchy in Convolution Neural
Network Technologies
Shruti Karkra, Priti Singh, Karamjit Kaur, and Rohan Sharma
Abstract Albeit deep learning has chronicled roots and has been applied to computer
vision task since 2000 but a decade ago, neither the expression “Deep learning”
nor the methodology was well known. This dormant field regains consciousness
when a highly influential paper “Image Net Classification with Deep Convolutional
Neural Networks by Krizhevsky, Sutskever and Hinton’in 2012” was published. Now,
availability of abundance of data, computational power, and improved algorithms has
contributed altogether and brought this technology to forefront in the field of machine
learning. In this paper, we focus on growth of various convolution neural network
architectures (deep learning architectures), from their predecessors up to recent state-
of-the-art deep learning systems. The paper has three sections: (1) Introduction about
neural networks along with necessary back ground information. (2) Hierarchy of
classical and modern architectures; In this section, the existing methods are explained
and their contribution and significance in field of machine learning are highlighted.
At last, we point out a set of promising future works and draw our own conclusions.
Keywords Artificial neural network (ANN) · Machine learning · Deep learning ·

Convolution neural networks (CNN or CovNet) · Image classification · Computer
vision
S. Karkra (B) · P. Singh · K. Kaur · R. Sharma

Amity University Haryana, Gurgaon, India
e-mail: Shrutikarkra@gmail.com
P. Singh
e-mail: psingh@ggn.amity.edu
K. Kaur
e-mail: kkaur@ggn.amity.edu
R. Sharma
e-mail: rohans1497@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_39
440 S. Karkra et. al.
1 Introduction
ANNs are the information processing systems, which are vigorously motivated by
the way organic sensory system, (e.g., brain) works. Artificial neural networks are
made up of large number of interrelating units called neurons. These neurons are
laced in distributed manner to learn from the input in order to streamline the final
output. The basic model and mathematical model of simple ANN are shown in Figs. 1
and 2. The information (generally multidimensional vector) is fed to the input layer
and propagated to shrouded (hidden) layers. The middle layers then learn features
and decision taken by these layers depends upon the former layer [1].
Study in artificial neural networks has started right around 100 years prior. For
a long time, there was no broadly acknowledged organic model for visual neural
systems, until practical and experimental works clarified the structure and function of
the mammalian visual cortex [4]. Thereafter, theoreticians developed models which
resemble to biological neural networks.
Till 1950s, Perceptron, Habbian, ADLINE, and MADALINE are the network
models that proven to be the mile stone in the history of artificial neural network.
Fig. 1 Simple feed-forward

neural network [2, 3]
Fig. 2 Mathematical model

for artificial neuron [2, 3]
Deep Learning Architectures: A Hierarchy in Convolution … 441
Fig. 3 Deep neural network

with several hidden layers [5]
Thereafter, invention of back propagation in 1960s and convolution neural networks

in late 90s has totally changed the way we look at neural networks. Convolution neural
networks were developed in 1998, named as Le-Net(First CNN), and since then, these
are applied to visual tasks. However, despite a few scattered applications, they were
dormant until the mid-2000s. But due to abundance of data, efficient algorithms and
computational power exponential growth have been noticed since 2012. Table stated
below mentions the brief history of neural networks and highlighting the key events:
Figure 3 is the basic structure of number of common neural networks. It is a feed
forward network with input, two hidden layers, and one out layer. Neural networks,
which have more than one hidden layer (as shown below) are called deep neural
networks. Deep neural networks (DNN) are also referred as deep learning networks.
These are different from the traditional single-layer-hidden neural networks because
of number of hidden layers or their depth.
Based upon the previous layer output in deep learning neural networks, each layer
of neurons trains on particular set of features. The deeper you go, more complex and
composite features can be recognized. The most significant and robust deep learning
network is convolution neural network (CNN).Convolutional neural network is a
class of deep learning techniques which turned out to be which has become overruling
in various computer vision tasks and is drawing attention over various domains. CNN
is made up of numerous layers, such as convolution layers, pooling layers, and fully
connected layers, and is intended consequently and adaptively learn spatial features
through a back propagation algorithm [6, 7] (Fig. 4).
Complete CNN architecture is summarized as below
1. Input layer Feature extraction

2. Convolution layer
3. Pooling layer
4. Fully connected layer Classification/prediction/recognition, etc.
CNN accepts three-dimensional input and transforms it through all connected

layers into a set of class scores given by the output layer. First of all, the convolution
Fig. 4 Layer wise detailed CNN architecture [8]
operation is performed between the input image pixels and window filter (kernel,
generally of size 3 × 3 or 5 × 5). The output obtained thus is called activation map or
feature map. After this, nonlinear activation function is applied on feature map called
ReLu operation. It replaces all the negative pixel values with zero and introduces
nonlinearity. Then, pooling is done to reduce the size of receptive field. Reducing
the size of receptive field decreases the training time and massive calculation of
parameters. The last layer in CNN is the classification layer (Fully connected layer).
Here, the higher-order features are transformed to class scores or probabilities. Back
propagation algorithm is then used for training the CNN. Training of Covnet (CNN)
is done to lessen the differences between estimated target predictions and actual
ground truth label [8].
As mentioned in Table 1, there are many convolution architectures that have
been released since 2012. Practically, all CNN structures pursue a similar general
plan standard of progressively applying convolutional layers to the input, and then
down sampling the spatial dimensions and learning the feature maps [9]. Earlier, the
system models contain just stack of convolutional layers, but the recent architectures
develop new and imaginative ways for building convolutional layers and help in
more accurate and competent learning. LeNet, AlexNet, ZfNet, and VggNet are the
standard networks. DenseNet, GoogLeNet, Inception (All four version), Exception,
ResNext, Network in Network, and many more are the advanced networks. In the
next section, a few classic architecture and main modern architecture are defined
(Fig. 5).
2 LeNet (1998) [11, 12]
It is the oldest convolutional network which is designed for handwritten and machine-
printed character recognition. Main features are:
• Use average pooling
Table 1 Important
Model/architecture/network Year and contribution
contribution toward neural
network and deep learning MCP model: first artificial 1943, McCulloch & Pitts
architectures [10] neural network
Hebbian learning rule 1949, Hebb
Perceptron 1958, Frank Rosenblatt
Backpropagation 1974, Werbos
Boltzmann machine 1985, Ack-ley, Hinton &
Sejnowski
Restricted Boltzmann 1986, Smolensky
machine
Recurrent neural network 1986, Jordan
LSTM 1997, Hochreiter &
Schmidhuber
Le Net (starting age of deep 1998, Lecun
learning)
Deep belief network 2006, Hinton
AlexNet, starting age of CNN 2012, Krizhevsky, Sutskever, &
Hinton
ZFNET 2013, Matthew Zieler,
RobFergus
Google 2014, Google
Resnet 2015, Kaiming He, Microsoft
Inception V3-V4 Google 2016
Exception and many more 2017
Fig. 5 Layer wise LeNet architecture for handwritten digit recognition [11]
• Nonlinear activation function is Sigmoid or tanh.

• Use of FC layers at the end
• Le Net is trained on approx. 60 K training image (use MNIST database)
Fig. 6 Layer wise AlexNet architecture [15]
3 AlexNet (2012) [13, 14]
ILSVRC 2012 winner. AlexNet expressively outclassed all the earlier contenders
and won the competition by challenge by reducing the top-5 error from 26-15.3%.
System architecture of AlexNet and LeNet is fundamentally same except the former
is more profound, with more number of filters, and more number of convolution
layers, AlexNet uses imagenet database and is trained on two Nvidia Geforce GTX
580 GPUs for six days. Main features are:
• Use Max pooling
• Use Relu for nonlinearity function (faster than tanh function)
• Use data augmentation techniques to enlarge the data base, hence more data and
large model with seven hidden layers and 60 M parameters (Fig. 6).
4 VGGNet (2014) [1, 14]
VggNet scored ILSVRC 2014 competition. Like AlexNet, VGGNet utilizes only 3 ×
3 convolutions, but more number of filters. It is trained on four GPUs for 2–3 weeks. It
is the true deep learning neural network with 16 CONV/FC layers. VGGNet consists
of 140 M parameters, which can be a bit challenging as well as costly to access. Main
features are:
• Uniform architecture
• Large receptive fields swapped by consecutive layers of 3 × 3 convolutions filters.
• Keep the benefits of small filter sizes (minimal loss of spatial information)
• Number of filter increases to almost double after each pooling layer, hence spatial
information decreases but depth of the network increases.
• Worked well on both image classification and localization tasks (Fig. 7).
The development of VggNet architecture has demonstrated that profundity (depth)
of the system is the crucial component for good performance.
Fig. 7 Layer wise VGG Net architecture [1]
A drawback of the VGGNet is its increasing cost to access and utilize significantly
more memory and parameters. Mostly, these parameters are defined in initial few
layers; hence, FC layers can be expelled without no downsizing the architecture
performance.
5 Inception (GoogLe Net) (2014)
Till VGG architecture, the accuracy and number of parameters are directly propor-
tional to the depth or number of layers. But if training data is small then bigger
models are more likely to over fit. With deep networks, the number of parameters
increases hence the complexity and computational cost increase. Inception model
proposes new idea of moving to sparsely connected architecture. This approach lets
you to reduce error and maintain the “computational budget,” while increasing the
depth and width of the network.
Hence, just like any other architecture, reason behind the development of Inception
was also to reduce error. Before this, the convolutional networks were only made
deeper to increase the accuracy. But this lead to overfitting with limited data, and an
exponential increase in the computational resources is required.
The inception network is the breakthrough achievement in improvement of CNN
classifiers. The Inception network is complicatedly planned and uses many methods
to improve performance (training speed, accuracy). GoogLeNet or Inception is the
winner of the ILSVRC 2014. It achieved a top-5 error rate of 6.67%! Its persis-
tent progression leads to the formation of many improved variants of the network.
Firstly, the network familiarized as GoogLeNet or Inception-v1. Next variant is
inception V2, and in this model, the concept of factorization is introduced. Then
idea of asymmetric factorization, and batch normalization is introduced in inception
V3. Inception V4 and Inception-ResNet are explained together. Each version is an
iterative improvement over the previous one [16].
5.1 Inception Module V1 (2014)
The Inception architecture of Google Net is designed to perform well even under
strict constraints on memory and computational budget. Its architecture comprised
of a 22-layer deep convolution layers. Inception V1 compute 5 M parameters, which
are 12 times less than the parameters computed by alexNet use 60 M parameters [17]
With Inception, the network was not only made deeper but also wider, i.e., Instead
of having just a single size filter at input, multiple filters of different sizes were
introduced, thereby making the network wider. It performed convolution on three
different sizes of filters (5 × 5, 1 × 1 and 3 × 3). After convolution operation, the
Max pooling is applied; then, the outputs are concatenated to single vector output
and sent to the next inception module. The number of input channels was limited by
introducing an extra 1 × 1 convolution before 5 × 5 and 3 × 3 convolutions. The 1
× 1 convolutions are computationally cheaper than 5 × 5 convolutions. Hence, the
less number of inputs helped in decreasing the computational requirement (reduce
dimensionality). Inception reduced the computation by using sparsely connected
neurons/layers, which significantly reduce the computation power by 84% in some
cases while increasing the accuracy [18] (Figs. 8 and 9).
Fig. 8 Inception module versiion1 with naïve version [18]
Fig. 9 Inception module with dimension reduction [18]

Fig. 10 Inception module

after convolution and filter
factorization. Here, the
left-most 5 × 5 convolution
of the old inception module
is now represented as two
blocks of 3 × 3 convolutions
[17]
5.2 Inception V2 (2015)
Inception v2 is the upgradation of inception V1. In inception module decrease in

dimensions causes loss of information, which is known as representational bottle
neck. Inception Version 2 was built considering the problem of Representational
Bottleneck. This occurred mostly with very deep convolutional networks. With each
layer, the size of image was reduced by a fraction, resulting in a smaller image.
Hence, after every level, the information we receive from an image is reduced [16].
To retain the spatial information, smart factorization method is used which made
inception v2 more accurate and more efficient in terms of computational complexity.
In factorization method, the 5 × 5 convolution was broken down into two 3 × 3
convolution, as two 3 × 3 convolutions were faster and more cheaper to compute as
compared to a single 5 × 5 convolution. Factorization procedure is illustrated below
(Fig. 10).
5.3 Inception VersionV3 (2015)
It is one of the modern architectures that attains a new state of art in terms of accu-
racy on ILSVRC image classification standard [19]. Inception V3 is the first Runner
Up for image classification in ILSVRC 2015 [19]. To increase the speed and effi-
cacy of inception module, asymmetric factorization is done, i.e., the n × n (3 ×
3) convolutions were broken down into two convolutions 1 × n, and n × 1. This
method proved to be 0.3 times faster and approximately 33% cheaper with the same
hardware resources (Fig. 11).
To reduce Representational Bottleneck, the deepness of model was reduced and
whole model was made wider. Multiple convolutions were shifted to the same level
to make sure image size does not get extremely small, rendering the image useless
(Fig. 12).
Inception Net v3 assimilated all features of Inception v2, and in addition, it uses
asymmetrical factorization, dropout in auxiliary classifiers, and label smoothening.

after filter size reduction [17]

using asymmetric
factorization [17]
Both auxiliary classifier and label smoothening act as regularizer and help to reduce
overfitting. Inception V3 is 42-layer deep architecture but uses fewer parameters
and complexity is similar to VGG Net. This version was able to perform 7 × 7
convolutions as well, compared to the last version which was able to only perform
till 5 × 5 convolution.
5.4 Inception V4-Inception-Resnet(2016)
Inception V4 and Inception ResNet are explained together. Cost and design structure
of “Inception-ResNet-v2” roughly matches with the Inception-v4 network. There are
minute difference of step time and training time. Inception-Resnet is faster in terms
of practice and training time. As the name suggests, Inception-Resnet is the hybrid
combination and stimulated by the performance of the residual network. The idea
of Inception network with residual connections is proposed by Microsoft ResNet.
It outperforms in a similar way the expensive pure Inception network works. In
ILSVRC classification task this hybrid network has achieved 3.08% error [20].
Idea of this collaboration came from the findings that residual connections are
innately vital for training the very deep networks. As inception modules are deep-
layered networks so by replacing the filter concatenation stage of inception model
with residual block, we can allow Inception to enjoy the gains of the Resnet and
simultaneously intact to computational efficiency [16].
In inception-ResNet, the initial operations performed before Inception blocks
were modified to make this model much more uniform. These operations were
known as the stem. The overall scheme for pure inception V4 network and detailed
composition of stem configuration of for inception Resnet is shown in Fig. 13.
This model introduced special blocks known as reduction blocks. These provided
the user with the ability to change the width and height of the block making the
model more tuneable and thus easier to test. The inception blocks are very flexible
and modifications can be done on a lot of parameters including filter sizes (Figs. 14
and 15).
6 ResNet
Deep residual networks were implemented shortly after Google’s Inception V3. The
Inception was based on increasing width by developing shallower network to reduce
overall error. In DCNN, going deep means ability to solve more complex task and
significant improvement in object recognition capability. But, as we go further deeper
down the network, the neural network experiences more difficulty in training the
network (slow and tedious) and degradation and saturation in accuracy. Residual
learning developers or technicians to take care of these issues. Developers of residual
network were trying to reduce data degradation while maintain the depth of the
network. To maintain the depth of network Residual blocks were introduced in the
network.
Resnet(Residual network) developed by kaiming He et al., introduces new
technology called residual learning. ResNet Won ILSVRC challenge 2015 and
COCO 2015 competition in ImageNet Detection localization, Coco detection and
segmentation. ResNet makes use of specialskip connections and batch normalization
[21].
Fig. 13 Overall scheme for pure inception V4 network and detailed composition of stemcon-
figuration of for inception Resnet [20]
The main idea is: learning the differences or changes of the transformation is
simpler than learning the transformation directly. So, in residual learning, instead of
learning features at the end of the layer, the network learns some residual. Residual
is the subtraction of feature gained from input of former layer. ResNet does this
by utilizing identity shortcut connections (directly connecting input of nth layer to
some (n + x)th layer), i.e., skipping one or few layers. Due to short and skip structure
Deep Learning Architectures: A Hierarchy in Convolution …
Fig. 14 Reduction block A (35 × 35–17 × 17 size reduction) and reduction block B (17 × 17–8 × 8 size reduction) [20]
451
Fig. 15 Layout for unception V4 and layout for inception Resnet [20]
Fig. 16 Residual learning: a

building block [22]
Fig. 17 A deeper residual

function. Left: ResNet 34
block). Right: a bottleneck
building block for ResNet 50
[23]
training this residual networks is easy. It can efficiently train networks with 100 layers
and 1000 layers with lower complexity. The short cut connection is shown in Fig. 16.
ResNet block is either two-layer or three-layer deep. (two-layer network used for
ResNet 18, 34 and three layer used for ResNet 50, 101, 152 Fig. 17).
In ResNet 50, the two-layer residual block is replaced with a three-layer bottleneck
block. This block used 1 × 1 convolution to reduce computation required for a 3 ×
3 convolution. This model consisted of 25 M parameters.
7 ResNext
ResNext, the winner of the ImageNet Large Scale Visual Recognition (ILSVRC)
2017, is the extension of ResNet and inception model. It is also inspired from the
VGG. ResNext uses a homogeneous, multi-branch architecture for image classifica-
tion. As ResNet and ResNext both follow the split-transform-merge paradigm. The
main difference is in Inception module is that, the output from preceding layers is
depth concatenated, but in ResNext, the outputs of different paths are merged by
adding them together. ResNext performs point-wise grouped convolutional(1 × 1),
which divides its input into groups of feature maps and performs normal convolution,
respectively; their outputs are depth-concatenated and then fed to a 1 × 1 convolu-
tional layer (In ResNext all paths share same topology).So in ResNext, convolution
Fig. 18 ResNet-50 block vs. ResNeXt block [25]
is performed on lower-dimensional representations and later merged to provide the

result, instead of performing convolution on complete feature map [24] (Fig. 18).
According to research conducted by SainingXie, it was found that residual
networks provide better optimization, while aggregated transformations (in Incep-
tion Networks) provide stronger representations. This made ResNeXt one of the most
powerful convolutional networks of its time, as it combined best of both the networks
providing us with a much deeper and wider network.
8 DENSENET:(Dense Convolution Network)
Convolution networks perform better (in terms of accuracy, efficacy and training
time) when they are deeper and contain shorter connections between layers closer to
input as well as output. In DenseNet, the layers are connected in feed-forward manner
rather than a traditional direct connection. For each layer, the feature maps of the
respective layer and all forgoing layers are used as input to all succeeding layers
which led a colossal increase in the number of connection. Hence, dense net has L(L
+ 1)/2 direct connections. The feature maps are aggregated with depth-concatenation
which preserve the features, increase the variance of the outputs, and encouraging
feature reuse. Figure below illustrates this layout schematically [26] (Fig. 19)
For each layer, all the feature maps for its previous layers are used as input, and its
own output is used as input for all the upcoming layers. This significantly improved
the performance of the network as fewer numbers of parameters were required and
the direct connection to each layer solved the vanishing gradient dispute. Because
of L(L + 1)/2 connections in an L-layer network, this architecture shows dense
connectivity hence named as dense convolutional network (DenseNet).
Fig. 19 5-layered densely connected network, every layer takes input as feature map from the
former layer [26]
9 Conclusion
Convolutional neural networks (back bone of numerous deep learning algorithms)

have shown state-of-the-art performance in high-level computer vision tasks. To
the best of our knowledge, in this paper, we try to include and cover the literature
which focuses on most advanced deep learning architectures. A brief introduction
of classical neural net models has been included to give the necessary background
knowledge about the subject in interest. Literature of most recent and complex archi-
tectures like inception, denseNet, googLe Net, etc., have been included to give the
reader a detailed explanation about deep learning techniques. All views and find-
ings of experts have been mentioned year wise to intact the interest and curiosity of
the readers. The general discoveries show that CNN establishes a promising proce-
dure with high grade performances in terms of accuracy, precision, and classifica-
tion. However, the accomplishment of each convolutional neural network model is
profoundly reliant on the nature of the informational collection used.
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A Comprehensive Study of Different
Converter Topologies for Photovoltaic
System Under Variable Environmental
Conditions
Preeti Gupta and S. L. Shimi
Abstract This article presents an overview of various dc-dc converter for isolated
and non-isolated topologies. Furthermore, the comparative analysis of various
topologies using control techniques based on different parameters such as voltage
gain, voltage stress, and efficiency is also discussed. On the basis of this study, authors
present a reader guide to classify different types of input sources like photovoltaic
(PV), wind, hybrid system etc., with voltage gain topologies for maximum power
point tracking (MPPT) algorithms. Different MPPT algorithms becoming important
due to their efficiency and ability to adapt and manage nonlinear parameters for
efficient energy transformation are generated through clean energy sources.
Keywords Converter topologies · Linear and nonlinear system · MPPT

techniques · Artificial intelligence · Multi-level boost converter
1 Introduction
Owing to the fast exhaustion of conventional resources, environmental destruction

and legislative reasons, interest has boosted in the use of non-conventional energy
sources to produce electricity. To generate electricity, it is required to utilize renew-
able sources of energy with their fullest extent to meet the ever-increasing require-
ments of energy globally. Solar energy, a great source of renewable power and is
used to generate electricity without polluting the nature, is having promising future
of using renewable energy. It has huge potential to provide a green and clean energy to
fullfill the demand of mankind. Unlike traditional energy sources, it is freely acces-
sible, replenished, and enables to reduce the greenhouse gas emissions, resulting
P. Gupta (B) · S. L. Shimi

Electrical Engineering Department, National Institute of Technical Teachers Training and
Research Chandigarh, Chandigarh, India
e-mail: preetiguptaee@gmail.com
S. L. Shimi
e-mail: shimi.reji@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_40
460 P. Gupta and S. L. Shimi
in reduction of global warming [1]. The conventional energy growth is rapidly

increasing day by day and therefore, approximately, $ 330 billion is invested in
2017.
Using the maximum power point tracking (MPPT), efficiency of the solar Photo-
voltaic (PV) system could be increased as it can extract the maximum existing
power out of the solar PV systems under fluctuating environmental condition like
temperature and solar irradiance, etc.
The highest possible energy of the solar PV system continually alters with atmo-
spheric conditions, so the important part of solar PV-based power system is a real-
time maximum power point (MPP) tracker. A MPP tracker is a controller for dc-dc
converter which utilizes a tracking algorithm to find and maintain the operation of
the solar PV module at maximum power point. Different types of MPPT algorithms
are described in the literature [2–6] but many of these are having constraints due to
nonlinear actions of the solar PV system. PV has achieved importance as a renew-
able energy source due to its numerous advantages like ease of utilization, paucity
of noise, long life, lack of environmental damage, lesser installation time, high flex-
ibility and accessibility, high portability and mobility of components, and ability
to match peak load demands [7]. A PV generation system has disadvantages like
diminished efficiency and dependency on atmospheric conditions [7].
PV arrays were implemented for various applications, for example, charging
battery systems, solar-powered water pumping systems, hybrid electric cars, and
satellite-powered systems[8, 9]. Renewable energy resources like wind and solar are
uncontrolled in nature. A hybrid system comprised of solar and wind can be designed
to enhance the power generation [10]. PV power depends on the insolation, temper-
ature, and load profile [11, 12] which is inversely proportional to temperature and
directly proportional to irradiance. The converters are used for providing desirable
output to the load.
2 Description of PV System Architecture
This system consists of PV module, converter topology, battery, MPPT controller

and electrical vehicle (EV) as a dc load. The dc-dc converter consisting of MPPT
controller is depicted in Fig. 1. The MPPT controller is to keep the power at output
of PV module at maximum and to uphold the desired voltage at the common dc bus.
To achieve this, operating current and voltage of the converter are adjusted, such
that the output always remains close to the MPP of PV system. The manufacturing
cost of this PV system is high, and it has low energy conversion efficiency because
its current–voltage (I–V) and power–voltage (P–V) characteristic are nonlinear and
atmosphere dependent. Therefore, as the incident solar radiation and temperature
changes, the maximum output power keeps changing.
A Comprehensive Study of Different Converter Topologies … 461
Fig. 1 Block diagram representation of dc-dc converter with MPPT controller
3 Overview of Different Converter Topologies
Different kinds of conventional dc-dc converters are as depicted in Fig. 2.
Fig. 2 Various types of conventional dc-dc converters

Various researchers over the past few years have utilized several different types of
dc-dc converter topologies to attain desired voltage gain, efficiency and minimized
voltage and current ripples for grid-connected applications. Due to the low power
yield by renewable energy sources, continuous research is going on to achieve better
performance in terms of high voltage gain for different applications such as charging
system of hybrid and plug-in electric vehicles and for grid-connected loads.
In [13], the authors discussed a novel topology of non-isolated dc-dc converter
consisting of dual-coupled inductor which gave very high voltage step-up gain, high
output efficiency, and low ripple which was present in the input current. In this, soft
switching is used which reduces switching losses as switches operate in ZVS mode
and diodes operate in ZCS mode. Active clamp circuit is used as well as with the
help of regenerative snubber, leakage energy is recycled at the output. Input and
output have a common ground due to which topology becomes a suitable nominee
for transformer-less grid-coupled PV systems. Proposed converter is experimentally
verified, and efficiency was calculated to be greater than 93%, whereas maximum
efficiency was calculated to be 96.6%. This converter is appropriate for low voltage
renewable energy sources power conversion for instance in a grid-linked PV system.
In [14], the authors have discussed that in dc-dc converter, inductors and capacitors
are main components for bucking or boosting only inductors and diodes in inductor
switching. Merits include reduced ripple current, reduced ripple voltage, and a single
switch operating at high frequency.
In [15], authors have discussed that one switch, one inductor with N number of
capacitors, and diodes are present in multi-level dc-dc boost converter. Inductor is
connected to dc source in series. The presented topology can give any output voltage
by addition of capacitors and diodes in the basic circuit. The chief demerit of the
presented topology is the requirement of large inductor.
In [16], the authors have discussed a novel boost dc-dc converter single-stage
topology incorporated with full-bridge converter. This topology can optimize and
control the individual PV-battery power-driven dc motor. Simultaneously charging
and discharging of the battery, MPPT, minimum current ripple and variable speed
regulation of dc motor can be obtained when the confluence of phase angle shift
(PAS), pulse frequency modulation (PFM), and pulse width modulation (PWM)
is implemented to the converter. In the converter, the shifting of the phase angle
procedure is used to manage the battery and capacitor RMS current so that effi-
ciency is improved by 2–6%. To validate the proposed topology, MPPT constant
voltage method is used but more advanced algorithm like incremental conductance
and perturb and observe (P and O) can also be used.
In [17, 18] have discussed that the requirement of power is growing day by day.
With conventional energy sources, the demand cannot meet. The renewable energy
systems like PV, fuel cell, wind system, etc., are alternative choices. For all these
renewable applications, converters are needed. For high power applications, single
input with multi output multi-level boost converter (MBC) is observed to be more
suitable. Merits of presented work are high output voltage, no requirement of trans-
formers, and operate at high switching frequency. Demerits in MBC topology are the
requirement of large number of diodes and capacitors to produce high output voltage.
In [19] have discussed about the poly-phase boost converter eliminating the large
ripple current present in the tank capacitor. Digital regulation is much more practical
for such topology due to synchronization requirements, phase shift function, current
adjusting, etc.
In [20] determined the efficiency of the PWM converters using active and passive
soft switching techniques. The authors designed and tested a boost converter under
the static and dynamic power factor improvement procedure condition as well as
dc-dc operation condition and discovered that the passive technique has improved
efficiency in the area of high power operation, whereas the active technique surpasses
the passive technique in the area of low power operation.
In [21], conventional dc-dc converter topologies are discussed reducing the size
of passive component using a novel technique to be operated at high frequency. In
[22] have discussed that many electrical loads like LCD, TV, electric pumps, and
SAI instruments operate at high voltage and low current. For all these applications,
a converter is proposed. It consists of three switches, three diodes, and an isolating
transformer. It operates at high frequency. It produces high output voltage with low
ripple content. But the converter has more number of switches and capacitors with
more complex gate driver circuit.
In [23] have discussed that for high power applications, the basic dc-dc converter
is not appropriate. With help of the basic dc-dc converter, a novel topology is derived.
It increases the magnitude of voltage at output by increasing the number of capacitors
and diodes without altering the conventional boost converter.
In [24] relative study among two topologies based on step-up converters the boost
and Multi-Level Boost (MLB) in PV-based applications have been discussed. To
control the matrix converter, new finite set model predictive control strategies are
used. Simulation results are showing the assessment consist of various performance
parameters for both type of converters.
In [25] has discussed that there are mainly two kinds of dc-dc converters, non-
isolated and isolated. Converters which operated at the high frequency are non-
isolated. These converters do not have transformers. To get high output voltage,
larger value of passive component is needed.
In [26] have proposed the interleaved boost converter having two-phases in hybrid-
mode for electric automobile application with fuel cell system to enhance the power
density, reduce the ripple in the input current, and enhance the efficiency of system.
Capacitor maintains a fixed voltage throughout the load whereas inductor maintains a
fixed current. The existing topology has high output voltage with fixed input current.
Disadvantages of the topology include the electromagnetic interference (EMI) and
high value of tapped inductance. It makes the converter heavy. Integrated dc-dc
converters with controllers can apply a different voltage to the controller input than
to the controller output. It can be used to regulate the voltage of a module interde-
pendently of the voltage of the battery, resulting in greater flexibility concerning the
voltage range of an input. These controllers can also be equipped with MPP algo-
rithms, which enable the solar module to be driven at the maximum power availability
point.
In [27, 28] the authors have discussed the operation and layout in continuous
inductor-current mode of an interleaved boost converter for a high power factor pre-
regulator circuit. Overall reduction in boost inductor size, volume of electromagnetic
interference (EMI) filter, and reduced switching losses can be achieved by using inter-
leaved converters. In [29], a family of converters with N-identical boost converters
linked in parallel is discussed. The implemented control employs interleaving method
which is based on the binary state-transition diagram.
In [30, 31] have presented a new category of ZVS-PWM active-clamping dc-dc
boost converters. The methodology presents ZVS commutation with reduced voltage
stress and a considerable rise in the circulating reactive energy all over the converters
so that the power density and efficiency are beneficial in respect of the hard-switching
boost converter.
The authors in [32] have proposed a high gain K-Y boost converter. It is very
appropriate for small ripple applications because input and output currents of inductor
are continuous and due to these characteristics, it is different from conventional
synchronously rectified (SR) boost converter. Above the half load, this converter has
the efficiency of 90% or more. However, the suggested converter is appropriate for
low power applications as the surge current produced by charging pump is essential;
however, by using soft switching, this converter becomes appropriate for high power
applications.
In [33] have designed buck–boost converter, integrating the KY converter with
conventional SR buck using the identical power switches it has a positive output
voltage and no right-half plane zero. It also has non-pulsating output current that
minimizes the current stress on the output capacitor as well as minimizes the output
voltage ripple. The suggested converter can operate stably for any dc load current,
with an efficiency of 88% or more above 0.25 A load current. It is necessary to utilize
and use non-conventional energy sources on a much greater level for a sustainable
and continuing energy supply. The solar PV is estimated to be most prominent among
the renewable sources because of its unlimited supply, ease of installation, and it is
almost maintenance-free. However, the solar power is costlier compared to the fossil
fuel due to little conversion efficiency of the PV modules. One efficient method to
enhance the efficiency is MPPT algorithm, as the MPPT consists of software codes,
this strategy proves to be most cost-effective way of improving the energy output.
A major advantage of dc-dc converters is the maximum power point monitoring
possibility which enables so-called MPP trackers to always utilize the maximum
accessible power from the solar module. In some cases, this can lead to a higher
energy yield from solar module. Batteries are charged with constant current and not
with discontinuous currents like shunt and serial controllers. DC-DC converters have
considerably lower charging efficiency because of many power handling parts such
as storage throttle resulting energy losses. It makes such controllers much costlier
than shunt-controllers or serial-controllers as investigated in [34].
There are numerous ways to match the load impedance and PV panel. The system
consists of a dc-dc or dc-ac converter as well as an MPP computation scheme. The
input and output current and voltage and the climatic variants are measured by MPPT
system, and then the output power is calculated to regulate the input impedance of a
converter by varying the duty cycle of the control signal. The PV plant efficiency is
influenced by the efficiency of the PV module, the converter, and inverter efficiency as
well as the efficiency of the MPPT algorithm. With the help of advanced algorithms,
MPP monitoring is simpler and contributes to enhance in the PV power production.
Efficiencies of PV panel and the converter/inverter efficiencies are not effectively
enhanced as they rely on the existing configurations of the hardware, but by enhancing
the monitoring of the MPP with new advanced algorithms, it is possible to extract
maximum power from the PV system as illustrated in [35].
Comparative studies of various converter topologies for different systems are as
given in Table 1.
Table 1 Comparison of various topologies used in dc-dc converter
466
Ref. DC-DC converter Control Number of Voltage/Current Gain Application Advantage Disadvantage
No. topology technique passive ripple
components
[36] Interleaved boost Fuzzy logic 9 … 10 Solar PV, fuel (1) Efficiency 96% under full Beyond 4 to 5
converter controller cell stack, load condition Turns ratio of
battery, grid-tied (2) Stable voltage output of inductor and
systems etc. the converter is achieved duty cycle 0 to
even when the load 0.7 losses
change from 100 to 10 become
(3) Low switching loss significantly
duri0g turn on without high
any extra circuit
arrangement
(4) High voltage gain with
reduce number of passive
components
(continued)
P. Gupta and S. L. Shimi
Table 1 (continued)
components
[37] Soft-switching Secondary 13 Low 14 Applicable for (1) Natural commutation i.e. Not used for
snubber less modulation (nominal) fuel cell vehicle active-clamp circuit or wind, PV
Bidirectional technique Microgrid, V2G, passive snubbers not
current fed dual uninterruptible required
active bridge (CFD power system, (2) Low switching loss
AB) energy storage (3) Modular, scalable for
Converter etc high power applications
[38] Switched State space SC-SBC (5), Low Very high Power (1) Very High voltage gain (1) Analysis is
capacitor/switched averaging SC-SL/SBC generation using with low duty cycle performed
inductor/switched method (6) renewable (2) Less number of passive by assuming
boost converter energy, components the ideal
(SC/SL-SBC) uninterruptible (3) Low voltage stress on characteristic
power supply, power switch and across of converter
high intensity the output diode components
discharge (4) Expandability means (2) Not use for
headlamps of additional cells cascaded nonlinear
automobile etc for high voltage gain system
A Comprehensive Study of Different Converter Topologies …
(5) Validation with hardware

prototype
(continued)
467
Table 1 (continued)
468
components
[39] Extendable Voltage lift For 1 stage Not considered Approx. … (1) High voltage gain (1) Neglect the
topology (VL) (5) 16 (2) a. Efficiency in voltage and
comprising only technique For n stage continuous conduction current
two switches with (2n + 5) mode is by simulation ripple
n stage having (n + 96% experimentally (2) Result
1) inductors, (n + calculated 93.8% obtained
1) capacitors and b. efficiency in discontinuous experimentally
(2n + 1) diodes conduction mode by only for 1
simulation 90.5% by stage
experiment 87.9% (3) Increased
(3) Additional stages switching
possible for higher gain losses and
(4) Simple design, cheap, reduction in
high power density efficiency
are
observed
with
increase in
switching
frequency
(continued)
Table 1 (continued)
components
[40] Clamp switch Zero voltage … … … Benefits of this (1) Reduce switching …
triangular current switching topology in frequency variations due
mode (TCM) (ZVS) those to this filter design
Boost converter modulation applications become simple in EMI
which have high sensitive applications
output voltage (2) No complexity in
and power hardware design
(3) The modulation scheme
and mode are also
applicable for a
unidirectional buck
CL-TCM converter
[41] Single switch Soft 6 Very less 10 (1) Used in PV (1) Without applying high (1) Diodes and
integrated boost switching system and duty ratio high voltage active
converter fuel cell gain can be achieved switches are
(2) For those (2) Without clamp circuit assumed
sources leakage of inductance ideal
A Comprehensive Study of Different Converter Topologies …
which gave energy recycled (2) No

very low dc (3) Improved efficiency hardware
power (4) Simple circuit design and Verification
supply easy control as only single
power switch is used
(5) Low voltage stress on the
switches
(continued)
469
Table 1 (continued)
470
components
[42] Isolated … 6 Very small Approx. (1) Used for PV (1) High voltage gain in All components
Bidirectional current ripple on 7.91 module, step-up mode and low are considered
Interleaved low voltage side wind turbine voltage gain in step down ideal
Converter etc mode
(2) Used for dc (2) High efficiency at full
load, and for load in step-up mode
system 93.8% and in step down
connected to mode 94.6%
AC grid (3) Less voltage stress on
power switches
[43] Flying capacitor Phase-shifted 8 low 10 … (1) Compact structure …
multi-level boost pulse width (2) High voltage gain with
converter modulation 94.1% peak efficiency
(PSPWN) (3) Inductor size 13.5 times
smaller than conventional
boost converter
(4) Improvement in all over
power density
(20 W/cm3 )
[44] Interleaved boost Inter leaving 10 Low input 12 PV application (1) High voltage gain with Considerable
converter with diode current ripple high efficiency approx. ripples (10% of
capacitor 96% input current)
multiplier (2) Low voltage stress on taken for
(DCM) cell switches and diodes designing the
(3) Modularity inductor and
(5% of total
output voltage)
taken for output
capacitor
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A Novel Approach for Predicting
the Compressive and Flexural Strength
of Steel Slag Mixed Concrete Using
Feed-Forward Neural Network
Abstract In the present study, we have used feed-forward neural network (FFNN)
for the prediction of compressive and flexural strength of steel slag mixed concrete for
pavements. The compressive and flexural strength of the specimens were examined
experimentally for the specimens consisting of 0, 10, 15, 20 and 25% Argon Oxygen
Decarburization (AOD) steel slag as a partial replacement of cement in M40 concrete
mix. The curing of specimens was done for 3, 7, 28, 90, 180 and 365 days and
thus accounting for the total of 90 observations. Both the output parameters were
dependent upon 8 input parameters. To evaluate the performance of the FFNN model,
we have used Mean Squared Error (MSE) and Mean Average Error (MAE) as the
performance indicators.
Keywords AOD steel slag · Compressive strength · Flexural strength ·

Feed-forward neural network · Back-Propagation method
1 Introduction
India is the second largest manufacturer of stainless steel in the world. Argon Oxygen
Decarburization (AOD) slag and Electric Arc Furnace (EAF) slag are the two main
types of slags generated at the time of production of the stainless steel. But these
days, around 80% of the stainless steel is produced using AOD refining process.
Further, it is calculated that approximately 270 kg of waste slag is produced during
the refining process for production of 1 ton of stainless steel slag [1]. Therefore,
keeping in mind the environmental protection and sustainability it has become very
difficult to dispose these huge quantities of industrial wastes. Hence, use of these
T. Gupta (B) · S. N. Sachdeva

Department of Civil Engineering, National Institute of Technology, Kurukshetra, India
e-mail: tanvigupta0314@gmail.com
S. N. Sachdeva
e-mail: snsachdeva@yahoo.co.in

https://doi.org/10.1007/978-981-15-5463-6_41
476 T. Gupta and S. N. Sachdeva
wastes as a construction material will not only help in reuse and recycling of waste
but will also reduce the overuse of natural resource like sand, aggregates, etc.
Usage of concrete in the construction and infrastructure industry has increased
manifolds because of its excellent durability properties. It is now the maximum used
resource after air and water.
Further, demand of concrete pavements is also increasing as compared to flexible
pavements. Therefore, there is a need to replace the natural constituents of concrete
with the industrial waste for eco-friendly and sustainable growth [2]. It is very well
known that cement is one of the most important ingredients of concrete and is respon-
sible for strength and other durability characteristics of concrete. But according to
the recent researches, production of cement is responsible for high amount of carbon
dioxide emission in the environment. It is found that 1 ton of cement produces equal
quantity of carbon dioxide gas and which is estimated to be approximately equal
to 7% of the total CO2 gas produced globally [3–5]. Hence, the issue of high emis-
sion of carbon dioxide gas from the cement plant cannot be overlooked and various
substitutes need to found out for cement as a replacement in concrete production.
Concrete is considered to be highly nonlinear material, and it is very difficult
to predict and estimate its strength and behavior. Nature and properties of concrete
depend upon several factors like water-cement ratio, water content, cement, fine
and coarse aggregates, mineral admixtures, etc. Therefore, artificial neural network
(ANN) (a class of soft computing techniques) is a tool to model such nonlinear
concrete systems for their strengths and other properties using the experimental
data [6]. Equations for computing compressive and flexural strength of conventional
concrete are given by the different codes and standards. Therefore, there is a require-
ment to find out the strength equations when extra cementitious materials like slag,
fly ash, rice husk ash, waste glass, etc. are added or replace by other constituents of
concrete. Further, there is a need to formulate some mathematical equations that can
develop the relationship between the behaviors of concrete with other cementitious
materials [7].
The FFNN model has been widely used in the literature for the prediction [8],
modeling [9] and control of complex systems [10]. It consists of the number of
parallel layers which consists of neurons. All these layers operate simultaneously.
When the FFNN model undergoes training, its connection weights undergo change
[11]. We expect that after sufficient amount of training these weights attains such
values so that the output of the FFNN model follows/predicts the desired outputs.
1.1 Novelty/Contributions of the Paper
1. Production of cement is responsible for CO2 emission in the environment. There-

fore, this paper explores an alternate solution to replace cement partially by AOD
steel slag in cement concrete pavement.
A Novel Approach for Predicting the Compressive … 477
2. These days disposal of industrial waste is a menace and in this paper we have
found a solution by utilizing stainless steel industry waste, that is, AOD steel
slag for making concrete mix.
3. Predicting the compressive and flexural strength of steel slag mixed concrete
using the feed-forward neural network.
2.1 Materials Used and Mix Design
The objective of the study is to formulate a neural network model to predict the
compressive and flexural strength of AOD slag added concrete for pavements. In
order to carry out the study, cement was replaced partially replaced by AOD steel
slag for different percentage like 0, 10, 15, 20 and 25%. The specimens prepared
using various proportions of steel slag were subjected to curing for 3, 7, 28, 90, 180
and 365 days. The mix design for M 40 concrete mix was done with the help of IRC:
44-2008 [12] and IS: 10262-2009 [13] as shown in Table 1. Water-cement ratio of
0.38 was adopted for the mix design and the water content of 158 kg/m3 was kept
constant for all the mix.
AOD steel slag was procured from the Jindal Stainless steel Limited, Hisar. Ordi-
nary Portland Cement (OPC) 43 grade complying with IS: 8112 (1989) [14] and
having specific gravity of 3.15, fineness of 5 mm and 28.5% consistency was used to
carry out the present study. Stone dust with specific gravity 2.63 and 16 mm nominal
sized coarse aggregates with specific gravity 2.74 were used. Further, in order to
investigate the compressive strength, 150 mm × 150 mm × 150 mm cubes were cast
and similarly beams of dimension 100 × 100 × 500 mm were cast to carry out the
flexural strength test when cement was replaced by 0, 10, 15, 20 and 25% of AOD
steel slag.
3 Theoretical Foundation of FFNN Model
A FFNN considered in this paper consists of three layers namely: input layer, hidden
layer, and the output layer. The role of input layer is to transmit the external signals to
the hidden layer neurons. The hidden layer neurons process the weighted input signals
and do the nonlinear processing. The weighted outputs of these hidden neurons then
become the induced field for the output layer neurons. The FFNN model structure
is shown in Fig. 1. The induced fields and the outputs of the hidden neurons are
represented by the following vectors V (k) = {V1 (k), V2 (k), Vq (k)} and S(k) =
{S1 (k), S2 (k), Sq (k)} respectively and q represents number of hidden neurons. There
are two types of adjustable weights in FFNN: input to hidden layer (represented by
W I (k) vector) and hidden to output layer weights (W o (k) vector). Since there are two
478
Table 1 Mix design of concrete

S. No. Mix grade Cement Steel slag as Steel slag Fine Coarse Water S. P. % by S.P (kg/m3 ) Water/Cem
(kg/m3 ) % of CeMa (kg/m3 ) aggregates aggregates (kg/m3 ) weight of ratio
(kg/m3 ) (kg/m3 ) CeMa
1 M40 416 − − 648 1223 158 1 4.16 0.38
2 S10 411.89 10 45.77 627 1218 158 1 4.577 0.345
3 S15 389.01 15 68.65 622 1209 158 1 4.577 0.345
4 S20 366.13 20 91.53 617 1200 158 1 4.577 0.345
5 S25 343.24 25 114.41 613 1191 158 1 4.577 0.345
T. Gupta and S. N. Sachdeva
Fig. 1 Structure of the FFNN model
outputs in our data set, so two neurons are considered in the output layer of FFNN.
These two outputs are defined as follows:

1
1
yFFNN (k) = Wo1 f Vq (k) = WO f W pq (k)x p (k)
I
(1)
q q p

2
2
yFFNN (k) = Wo2 f Vq (k) = WO f W pq (k)x p (k)
I
(2)
q q p
3.1 Problem Formulation
The optimization problem considered in this paper is to adjust the weights of FFNN in
such a way so that its outputs start following the desired outputs obtained experimen-
tally. Let the desired two outputs (compressive and flexural strengths respectively)
are denoted by yd1 (k) and yd2 (k). These two outputs are dependent upon the eight
input features/signals and are described mathematically as follows:
yd1 (k) = F[x1 (k), x2 (k), . . . , x8 (k)] (3)

and
yd2 (k) = G[x1 (k), x1 (k), . . . , x8 (k)] (4)
Functions F and G represent the unknown hidden relationships existing between

the inputs and the outputs of the data set. They are to be approximated by the corre-
sponding two outputs of the FFNN model. The same inputs are also given to the
FFNN model as its inputs. Thus,

1
yFFNN (k) = F [x1 (k), x2 (k), . . . , x8 (k)] (5)
and

2
yFFNN (k) = G [x1 (k), x2 (k), . . . , x8 (k)] (6)
and the expectation is that as the training undergoes the following equation is satisfied:

lim yd1 (k) − yFFNN
1
(k) → 0 (7)
k→
and

lim yd2 (k) − yFFNN
2
(k) → 0 (8)
k→
The prediction configuration based on FFNN model is shown the Fig. 2
Fig. 2 FFNN based prediction configuration

4 Learning Algorithm for FFNN Model
In this paper, Dynamic Back-propagation (DBP) algorithm is used for obtaining the
recursive update equations for the weights of the FFNN model. This is a gradient
descent approach and has been applied widely in the literature. It aims at minimizing
an objective function during the training process. The objective function is usually a
Total Mean Square Error (TMSE) and is defined as follows:

2
E T (k) = E i (k) = E 1 (k) + E 2 (k) (9)
i=1

2
2
where E 1 (k) = 21 yd1 (k) − yFFNN
1
and E 2 (k) = 21 yd2 (k) − yFFNN
2
. On differenti-
ating the objective function w.r.t. the weights their corresponding update equations
are obtained. The update equations for the first output weight vector are obtained as
follows:
∂ E T (k) ∂ E T (k) ∂ yFFNN

1
(k)
= × (10)
∂ W (k)
o1 ∂ yFFNN (k)
1 ∂ W (k)
o1
and the update equation is given by
∂ E T (k)
W o1 (k + 1) = W o1 (k) − η (11)
∂ W o1 (k)
where η is the learning rate parameter which control the speed at which the weights
undergoes change. Its value lies in the interval [−1, 1]. The various partial derivatives
involved in the above equations can be evaluated using the chain rule. Similarly, the
update recursive weight updates equation for second output weight vector:
∂ E T (k)
W o2 (k + 1) = W o2 (k) − η (12)
∂ W o2 (k)
By following the similar procedure, the input weights update equations can be
obtained.
5 Simulation Experiments
Here, a total of 90 input-output data samples are obtained experimentally. Out

of which 70 and 20 samples are used for the training and testing FFNN model
respectively. Before initiating the training, normalization of the experimental data is
Table 2 Range of input

Input parameters Minimum value Maximum value
parameters in the
experimental data W/C ratio 0.3450 0.3800
Water (kg/m3 ) 158.1 158.1
Cement (kg/m3 ) 343.2400 416.0500
Steel slag (kg/m3 ) 0 114.41
Coarse aggregates (kg/m3 ) 1191.54 1247.31
Fine aggregates (kg/m3 ) 613.619 661.595
Super plasticizer (kg/m3 ) 4.16 4.5770
Curing time (days) 3 365
performed in the range [−1, 1] by using the normalization formula: X N = −1 +

2(X −X min )
X Max −X Min
where X represents any data sample and X N represents its normalized value.
To check the performance of the FFNN model, the following two indicators are used:
1 70
Mean Average Error(MAE) = 70 i=1 |Ti − Pi | and Mean Square Error(MSE) =
1 70
i=1 (Ti − Pi ) where T and P denotes target (desired) and predicted value (by
2
70
FFNN model). Further, the minimum and maximum values of the input parameters
are shown in Table 2.
The η is set to 0.071 and 5000 epochs are used for the training. The response
obtained for yd1 (k) and yFFNN
1
(k) during the training and validation stage is shown
in Figs. 3 and 4, respectively. The corresponding MSE and MAE plots obtained are
shown in Fig. 5. Similarly, yd2 (k) and yFFNN
2
(k) training and validation response and
their corresponding MSE and MAE plots are shown in Figs. 6, 7 and 8, respectively.
From the figures, it can be seen that the outputs of the FFNN model are able to follow
1
Fig. 3 Response obtained from the yFFNN (k) and yd1 (k) during the end of the last epoch of the
training stage
1
Fig. 4 Response obtained from the yFFNN (k) and yd1 (k) during the validation stage
1
Fig. 5 MSE and MAE response obtained from the yFFNN (k) and yd1 (k) during the training stage
the desired outputs. Hence, the trained FFNN model can be used as a prediction
model.
6 Conclusion
The FFNN-based prediction model has been implemented for the compressive and
flexural strength of steel slag mixed concrete for the pavements. These two outputs
involve a nonlinear relationship with the eight input parameters. The FFNN model has
been trained using the Back-Propagation algorithm. The responses obtained from the
2
Fig. 6 Response obtained from the yFFNN (k) and yd2 (k) during the end of the last epoch of the
training stage
2
Fig. 7 Response obtained from the yFFNN (k) and yd2 (k) during the validation stage
FFNN model during the training and validation stage shows its ability to approximate
the underlying complex relationship existing between the experimentally obtained
inputs and outputs data samples. Thus, the results obtained in this paper show the
efficacy of the proposed method.
2
Fig. 8 MSE and MAE response obtained from the yFFNN (k) and yd2 (k) during the training stage
References
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Progress and Latest Developments
in Hybrid Solar Drying with Thermal
Energy Storage System
Narender Sinhmar and Pushpendra Singh
Abstract The present paper represents the progress and latest developments in
hybrid solar drying along with thermal energy storage. Drying requires large amount
of continuous energy for removing the present moisture in food and agriculture
commodities. Solar energy is a most reliable renewable energy source available
freely all around the world. Solar energy along with thermal energy storage can meet
the continuous energy requirement for drying processes. A hybrid solar dryer is eco-
friendly renewable energy device used for drying the food and agriculture commodi-
ties. Hybrid solar dryer requires small functional area, and it saves time and improves
quality of food products compared to other conventional drying methods. Solar dryer
is classified into three categories: direct solar dryers, indirect solar dryers, and mixed-
type dryers. Hybrid solar drying is a continuous drying method; it works in night
hours by back up of thermal source with energy storage. Drying is completed rapidly
by hybrid solar dryer and product is saved in good quality and without spoilage by
microbial infestation. A hybrid solar dryer does not merely depend upon solar energy
for its operation but also it combines other components of heating source with sun
energy. In this paper, the progress and latest developments in hybrid solar drying
technique with thermal energy storage system are represented.
Keywords Hybrid solar dryer · Solar collector · Food and agriculture

commodities · Phase change materials (PCM)
Nomenclature
CPV Concentrating photovoltaic

DSSC Dye-sensitized solar cells
N. Sinhmar (B) · P. Singh

Department of Mechanical Engineering, Delhi Technological University, Delhi, India
e-mail: narendra_phd2k18@dtu.ac.in
P. Singh
e-mail: dr.psinghs@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_42
488 N. Sinhmar and P. Singh
FPC Flat plate collector

ETSC Evacuated tube solar collector
PCM Phase change materials
OSD Open solar drying
Mo Initial moisture
mi Initial mass of sample in kg
md Mass of dry sample (oven) in kg
Mf Final moisture
ms Mass of sample dryed (solar dryer) in kg
Mt Moisture content at time t
mt Mass of sample at time t
MR Moisture ratio
Me Equilibrium moisture content
mw Mass of water evaporated from the sample
mp Mass of product in kg
ïoverall Overall efficiency of the solar air heater
ASAH1 Area of solar air heater 1 in m2
ASAH2 Area of solar air heater 2 in m2
T SAH1 Temperature of solar air heater at inlet in °C
T SAH2 Temperature of solar air heater at outlet in °C
I Intensity of solar radiation in W/m2
A Absorptivity
T Transmissivity
Ed Energy input to the dryer
PB Power required by the blower in watt
t mixed mode Time needs to complete drying in mixed mode solar dryer
ïmixed mode Drying efficiency
hfg Latent heat of vaporization in MJ/kg
t OSD Time required to complete drying in open solar drying
L* Degree of lightness
a*− Degree of greenness
a*+ Degree of redness
b*− Degree of blueness
b*+ Degree of yellowness
E Total colour change of a sample
DPPH 1-diphenyl-2-picryl-hydrazyl
TE Trolox equivalents
GAE Gallic acid equivalents
NaoH Sodium hydroxide
NaNO3 Sodium nitrate
AlCl3 Aluminum chloride
Progress and Latest Developments in Hybrid Solar Drying … 489
1 Introduction
The demand of energy and food material consumption is increasing at very rapid rate
with the population increasing. Solar energy gifted by the god is the most reliable
conventional source of energy. Solar energy receives thousands of watts of energy
regularly on the earth. In total received energy on the earth, only a very less amount of
energy available in a form of solar radiation and photosynthesis process is utilized by
the present world, and one-third parts are reflected back into the solar space and rest
amount is soak up by land, oceans, clouds, and living beings [1–4]. Thus, it is very
essential to collect solar energy and utilize it for the welfare of human beings. The
consequence of using solar energy on the surroundings is minimal because it does
not produce harmful pollutants. Researchers have developed various new innovative
technologies to the best use of solar energy for human beings and are continuously
working on development of new technologies for maximum utilization and collection
of solar energy [1]. The storage and collection of solar energy are challenging task,
as it is only available during day time. Solar thermal collectors are the devices that
collect heat by absorbing solar radiations which then converted to thermal energy and
transferred into a working fluid. A hybrid solar drying technique with phase change
material-assisted system can become effective alternative.
2 Solar Energy
Sun is an important source of non-conventional energy available on the earth. The

energy available in the sun can harness by two ways, i.e., directly (by photovoltaic
technologies) and indirectly (by solar thermal collectors) [2].
2.1 Solar Photovoltaic Technologies
Photovoltaic devices are the electronic devises that convert sunlight energy directly
into electricity [3]. Photovoltaic devices are also known as solar cells. Photovoltaic
technologies are usually classified into three categories:
(i) First generation: It is the oldest solar cell technology and is still popular. The
silicon-based cells are classified into four categories for the formation of solar
cells as amorphous silicon cells, monocrystalline silicon cells, polycrystalline
silicon cells, and hybrid silicon cells.
(ii) Second generation: Second-generation solar cells are usually known as thin-
film solar cells. These are generally categories into four types as amorphous
silicon, copper–indium–selenide, cadmium–telluride (CdTe), and copper–
indium–gallium–diselenide (CIGS).
(iii) Third generation: The third generations of solar cells are being generated
from different categories of new materials like nanotubes, silicon wires, and
solar inks using conventional printing press technologies, organic dyes, and
conductive plastics. It includes organic solar cells, black silicon solar cells,
concentrating photovoltaic (CPV), and dye-sensitized solar cells (DSSC) [4].
2.2 Solar Thermal Collectors
Solar thermal collectors are the devices that convert solar radiation into thermal
energy and transfer it into a medium (water, solar fluid or air). Basically, the two
types of solar collectors are stationary and tracking [1]. The classification of solar
thermal collector is given in Fig. 1. On the basis of temperature, solar thermal collec-
tors are classified into three categories: (a) low temperature collector, (b) medium
temperature collector, and (c) high temperature collector. The application of solar
thermal collector is given in Table 1 [1, 2, 5, 7].
Flat plate collector (FPC) is mostly used in solar energy collection but these
collectors have one disadvantage, low efficiency. Sabiha et al. [1] have compare and
found that an evacuated tube collector has higher efficiency compared to flat plate
Fig. 1 Classification of solar collector
Table 1 Applications of
Residential applications Industrial applications
solar thermal collectors
1. Water heating 1. Food drying
2. Air conditioning 2. Drug and pharmaceutical
3. Solar cooking 3. Paper and lather
4. Boiler house 4. Steam generation
5. Hospital 5. Swimming pool heating
6. Hotels 6. Desalination of sea water
7. Nursing home 7. Textile
collector. The evacuated tube solar collectors (ETSC) have low cost and less heat
loss than standard FPC. Mehla and Yadav [6] developed an evacuated tube solar
air collector with thermal energy storage as phase change material (PCM) operated
on a rotary desiccant dehumidifier. The heat is stored in the PCM (acetamide) by
using solar energy through evacuated tube solar collector. The stored heat is then
utilized to generate hot air during off sunshine hours. The dehumidification coeffi-
cient of performance, dehumidification effectiveness and regeneration effectiveness
is observed as 0.0327, 8.17 and 10.35%, respectively, at 16 rph of the desiccant wheel
with 127.23 kg/h air flow rate.
3 Solar Dryer
Solar dryer is a low cost, effective, and safe renewable device used for drying agri-
culture and food commodities. It preserves the food products with required quality
with negligible environmental impacts. In solar drying, the moisture content avail-
able in agriculture or food products is removed by hot air produced from solar dryer
having temperature range 50–60 °C [8]. Open-sun drying is an old, easy, popular,
and economical technique for drying the food and agriculture products. The main
drawback is that the drying variables like temperature, heat input, moisture content,
air flow rate, etc., cannot be controlled. The other drawbacks of open-sun drying
techniques include quality, debris, rain, insects, and animals [9]. In 1976, Everitt
and Stanley formed first type of solar dryer to avoid open-sun drying. It was made
of transparent cover box shape chamber to pass sunlight easily. The main motive of
this formation was to develop such type method that overcomes the difficulties in
open-sun drying.
3.1 Classification of Solar Dryer
A variety of solar dryers is found in various shape and size according to the require-
ment. The solar dryers are categorized on the basis of operating parts like solar
collector, air movement mode, air direction movement, and types of products to be
dried. Solar dryer are generally classified into three types as shown in Fig. 2. In case
of direct solar dryer, the moisture of the food materials is removed by the direct
striking of solar radiation on the product itself with or without air circulation. In
indirect solar dryers, a separate solar collector is attached with the drying unit. The
main components of indirect solar dryer are solar collector, drying chamber, fan, and
duct for circulation of air. In hybrid solar dryer, solar energy source is connected
with other auxiliary source of energy such as electricity and biomass that can be
used in combined or single mode [8]. Daghigh and Shafieian [10] discussed the heat
recovery system for better utilization of solar energy in the dryer to increase the
overall efficiency of the system. Sundari et al. [11] invented a solar dryer and worked
Fig. 2 Types of solar dryers
on them to find its performance for drying chilli under the meteorological condition
of Thanjavur, Tamilnadu, India. The designed solar dryer is tested and compared
with natural sun drying. The average initial moisture of chilli was 87.36% and it is
reduced to final moisture 3.4% in 10 h with thermal energy storage. Whereas it takes
12 h in the drying without thermal energy storage and 32 h in open-sun drying.
3.2 Hybrid Solar Dryer
The hybrid solar dryer works mainly on solar energy but it also required auxiliary
source or some other conventional energy sources such as biomass and electricity for
smooth functioning and can be used in single or combined mode. Ferreira et al. [12]
developed a hybrid solar dryer and conducted test on drying the banana chips. In his
studies, he found that drying rate of the hybrid solar dryer was observed better than
the open and artificial dryer. The energy economy of the dryer was claimed to be 38%
compared to the artificial dryer. The drying time was observed lower in hybrid solar
dryer compared to the open and artificial drying for the same outlet air temperatures.
Prasad et al. [13] experimentally performed and compared the results of ginger drying
with open-sun drying and hybrid solar biomass drying. The drying rate of hybrid dryer
was reported better than open-sun drying. The constructional view of hybrid solar
drying is given in Fig. 3 [13]. Thanaraj et al. [14] compare the result of solar hybrid
dryer and copra kiln. In the study, they found that high quality white copra could
be processed in solar hybrid drying. However, no white copra could be processed
in kiln drying. The thermal efficiency was reported to be 15.5%. Mehla and Yadav
[15] developed an evacuated tube solar dryer and connected it with thermal energy
storage for generating hot air continuously for off sunshine hours. For thermal energy
storage, acetamide was used in the form of phase change material (PCM). The thermal
storage efficiency of PCM was observed with different configurations and it varies
from 14.43 to 17.65%. Ouassila et al. [16] experimentally studied tomato waste solar
drying by the use of new greenhouse-type solar drier. Aymen et al. [17] developed
Fig. 3 Hybrid solar dryer [13]
mixed mode solar greenhouse dryer with forced convection and studied solar drying
of red pepper grown with them. The constructional details of an evacuated tube solar
air collector connected with the thermal energy storage are represented in Fig. 4.
It consists of a header or heat exchanger having two square hollow boxes as shown
in Fig. 5. It is made up of two rectangular mild steel boxes and one rectangular box
is axially fitted into the other rectangular box. The upper rectangular box cuts 40
holes and 20 holes on each side. The holes are made for inserting the open end of
the evacuated tubes and the closed ends of the tubes are supported by the frame. A
circular mild steel hollow pipe having a diameter of 0.075 m is fitted at the center of
Inner rectangular box. 50 kg of standard made acetamide (PCM) is filled in the inner
rectangular box. The outer surface of rectangular box is covered with an insulation
of polyurethane to prevent heat transfer from the header to the atmosphere. A blower
of capacity 0.350 kW was used to blow the air in the solar air collector. The blower is
run by auxiliary AC source and air flow rate is controlled with the help of a regulator.
Authors analyzed that square shape obstruction in mass flow rate of air produced
more suitable results in term of efficiency and also they found that enhancement
of air flow rate increases the system efficiency. Cipliene et al. [18] developed a
hybrid solar collector system for ensuring 24 hours continuously drying by employing
accumulated energy. Air-type solar collector was used for drying medicinal plant in
the day time while flat plate collector was used to accumulate energy in water tanks
for drying the sample in night hours. The accumulate energy stored in water tanks
found sufficient to run the drying unit more than 11 h in night time.
Fig. 4 Solar-evacuated tube air collector connected with drying system and PCM unit [15]
Fig. 5 Header with PCM storage unit [15]
3.3 Thermal Energy Storage in Food Drying [19]
The energy storage has a big role in the effective and efficiently functioning of
various drying systems. The three different methods have been invented to store
thermal energy in drying process and research is still going on in this area.
(i) Sensible heat storage: The first method is sensible heat storage. It works on
increasing the temperature of a solid or liquid substance to store and release
heat with the decrease in temperature when it is necessary.
(ii) Latent heat storage: The second method is latent heat storage. Generally, phase
change materials (PCM) are used for latent heat storage. Phase change materials
are the substances with high heat of fusion that absorbs and releases thermal
energy during the process of melting and freezing. Heat is absorbed or released
when the substance changes from liquid to solid and vice versa.
(iii) Thermo-chemical energy storage: Thermal energy available from the sun can
be stored as chemical energy and the process is known as thermo-chemical
energy storage. In this process, the energy is absorbed and released during the
reforming or breaking of molecular bonds in a completely reversible chemical
reaction.
3.4 Drying Parameters of Food Products [20]
The drying characteristics of the food materials are given by the various drying
parameters given below.
S. Drying parameters
No.
1. Initial moisture, M o = mi − md /mi
2. Final moisture, M f = ms − md /ms
3. Moisture content at time t, M t = mi − md /mt
4. Moisture ratio MR = M t − M e /M o − M e for constant relative humidity
MR = M t /M o for relative humidity fluctuates continuously
5. Mass of water evaporated from the sample is calculated by
mw = mp (M o − M f )/100 − M f
6. Overall efficiency of the solar air heater is calculated by
ηoverall = m.C pa (T SAH1 − T SAH2 )/(ASAH1 + ASAH2 )IαT 2
7. Energy input to the dryer is calculated by
E d = [(ASAH1 + ASAH2 + Adryer ) × I + PB] × t mixed mode
8. Drying efficiency is known as the ratio of amount of energy required to extract moisture
from the product to the energy supplied to the dryer
ηmixed mode = mw hfg /E d
9. The amount of time saving by using proposed dryer is
% of time saving = t osd − t mixed mode /t osd × 100
Quality Analysis [20]

The quality of any food products is analyzed by various factors which are given
below.
S. Characteristic factors
No.
1. Color analysis
Color gives an idea of the quality of any product and also gives a universal
psychological aspect of acceptance for use.
Change in color of any product indicates experimentation of products for, e.g., Black
Turmeric.
A fresh and dried product slice color is determined in the terms of L*, a* and b* values
with reference of hunter laboratory calorimeter.
Total color change of a sample and is calculated by:
√
E = ( L ∗ )2 + ( a ∗ )2 + ( b∗ )2
where L ∗ = L ∗ − L ∗0 , a ∗ = a ∗ − a0∗ , b∗ = b∗ − b0∗
L ∗0 , a0∗ , b0∗ are the standard color data. All the color analysis repeated for the three times
and the average value have been taken.
2. DPPH radical scavenging activity
Nayak et al. used a method to determined free radical scavenging activity (Antioxidant
activity) with a 2, 2-diphenyl-1-picrylhydrazyl (DPPH), radical assay.
The agent was prepared fresh by 100 µM of DPPH in ethanol and then 1 ml of this
solution was added to a test sample (4 ml).
The reaction sample was prepared to shaken well and incubated for 30 min at room
temperature.
UV–vis spectrophotometer was used to read at 517 nm against blank.
The results were expressed as µmol of trolox equivalents (TE) per gram of sample.
All the determinations were performed in triplicate.
3. Total phenolic content
The total phenolic content of extracts was determined by using Folin-ciocalteu reagent
assay. Extract of 0.1 ml aliquot was mixed with 0.1 ml of Folin-ciocalteu reagent and
allowed to react for 3 min and then 0.3 ml of 2% sodium carbonate (Na2 CO3 ) sol. was
added.
The mixture was allowed to settle for 2 h before the absorbance was measured at
760 nm using UV–vis spectrophotometer.
Gallic acid was used as the standard for calibration curve.
The total phenolic content was shown in mg gallic acid equivalents (GAE) per gram of
sample (mg/gm).
All determinations were performed in triplicate.
4. Total flavonoid content
Krishnan et al. described the total flavonoid content of the spice using quercetin as
standard.
A standard solution (250 µl) were mixed with distilled water (1.25 ml) and 75 µl of 5%
sodium nitrate (NaNO3 ) solution followed by the addition of 150 µl of 10% aluminum
chloride (AlCl3 ) solution in 5 min later.
After 6 min, 0.5 ml of 1 mol of sodium hydroxide (NaOH) and 0.6 ml distilled water
were added.
The solution was then mixed properly and absorbance was calculated at 510 nm.
The results were defined as mg quercetin per gram of sample.
All processes were performed in triplicate.
4 Conclusion
The paper focused on a general review of recent research work done on various
types of hybrid solar dryer with thermal energy storage system. A structured review
of solar dryers such as direct and indirect dryer, natural and forced convection dryer,
hybrid dryers, applications, progress and recent developments have been depicted.
The main conclusions nascent from the detailed study are explained below:
• It has been found that the joining of solar energy and biomass sources provides
continuous drying that leads to increase the overall efficiency of the system.
• Hybrid solar dryer is a combination of two or more than two dryers. In a day time,
air-type solar collector is used for drying purpose, and on the same time, flat plate
collector is used to store the thermal energy available in the form of PCM. The
thermal energy generated and stored in the form of PCM by the second dryer is
sufficient to run the drying unit for more than 11 h and provide continuous drying.
• The performance of a hybrid solar dryer in comparison to the flat plate-operated
dryer in the temperature range 50–100 °C is very high.
• The quality of food and agriculture products has observed better in case of hybrid
solar dryer compare to other conventional methods.
Finally, it can be presumed that the better quality dried products with shorter
drying time can be achieved by hybrid solar dryer. The present study contributed
all over the world in the area of research and developments and provides the basic
theoretical data for new initiation.
Acknowledgements The authors would like to acknowledge the Delhi Technological University
(DTU) and National Institute of Food Technology Entrepreneurship & Management (NIFTEM) for
proving the constant support and facility.
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An Improved Maximum Power Point
Tracking (MPPT) of a Partially Shaded
Solar PV System Using PSO
with Constriction Factor (PSO-CF)

and Mohammad Zaid
Abstract In today’s competitive world, the advancements in technology are taking

place at a very rapid rate. Due to this advancement in technology and higher popula-
tion growth, the existing energy-producing sources are depleting very fast. In order
to eliminate such issues, there comes into consideration the use of non-renewable
energy systems. But the adoption of these systems requires their proper and efficient
utilization. In this paper, we have proposed a method to utilize a solar PV system effi-
ciently with a better convergence time and efficiency of convergence to the maximum
power. A modified PSO algorithm known PSO with constriction factor (PSO-CF) is
used for tracking maximum power point (MPP) of a solar PV array.
Keywords PSO with constriction factor (PSO-CF) · PSO with time varying
acceleration and inertial weight (PSO-TVACIW) · PSO with time varying inertial
weight (PSO-TVIW) · Gravitational search algorithm (GSA) · Maximum power
point tracking (MPPT)
1 Introduction
In today’s fast paced world, research work poses itself as a daunting task in terms of
adaptability as well as feasibility; in order to trivialize the magnanimity of research,
nature-inspired algorithms are being explored. These algorithms take their basis from
nature and living organisms, such as bees, wolfs, Dolphins, etc. These algorithms can
perform well with various different types of complex problems where a conventional
algorithm fails. Various conventional single stage algorithms have also been used
I. Pervez · M. Tariq (B) · M. Zaid

Department of Electrical Engineering, Z.H.C.E.T, Aligarh Muslim University, Aligarh, India
e-mail: tariq.ee@zhcet.ac.in
A. Sarwar
Descon Engineering Limited, Mohammed Zayed City, Abudhabi, UAE
A. Pervez
Exterran Water Solutions, Calgary T2E7E1, Calgary, Canada

https://doi.org/10.1007/978-981-15-5463-6_43
500 I. Pervez et al.
for tracking maximum power [1–12]. Various nature-inspired algorithms have also
been used for tracking maximum power like GSA [13], PSO [14], GWO [15], etc.
Depending upon the nature of the algorithm, it may work well for a particular problem
but may give unsatisfactory performance for some another problem. Hence, it is very
necessary to propose as many new algorithms in the literature as possible and also to
modify the existing algorithms to enhance their performance. As solar PV technology
is becoming one of the most widely used technology for electricity generation, it
becomes very necessary to improve its performance [16, 17]. Maximum power point
tracking (MPPT) is one of the ways for enhancing the performance of a solar PV
cell. In this paper, we have used the modified version of PSO: PSO with constriction
factor for tracking maximum power point tracking (MPPT) of a solar PV cell. We
have compared the performance of this modified PSO with GSA and other versions
of PSO like: PSO with time varying inertial weight (PSO-TVIW), PSO with time
varying acceleration and inertial weight (PSO-TVIWAC).
2 Solar PV Cell Modelling
PV cell is the smallest part of a solar PV module. Multiple PV cells are connected
in series or parallel connection to form a module. Hence, the performance of the
complete module depends upon the modelling of each individual cell. Figure 1 shows
the circuit diagram of a one diode model of a solar PV cell parameters given in Table 1.

Vo + Io Rse Vo + Io Rse
Io = IPV − Is exp −1 − (1)
VT Rsh
where, Io is the current at the output terminal of the cell, IPV is the current generated
at the input of the solar PV cell, Vo is the voltage at the output terminal of the cell,
Rse and Rsh are the series and shunt resistances, respectively.
IPV and Is varies with the environmental conditions and can be written as
G
IPV = IPV,STC + ∅(T − TSTC ) (2)
G STC
3
T q E bg Nse 1 1
Is = Is,STC exp − (3)
TSTC kw T TSTC
where E bg is the band gap energy, G denotes the value of irradiance coming directly
from the sun, T is the temperature of the cell and ∅ denotes the temperature coefficient
of the short circuit current. The subscript STC is used to denote the values at standard
temperature conditions.
The current generated at the diode:

Vo + Io Rse
I D = I S exp −1 (4)
VT
An Improved Maximum Power Point Tracking (MPPT) … 501
Ideal PV Cell Rse Io
I sh t
L
I PV Do R sh Vop
O
A
D
5
Solar PV module Current
4
(Amp)
0
0 5 10 15 20 25 30 35 40 45
Solar PV module Voltage (Volts)
Fig. 1 One diode model of a solar PV cell
Table 1 Paramaters of a
IPV Light generated current in Ampere
Solar PV cell
Rsh Shunt resistance
Rse Series resistance
Do Diode
I Do Current through anti-parallel diode
Isht Shunt current
Io Solar cell current
Is Diode saturation current or cell reverse saturation current
where
Ns wkT
VT = (5)
q
where I D denotes the current generated at the diode, w is the diode ideality constant,
Is is the current due to reverse saturation mode of diode, VT is thermal voltage, Ns
is the number of modules connected in series and q is the electronic charge.
Equation (2) can be used to derive the equations that are used in modelling of the
solar PV cell as follows:

Rse
IPV = ISCC 1 + (6)
Rsh
IPV − VOCC
Rsh
Is = VOCC (7)
e VT
−1
ISCC is the current which is generated when the load is replaced by a short circuit.
VOCC is the voltage generated when the load is replaced by an open circuit. The
values of VOCC , ISCC , Rse and Rsh are described in [18].
3 Particle Swarm Optimization with Constriction Factor

(PSO-CF)
Particle swarm optimization (PSO) algorithm is a nature-inspired algorithm that

has the capability to solve various different problems having multiple dimensions.
Among various available local optimum solutions, it can track the global optimal
solution.
This algorithm has already been used in various different applications. Various
different agents/particles are available in the search space. Each of them can exchange
their information of the previously acquired data. The ith agent moves with the
j
velocity veli where j denotes the dimension of the problem. This velocity is dependent
upon the previously attained best position of the agent itself and the best position
among all the agents available and is denoted by:
j j
veli (t + 1) = w × veli (t) + c1 r1 × posnbesti + c2 r2 × globbest (1)
Using the value of this attained velocity, the position of the particle which is the
solution of the problem can be updated as:
j j j
di (t + 1) = di (t) + veli (t + 1) (2)
where, w is the learning factor, c1 and c2 are the constant values, r1 and r2 are the
random values in between the limits (0 and 1). posnbesti is the best position of the
ith particle and globbest is the best position among all the particles. The value of the
objective function at di = globbest is the optimal value of the function.
In each iteration, this optimal value is updated unless the convergence criterion is
reached. It was all about the working of a simple PSO. In a constriction factor-based
PSO, a constant term CF is multiplied in Eq. (1) known as constriction factor. The
CF is defined as
2
CF = √ (3)

2− ∝ − α 2 − 4α
where ∝= c1 + c2 and should be greater than 4. To attain stability, the value of ∝

is kept as 4.1 so that c1 = c2 = 2.05. The value of CF then becomes 0.729 which
results in the multiplication of Eq. (1) with 0.729.
4 Results
In Fig. 2a–d, the results of the performance of PSO-CF for finding the maximum
power point of a solar PV cell are shown. The solar PV model used was CS6X 305-M.
Different numbers of modules were chosen with different insolation conditions and
at standard temperature.
In Fig. 2a, the number of panels used was 3. The insolation values were kept at
650, 750, 850 W/m2 on panels 1, 2 and 3, respectively, at a temperature of 25 °C. A
total of 20 iterations were done. The maximum power came out to be 636.39.
In Fig. 2b, the number of panels used was 4. The insolation values were kept at
400, 600, 800 and 1000 W/m2 on panels 1, 2, 3 and 4, respectively, at a temperature
of 25 °C. A total of 20 iterations were done. The maximum power came out to be
600.85.
In Fig. 2c, the number of panels used was 1. A total of 20 iterations were done.
For an initial ten iterations, the insolation value was kept at 700 W/m2 . The fitness
values of all the particles were plotted. In every iteration, the population of particles
was kept at 30, and hence, each interval of 30 denotes an iteration. As can be seen
in the figure after a particular iteration, the particles are settled to the best fitness
value of 213.9 W. After 10th iteration, the insolation on the panels was changed to
900 W/m2 , respectively. The maximum power came out to be 274.45 W.
In Fig. 2d, the number of panels used was 2. A total of 20 iterations were done.
For an initial ten iterations, the insolation values were kept at 600 and 800 W/m2 on
panels 1 and 2, respectively. The fitness values of all the particles were plotted. In
every iteration, the population of particles was kept at 30, and hence, each interval
of 30 denotes an iteration. As can be seen in the figure after a particular iteration,
the particles are settled to the best fitness value of 387.6 W. After 10th iteration, the
insolation on both the panels was changed to 700 and 900 W/m2 , respectively. The
maximum power came out to be 451 W.
4.1 PSO-CF Versus PSO-TVIW, PSO-TVACIW and GSA
Finally, the comparison of PSO-CF is done with GSA and different variants of PSO.
The results are shown in Fig. 3. The two different cases were considered for a two-
PV Array Power (watts)

a
600
400
200
0
0 100 200 300 400 500 600
Population
b
600
500
400
300
0 100 200 300 400 500 600
Population
c
300
PV Module Power
200
(watts)
100
0
0 100 200 300 400 500 600
Population
d
PV Module Power
400
300
(watts)
200
100
0
0 100 200 300 400 500 600
Population
Fig. 2 a Three-panel system. b Four-panel system. c One-panel system with varying insolation.
d Two-panel system with varying insolation
PV Module Power
567
(watts)
566.5 PSO-TVACIW
Magnifier PSO-CF
GSA
PSO-TVIW
566
565.5
0 5 10 15 20 25 30 35 40
PV Module Power Iteration
567.08
567.06
(watts)
567.04
567.02
567
566.98
4.3 4.4 4.5 4.6 4.7 4.8 4.9 5 5.1 5.2
Iteration
590
PV Module Power
585
(watts)
PSO-TVACIW
PSO-CF
580 Magnifier
PSO-TVIW
GSA
575
570
0 5 10 15 20 25 30 35 40
Iteration
PV Module Power
588.5
588
(watts)
587.5
587
4 4.5 5 5.5 6 6.5 7 7.5 8

Iteration
Fig. 3 Comparison between PSO-CF and other algorithms
panel and a three-panel system, respectively. In case of a two-panel system, the

insolation values were kept at 900 and 1000 W/m2 on panels 1 and 2, respectively,
at 25 °C. The maximum power came out to be 567 W. It can be seen in the figure
that for a two-panel system, the PSO-CF is able to converge to the best fitness at
the earliest, PSO-TVAC giving the good competition to PSO-CF almost converges
simultaneously with PSO-CF to the best fitness. Also, the computation time of PSO-
CF was the least as can be seen in Table 2.
For a three-panel system, the insolation values were kept at 600, 700 and 800 W/m2
on the three panels. Again, the PSO-CF being the best performer is able to converge
Table 2 2 Panel, Insolation: 900, 1000

Parameters PSO Constr PSO-TVAC PSO-TVIW GSA
Maximum power (W) 567 567 567 567
Time 202 233.96 242.94 301.56
Table 3 3 Panel, Insolation: 600, 700, 800

Parameters PSO Constr PSO-TVAC PSO-TVIW GSA
Maximum power (W) 588.5 588.5 588.5 588.5
Time 207.9 453.5 242.66 287.1
to the best fitness value at the earliest with the least computation time as can be seen
in Table 3.
5 Conclusion
The PSO-CF has successfully been applied for tracking maximum power point of
a solar PV cell. Also, it can be observed that it was able to give better results in
comparison to its other variants and GSA for specific cases shown in the results.
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Maximum Power Point Tracking
of a Partially Shaded Solar PV
Generation System Using Coyote
Optimization Algorithm (COA)

and Mohammad Zaid
Abstract The energy crisis due to population growth and advancements in tech-
nology made it mandatory for the researchers to develop some methods that can be
helpful in prevention of these crisis. In order to eliminate the day by day growing
energy issues, making use of renewable energy sources is considered one of the
alternatives. Among these energy sources, solar PV systems are considered one of
the most valuable. But the issue with these cells is that they cannot work smartly and
cannot detect the optimal power at their output. Hence, in this paper a nature-inspired
algorithm Coyote Optimization Algorithm (COA) is used to track maximum power
at the output terminal of the solar PV cell.
Keywords Coyote Optimization Algorithm (COA) · Maximum power point

tracking (MPPT) · Partial shading · Solar PV system
1 Introduction
As can be seen in the present world scenario, the electricity has become one of the
most vital part of human beings. In almost every daily requirement of human beings,
there always remains a need of electricity [1]. But as the population is growing
and the technological advancements are at their highest the demand of electricity
has also increased proportionally. The existing fossil fuels are depleting day by day
with the growing demand. Hence, requirement of some alternative is necessary. The
alternative is making use of renewable sources of energy [2]. As the name suggests
that they are renewable in nature and hence will never deplete. Among the available
renewable sources, using solar energy is considered one of the best options [3, 4]. But
still it has a limitation of varying maximum power with the varying insolation level
I. Pervez · A. Sarwar · M. Tariq (B) · M. Zaid

A. Pervez
Exterran Water Solutions, Calgary, Alberta, UAE

https://doi.org/10.1007/978-981-15-5463-6_44
coming from the sun. Due to different local maximum power points, the optimal use
of power cannot be done. Hence, in this paper we have defined one of the methods of
tracking maximum power among different available peaks. Various algorithms have
been used before for tracking maximum power. Various conventional single-stage
algorithms (CSS) algorithms were used for MPP tracking [5–14]. Also a Fibonacci
Search-based algorithm was also proposed in order to extract MPP [15, 16]. The
measured power is compared at two operating points. But still Fibonacci Search-
based algorithm has a problem of convergence to local optima. For eliminating such
issues, various nature-inspired algorithms have been proposed. A GSA-based MPPT
have been proposed in [17], PSO-based MPPT have been described in [18]. Every
algorithm has a different performance for a particular type of a problem. Hence,
exploring new algorithm using meta-heuristic algorithms is always appreciated. Here,
in our paper we have shown the tracking of maximum power among various available
peaks by using Coyote Optimization Algorithm (COA) [19].
2 PV Cell Modeling
A PV cell is the building block of a large PV array. Hence to determine the perfor-
mance of a PV array, it is necessary to model a solar PV cell. Various equations
are involved for modeling a solar PV cell considering some practical conditions. As
shown in Fig. 1, the basic circuitry of a solar PV cell consists of a diode connected
in anti-parallel. A resistance in parallel is connected with the diode known as shunt
resistance and a resistance in series is connected with the shunt resistance known as
series resistance. The circuit in Fig. 1 is the practical design of a solar PV cell. The
ideal portion of the cell is highlighted in purple. Brief detail of different parameters
of a PV cell is given in Table 1.
R sr Iop
Ideal PV Cell
IIDo Isht
L
O
ILi Do R sht
Vop A
D
Fig. 1 One diode model of a solar PV cell

Maximum Power Point Tracking … 511
Table 1 Parameters of the proposed solar PV Cell

ILi Rsht Rsr Do I Do Isht Iop Is
Light Shunt Series Diode Current Shunt Solar Diode
generated resistance resistance through current cell saturation
current in anti-parallel current current or
Ampere diode cell reverse
saturation
current
Current at the output terminal of PV cell:

Vop + Iop Rsr Vop + Iop Rsr
Iop = ILi − Is exp −1 − (1)
VT Rsht
where, Iop is the value of the output current of solar PV cell, ILi is the current that is
directly generated due to insolation at the input terminal of solar PV cell, Vop denotes
the voltage at the output terminal of the cell, Rsr and Rsht are the series and shunt
resistances respectively.
The current passing through the diode can be given as:

Vop + Iop Rsr
IDo = I S exp −1 (2)
VT
Ns wkT
VT = (3)
q
where, Ns is the number of modules connected in series, Is represents the current due
to reverse saturation mode of diode, IDo is the current flowing through the diode, w is
the diode ideality constant, VT is the thermal voltage and q is the electronic charge.
The values of ILi and Is depend upon the environmental conditions and hence can
be written as
G
ILi = ILi,STC + ∅(T − TSTC ) (4)
G STC
3
T q E be Nsr 1 1
Is = Is,STC exp − (5)
TSTC kw T TSTC
where E be is the band gap energy, G denotes the value of irradiance coming directly
from the sun, T is the temperature of the cell and ∅ denotes the temperature coefficient
of the short circuit current. The subscript STC is used to denote the values at standard
temperature conditions.
Equations (3) and (4) can be further utilized to derive the equations that are used
in modeling as follows:

Rsr
ILi = ISCC 1 + (6)
Rsht
ILG − VOCC
Rsht
Is = VOCC (7)
e VT
−1
where VOCC is the voltage derived from Eq. (3) at open circuit condition and ISCC is
the current derived from Eq. (3) at short circuit condition. The values of VOCC , ISCC ,
Rsr and Rsht can be known from [20]. Using all these equations, all the information
for determining the performance of the solar PV cell can be obtained. Using this
complete mathematical model, the maximum power of the solar PV cell can be
tracked by optimizing either current or voltage.
3 Coyote Optimization Algorithm (COA)
These algorithms take their basis from nature and living organisms, such as bees,
wolfs, Dolphins, etc. The Coyote Optimization Algorithm draws its inspiration from
an animal species named coyotes (Canis Latrans). The coyote belongs to the Canidae
family and is a close but smaller relative of the gray wolf. The major difference of
coyotes from gray wolfs apart from size is the social behavior, whereby the gray
wolfs hunt in a predefined pack and follow the lead of an Alpha Male, the coyotes
hunts in smaller packs and often change/leave the packs to hunt alone or with other
packs, hence the Alpha Male philosophy, although present is not implicated. These
animals are native to North America, mostly found in the colder regions and are very
well known to be highly adaptable to changes made by humans/environment. The
Coyote Optimization Algorithm is based on the behavior and adaptability of these
animals, in a bid to explore the most adaptable coyote.
Considering two coyote packs as N a and N b where the total coyote numbers in
the algorithm is denoted as N a × N b .
One of the important factors that affect the coyote’s adaptability is its social life,
which can further be divided into factors such as the status in the pack, the type of
pack, sex, etc. these factors can be termed as internal factors, however, there will also
be external factors such as temperature, snow depth, human interventions and which
will affect the coyote’s adaptability. Hence, it is imperative to calculate the social
positions (SP) of the coyote “j”, at any given instant of time “t”, from the Pack “a”,
as follows:
SPa,t
j = x1 + x2 + x3 + . . . + xn (1)
where ×1, ×2, …, ×n are the decision variables.

The first step in the COA is to initialize the global population of the coyotes.
The social conditions for each coyote are set randomly; this is achieved by assigning
random values to the search space for coyote “c” of pack “a” at time “t” and dimension
“k”. lqk and uqk represent the boundary limits for k decision variable.

SPa,t
j,k = lqk + C k ∗ uqk − lqk (2)
C k is a real random number such that 0 ≤ C k ≤ 1.

Therefore, the fitness of the coyote will be:
fita,t a,t
j = f (SP j ) (3)
For the ease of calculation, we limit the number of coyotes per pack to be 15.
Now we will try to find the Alpha Male using minimization problem, the alpha “alp”
of the pack “a” at time “t” is:

alpa,t = SPa,t a,t
j | argz = (1, 2, 3, . . . , Na)min f SP j (4)
The coyotes are also having swarm intelligence, this enables them to act and
respond in a collective manner, thereby making the coyote conscious of its responsi-
bility toward the maintenance of the pack. This enables COA to link all information
from the coyotes and compute it as a collective tendency of the pack “PCK”:
⎧
⎨ L a,t
Na+1
,k
→ If Na is odd
PCKa,t = L a,t
2
a,t
Na +L Na+1
(5)
k
⎩ 2 ,k ,k
2
2
→ If Na is even
Thus, we use the COA to calculate the healthiest coyote and also translate its
effect on the overall pack. The rest of the equations can be found in [16].
4 Results
In Fig. 2a–f, the performance of the COA has been shown for different insolation
conditions. Finally in Fig. 3, the comparison of COA is done with PSO and GSA
algorithms. The solar PV module used was Canadian Solar CS6X 305-M.
In Fig. 2a, the number of panels used is one. The insolation is kept at 900 W/m2
with a temperature of 25 °C. A total of 20 iterations were done. For an initial set of
10 iterations, fitness of all the particles is plotted. From 11th iteration onwards, only
the best fitness value is shown. The total computational time taken in the process is
52.28 s. The maximum power came out to be 274.45 W.
In Fig. 2b, the number of panels used were two. The insolation was kept at 750
and 850 W/m2 , respectively, on panels 1 and 2 with a temperature of 25 °C. A total of
20 iterations were done. For an initial set of 10 iterations, fitness of all the particles is
plotted. From 11th iteration onwards, only the best fitness value is shown. The total
PV Array Power (Watts) a Results of first

Termination criteria
reached Algorithm settling
iteration
300 at peak value
200
100
1st
0
0 100 200 300 400 500 600
Population
b Termination
criteria reached
500
Algorithm
400 settling at peak
value
300
200
100
0
0 100 200 300 400 500 600
Population
c
600
Algorithm settling at peak
value
400
200
0
0 100 200 300 400 500 600
Population
d
600
Algorithm settling at
peak value
400
200
0
0 100 200 300 400 500 600
Population
Fig. 2 a One panel system at an insolation of 900 W/m2 . b Two panel system at insolations of 750
and 850 W/m2 . c Three panel system at insolations of 600, 700 and 800 W/m2 . d Four panel system
at insolations of 400, 600, 800 and 1000 W/m2 . e One panel system under dynamic insolation
condition. f Two panel system under dynamic insolation system
PV Array Power (watts) e Termination criteria

300 reached
peak value
200
peak value
100
0
0 200 400 600 800 1000 1200
Population
f
500
Termination criteria
reached
400 peak value
300 Algorithm settling

at peak value
200
100
0
0 200 400 600 800 1000 1200
Population
Fig. 2 (continued)
computational time taken in the process is 97.43 s. The maximum power came out
to be 475.36 W.
In Fig. 2c, the number of panels used are three. The insolation is kept at 600,
700 and 800 W/m2 , respectively, on panels 1, 2 and 3 with a temperature of 25 °C.
A total of 20 iterations were done. For an initial set of 10 iterations, fitness of all
the particles is plotted. From 11th iteration onwards, only the best fitness value is
shown. The total computational time taken in the process is 117 s. The maximum
power came out to be 588.5 W.
In Fig. 2d, the number of panels used are four. The insolation is kept at 400, 600,
800 and 1000 W/m2 , respectively, on panels 1, 2, 3 and 4 with a temperature of 25
°C. A total of 20 iterations were done. For an initial set of 20 iterations fitness of all
the particles is plotted. From 11th iteration onwards, only the best fitness value is
shown. The total computational time taken in the process is 154.66 s. The maximum
power came out to be 600.849 W.
In Fig. 2e, the number of panels used were 1. A total of 40 iterations were done.
For an initial 20 iterations, the insolation was kept at 600 W/m2 , after that it is
changed to 900 W/m2 For an initial 10 iterations, the fitness value of all the particles
was plotted. After 10th iteration up to till 20, only the particles with the best fitness
PV Array Power (watts) a

567
GSA
COA
566.5 Magnifier
566
565.5
0 5 10 15 20 25 30 35 40 45 50
Iteration
567.1
567.05
567
566.95
3.5 4 4.5 5 5.5 6 6.5 7 7.5 8 8.5
Iteration
b
779
778
COA
777 GSA
Magnifier
776
775
774
773
0 5 10 15 20 25 30 35 40 45 50
Iteration
778.5
778
777.5
777
2 3 4 5 6 7 8 9
Iteration
Fig. 3 a Comparison between COA and GSA for a two panel system. b Comparison between COA
and GSA for a three panel system
were plotted and the maximum power came out to be 183.19 W. Similarly, after the
insolation was changed to 900 W/m2 , for initial 10 iterations (20–30) fitness values
of all the particles were plotted. After that, only particles with the best fitness were
plotted. The maximum power came out to be 274.45 W. The total computation time
was taken as 111.58 s.
In Fig. 2f, the number of panels used were two. A total of 40 iterations were done.
For an initial 20 iterations, the insolation was kept at 500 and 600 W/m2 , respectively,
on panels 1 and 2, after that it was changed to 700 and 800 W/m2 , respectively, on
panels 1 and 2. For an initial 10 iterations, the fitness value of all the particles was
plotted. After 10th iteration up to till 20, only the particles with the best fitness
were plotted and the maximum power came out to be 183.19 W. Similarly, after the
insolation was changed to 900 W/m2 , for initial 10 iterations (20–30) fitness values
of all the particles were plotted. After that, only particles with the best fitness were
plotted. The maximum power came out to be 274.45 W. The total computation time
was taken as 235.72 s.
4.1 COA Versus GSA
Finally, the comparison between COA and GSA has been done. The comparison is
done for a 2-panel and a 3-panel system.
Figure 3a is the plot for the comparison between COA and GSA for a 2-panel
system. The insolation values were kept at 900 and 1000 W/m2 respectively on panels
1 and 2. It can be seen that the COA is able to converge first at the maximum power.
Also the computation time for COA is 314.62 s where as in case of GSA it was
408.65 s. The maximum power came out to be 567 W.
Figure 3b is the plot for the comparison between COA and GSA for a 3-panel
system. The insolation values were kept at 800, 900 and 1000 W/m2 , respectively, on
panels 1, 2 and 3. It can be seen that the COA is able to converge first at the maximum
power. Also the computation time for COA was found to be 314.62 s which is lesser
than GSA which has a computation time of 408.65 s. The maximum power came out
to be 567 W. The maximum power came out to be 777.97 W.
5 Conclusion
The Coyote Optimization Algorithm has been successfully applied to the maximum
power point tracking of a solar PV cell. The algorithm was able to converge to
the global maxima point, hence predicting the maximum power that can be extracted
from the cell. Also the algorithm was able to outperform other algorithms for specific
cases that are mentioned in the result.
References

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Design and Simulation of Front-End
Converter Based Power Conditioning
Unit
Deepak Upadhyay, Shahbaz Ahmad Khan, and Mohd Tariq
Abstract Commercial automation has led to profuse research and development on

highly sensitive instruments which require quality power for their operation. The
development of power electronic technology makes it possible to realize many kinds
of power conditioning units (PCU) to obtain high quality electric energy and enhance
the control over power system. Nowadays, axial-based PM (AFPM) alternators are
being used, which generates a raw output depends on its speed of operation. To condi-
tion this raw output from AFPM DG set, power conditioner unit is required which
takes a raw output and gives conditioned quality power output. In this paper, anal-
ysis and simulation of power conditioning system is done. This power conditioning
system has active power factor correction (APFC) IGBT-based front-end converter,
which generates a required DC bus and also controls the input power factor. This DC
is further inverted via IGBT-based SPWM inverter module which generates constant
voltage and frequency output for load system. Six-pulse converter SPWM technique
is to be used for inverting purpose. L-C filter is used for filtering any further appearing
distortions and to reduce the effects of the harmonics present.
Keywords Front-end converter · DC link · Automatic power factor correction ·

SPWM technique · Power quality
1 Introduction
Power line conditioners take power and modify it based on the requirements of the
machinery to which they are connected. Attributes to be conditioned are measured
with various devices, such as, phasor measurement units. Voltage spikes are most
common during electrical storms or malfunctions in the main power lines. Rectifier
behaves as nonlinear load producing non-sinusoidal line current due to the nonlinear
input characteristic [1, 2]. In this modern era of Compactness, there is a high demand
of sensitive power sources [3]. Also the demand of high power requirement with
D. Upadhyay · S. Ahmad Khan · M. Tariq (B)


https://doi.org/10.1007/978-981-15-5463-6_45
520 D. Upadhyay et al.
limited space availability has aroused a stern interest and focus in Power Conditioning
Units (PCU).
This has led to the design of Axial Flux Permanent Magnet Alternator (AFPM)
whose size is drastically small as compared to the conventionally used alternators.
The output of this alternator fluctuates when subjected to load (a change in frequency
changes the synchronous speed which in turn changes the output of the alternator),
hence the need for the PCU. In this paper different control strategies are used to
control rectifier and inverter for getting the desired response from PCU, namely
PI control and average current control for improved dynamic response and large
stability range within the frequency band [4–6]. Power factor correction is done by
using predictive control strategy in which all of the duty cycles required to achieve
unity power factor in one half line period are calculated in advance by proportional
Integral (PI) controller by using voltage source rectifier.
The DC bus brings the output from the rectifier circuit to the inverter. Here 6
Pulse converter SPWM technique issued for inverting purpose. In this development
a bipolar SPWM voltage modulation type is selected because this method offers the
advantage of effectively doubling the switching frequency of the inverter voltage,
thus making the output filter smaller, cheaper and easier to implement. An L-C Filter
is used for filtering any further appearing distortions and to reduce the effects of the
harmonics present.
2 Description of the System
In Fig. 1 three-phase supply is fed to three-phase controlled rectifier which control

output DC voltage at DC bus by controlling the firing angle of gates of IGBTs.
Input power factor is also controlled by front-end control strategy, in which the input
current is forced to follow the input voltages by controlling the reference voltages by
controlling the power angle delta [7, 8]. This constant controlled voltage generated
by rectifier unit across DC bus is fed to the three-phase controlled inverter which
3-Phase
3-Phase, 3-Phase 3-Phase
Controlled
415V Controlled DC Bus Load
Inverter
AC Supply Rectifier
(SPWM)
PWM Control PWM

Signals Strategy Control
Fig. 1 Front-end converter-based power conditioning unit

Design and Simulation of Front-End Converter … 521
controls the output voltage level and frequency by using SPWM control strategy to
trigger the IGBTs present in the Inverter unit.
As per the calculations, constant voltage required to generate three-phase 415 V
is 700 V which cannot be generated by supplying three-phase 415 V rectifier unit.
Therefore, constant DC voltage of 400 V is fed to the inverter unit which would
generate output voltage of 325 Vrms. A three-phase transformer unit is connected to
step up the voltage required to satisfy the load specification. The output generated is
highly distortional and contains harmonics which are to be removed from supply and
needs to be corrected. L-C filter is to be connected to get regulated and harmonics
free pure sinusoidal output voltage and currents.
3 Circuit Simulation
In Fig. 2 three-phase rectifier is realized. IGBT switches are connected in bridge

form. Each IGBT has been given firing trigger from PWM signals. The input power
factor measurement is done by using scope. AC input is given to the rectifier through
three-phase power source. The source inductance and source resistor’s values are
calculated and are inserted in block [9].
Three-phase source inductances and resistors have been connected in series with
three-phase generator for controlling and optimization of power factor. High value
DC link capacitor is used for smoothing DC output voltage and reducing the ripple
in it. The voltage output across the DC link is constantly monitored and controlled
to desired value.
Control strategy for three-phase controlled rectifier is shown in Fig. 3. The
controlled strategy is based on pi control and PWM control [8]. Comparator prin-
ciple is applied in order to compensate error produced in output waveform. Proposed
Fig. 2 Controlled simulation model of three-phase controlled rectifier

Fig. 3 Controlled simulation model of front-end converter-based three-phase controlled rectifier
model consists voltage measurement block for sensing DC Link voltage needed for
comparing set voltage needed for inverter. After comparing reference and output
voltage, the error generated is reduced by using PI controller. Now the corrected
signal wave is compared with input three-phase voltage and error is generated. This
error is multiplied with three-phase currents for further control strategy is applied.
Three-phase inverter and L-C filter simulation model is shown in Fig. 4. Inverter
is used to generate the required three-phase voltage magnitude and controlling the
frequency. Six IGBT’s are connected in bridge form and triggered by the control
circuit. Three-phase transformer unit is connected for stepping up the voltage to the
desired level. The voltage and current output contains harmonics and are not sinu-
soidal because of the non-linear load present in circuitry [10]. Therefore, L-C filter is
used to reduce harmonics and make the wave sinusoidal. Three-phase star-connected
Fig. 4 Controlled simulation model of three-phase inverter

Fig. 5 Simulation model of control circuit used in three-phase controlled ınverter
load is realized by connecting resistors and inductors in star form and by changing
the values of them, the load values can be adjusted.
Control strategy is realized for controlling the three-phase inverter for maintaining
the constant voltage output as shown in Fig. 5. PID control technique used in which
PID control block has set values of kp and ki which can be changed to get the desired
output values [11]. Triangular wave generator is connected to generate triangular
wave of desired magnitude and switching frequency.
4 Simulation Results
Figure 6 shows the input side power factor correction. The aim of this simulation
and analysis is to make power factor unity by using frontend control. Power factor
is angle between voltage to be applied and current which flow through the circuit.
As seen in simulation output waveform the current and voltage phases starts
from no lead lagstate, i.e., power factor is made unity and hence power quality and
efficiency also gets improved.
Output of controlled DC link voltage is shown in Fig. 7. Front-end controlled
rectifier converts ac voltage to DC voltage, this has transient period for stabilization
of DC voltage to constant DC voltage. Steady state conditions can be optimized
by changing RC time constant. DC link voltage is maintained constant for inverter
feeding purpose by the rectifier control strategy, maintaining the input voltage to
inverter constant to reduce fluctuations in output.
PWM generation for triggering the controlled rectifier is shown in Fig. 8. PWM
template is produced for inverter three leg twin IGBT’s triggering circuit [12]. These
Fig. 6 Automatic ınput power factor correction
Fig. 7 Controlled DC link voltage
Fig. 8 PWM output waveform for three-phase controlled rectifier

Fig. 9 SPWM output waveform for three-phase controlled inverter
pulses are generated by comparing carrier triangular wave with reference sinusoidal
wave. Crossover points give PWM template with high and low signals.
By varying pulse width of PWM signals the output voltage can be changed with
respect to the voltage required for load. The switching frequency of triangular wave
is set to 2 kHz and magnitude of 450 V.
From Fig. 9 which shows the single pulse width modulation it can be observed
that the measured output voltage is 560 V peak to peak, i.e., 400 V RMS which
very near to desired voltage of 415 V. PWM template is produced for inverter three
leg twin IGBT’s triggering circuit. This is generated by comparing carrier triangular
wave with reference sinusoidal wave [13].
Crossover points give PWM template with high and low signals. Output of SPWM
generation is given to the gates of IGBTs present in three-phase inverter circuit.
Figure 10 shows the three-phase output voltage and load currents across the load
without using filter. Voltage contains harmonics and pulsed output wave form. The
current waveform is sinusoidal and lesser in magnitude. THD value of voltage wave-
form is very high due to its pulsed nature. The output voltage is approximately equals
to the required voltage. Hence the aim of achieving constant voltage at constant
frequency achieved.
Fig. 10 Output three-phase voltage and current waveform without filter

Fig. 11 Output three-phase voltage and current waveform with filter
In Fig. 11 the output voltage and current across the load is shown. Output voltage
from PCU is 580 V (peak to peak) Line Voltage which very near to our required value
586 V (peak to peak) Line Voltage. The waveform of output is highly sinusoidal in
nature because of using THD filter. THD has been reduced to very low value by using
L-C Filter.
5 Design of PCU
(1) Power flow and load resistance, inductance design:

√ √
Active Power= 3 ∗ V ∗ I ∗ cos ∅ Reactive Power = 3 ∗ V ∗ I ∗ sin ∅
√
Vph = Vline/ 3 Z = Vph /Iph
R = Z cos ∅ X L = Z sin ∅
(2) Input Assumptions:
Line to line voltage(VL) = 415 Volts Pout = 20 KVA

Power factor = 0.8 Efficiency of system = 90%
(3) Automatic Power Factor Correction:

At unity PF solve for,
√
Vconv1 = V12 + (X 1 ∗ I1 )2 XL = 2 ∗ ∗ f ∗ L
P = (V1 ∗ Vconv1 )/ X 1 ∗ sin(δ) S1 = ma = (2 ∗ Vconv1 )/Vdc
(4) Load and DC link calculations:

V (line to line) = 0.612*ma*Vd

DC input current for inverter (Id): Id = 3∗V L∗I o
V d∗p.f
Switch utilization ratio (SUR): SUR = 2√1 6 ∗ V dVmax
LL
Value of Source Inductor (L): Put, Kp = 1 and C = 3 mH
√ Vdc ∗ C
( 2) ∗ Im <
3 ∗ Kp ∗ L
6 Simulation Inferences
(1) Harmonic Analysis without using Filter:

Three-phase output voltage analysis:
DC component = 0.362 Fundamental = 580 peak(400 V RMS)

THD = 137.70%
Major Harmonics
0 Hz(DC) : 0.20% 50 Hz(Fnd) : 100.00%

100 Hz(h2) : 0.95% 150 Hz(h3) : 0.49%
Three-phase output current analysis:
DC component = 0.003097 Fundamental = 17.47 peak(12.36 V RMS)

THD = 1.45%
Major Harmonics:
0 Hz(DC) : 0.02% 50 Hz(Fnd) : 100.00%

100 Hz(h2) : 0.71% 150 Hz(h3) : 0.27%
(2) Harmonic Analysis with using Filter:

Three-phase output voltage analysis:
DC component = 4.67 Fundamental = 568.5 peak(402 RMS)

THD = 6.85%
Major Harmonics:
1 Hz(DC) : 0.82% 50 Hz(Fnd) : 100.00%

100 Hz(h2) : 1.19% 150 Hz(h3) : 0.95%
Table 1 Load iterations

S. No. Power (kVA) Impedance (Z) p.f Current Observed power Calculated power
(kVA) (kVA)
1. 20 8.618 0.8 27.8 19.97 20
2. 17 10.152 0.8 23.6 16.89 17
3. 15 11.48 0.8 20.86 14.86 15
4. 13 13.25 0.8 18.08 12.69 13
5. 10 17.22 0.8 13.91 9.81 10
6. 7 24.624 0.8 9.73 6.83 7
7. 5 34.47 0.8 6.95 4.22 5
8. 3 57.45 0.8 4.15 2.91 3
9. 1 172.345 0.8 1.39 0.92 1
Three-phase output current analysis (Table 1):
DC component = 0.3942 Fundamental = 38.7 peak(27.37 rms)

THD = 7.41%
Major Harmonics:
2 Hz(DC) : 1.02% 50 Hz(Fnd) : 100.00%

100 Hz(h2) : 0.65% 150 Hz(h3) : 0.43%
7 Conclusion
Design and simulation of 20 KVA, 3 Phase, 50 Hz APFC based Power Conditioning

System has been successfully completed in MATLAB 2013 simulation software. The
simulation was based on double conversion technique wherein it uses IGBT based
front-end converter followed by IGBT based six pulse inverter. The complete circuit
was built around MATLAB Simulink modules available. The exhaustive analysis
was carried out by changing electrical parameters like modulation index, switching
frequency, etc. Various load iterations up to its rated capacity were carried out to
study the characteristics and circuit behavior. The analysis includes the harmonic
assessment of input/output current and voltage waveforms. Special emphasis was
given to the generation of a DC component in the inverter output voltage in the case
that the power delivered to load in all conditions remains nearly constant.
References
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of the PWM boost type rectifier under unbalanced operation conditions. In: IEEE APEC 2000,
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for DC drives: modeling, simulation and its digital implementation. J Electr Syst Inform Technol
1(3):255–265
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0275-9306/87/0000-0185
Enhancing Mechanical Properties
via Semi-solid Metal Processing of A356
Alloy
Nishant Bhasin, Harkrit Chhatwal, Aditya Bassi, Rahul Sarma,

Sumit Sharma, and Vipin Kaushik
Abstract Rapid slurry formation is a technique for the formation of semi-solid

metal which helps to form complex geometries using a single operation. It is based
on enthalpy-exchange process and also differs from other rheo-casting techniques.
The present investigation involves the comparative analysis of microstructure along
with mechanical properties between unprocessed A356 alloy and Al-6061 alloy
followed by semi-solid processed A356 and A356 with grain-refiner (B) and modi-
fier (Sr). A microstructure comparison was also done between unprocessed A356
and RSF processed A356 Al-alloys. Both the processed alloys were held at a partic-
ular temperature. The SSM slurry was water-quenched to freeze the microstructure.
The microstructures of both alloys were inspected and hardness of the alloys was
measured. A fine microstructure with globular grains was obtained for rapidly formed
processed alloys. The benefit of this method is the low solid fraction which is useful
to get a globular structure with simultaneously keeping good fluidity of suspension,
and the suspension preparation is less expensive as compared with the other methods.
Keywords RSF (Rapid-slurry formation) · A356 Al-alloy · Grain-refiner ·

Grain-Modifier
1 Introduction
A356 is one of the members of the hypo-eutectic family of Al–Si alloys and has a vast
spread of application in the automobile sector. The properties of grain-refining and
modification of this alloy become beneficial in casting process [1, 2]. It is majorly
comprised of 91% of aluminium, 7.29% of silicon, and other metals such as 0.3% of
magnesium, 0.2% of iron, and 0.10% of zinc. A356 can be prepared by introducing
grain process in which grains are added to the liquid slurry and thereby melting in the
same. If the grain size is smaller, i.e., 5 μm then the grains are mainly near-spherical
N. Bhasin · H. Chhatwal · A. Bassi · R. Sarma · S. Sharma (B) · V. Kaushik

Department of Mechanical Engineering, Amity University,
Noida, Uttar Pradesh 201313, India
e-mail: ssharma03@amity.edu

https://doi.org/10.1007/978-981-15-5463-6_46
532 N. Bhasin et al.
and rosettes and if the grain size is larger enough, i.e., 18 μm which results in
formation of dendrites rosettes [3]. This alloy is highly used in automotive industry
because it has good corrosion resistive property and welding characteristics. This
alloy is fit for Semi-solid metal processing (SSM) since it accommodates roughly
50% eutectic structure slightly above the eutectic point.
There are two processes for producing SSM which are stirring process (Rheo-
process) and controlled loading and cooling treatment process (Thixoform process).
Out of these two processes induction, heating/stirring process provides a better SSM
structure. The stirring effect disturbs dendrite growth and improves grain shape [4].
SSM processing leads to the reduction of the porous structure and the globular
microstructure which results in enhancing the mechanical properties [5].
Rapid slurry formation (RSF) is one of the new techniques for SSM processing
given by Wessen and his colleagues [6, 7] and by some other researchers [8–10].
RSF process involves enthalpy exchange in which one of the alloy acts as the low
superheat melt (high enthalpy) whereas the second alloy as the cold stirring material
(low enthalpy). RSF allows procuring a large amount of heat in a short time period.
This enhances the cast-ability of alloy significantly [6].
In the present investigation, A356 alloy has been processed by the RSF technique.
The effect of grain-refiner, and modifier together has been studied by the RSF process.
The microstructure and mechanical properties of as-cast Al-6061 are also compared
with that of A356.
2 Experimental Procedure for RSF
Unprocessed A356 alloy was melted in a crucible made of graphite which was kept in
a furnace which was maintained at 720 °C. The investigation involves As-cast A356
and A356 with Boron and Strontium for grain-refining and modification, respectively.
After that, the furnace was degassed and then by using Scheils equation, a calculated
mass of EEM (Enthalpy-Exchange Mass) with the composition same as that of the
melt was added in the form of a cylinder which had a diameter of 5 cm and height of
7.3 cm was connected to a steel rod which was connected to the stirrer motor. At room
temperature, it was submerged inside the melt. The EEM mass was rotated at 68 rpm
till it was fully dissolved and the melt was eventually converted into a semi-solid
slurry, which completed in 9 min and 20 s. On dissolution of EEM, the temperature
of the melt was 515 °C at which about 0.3 solid phase fraction was obtained in
the semi-solid state. The steel rod was then taken out immediately and the slurry
was water-quenched immediately to freeze the semi-solid microstructure. The same
process was taken for A356 along with A356 (GR+GM) alloys and microstructure
of both the alloys were inspected and hardness was tested. Figure 1 shows the RSF
process.
Enhancing Mechanical Properties via Semi-solid Metal … 533
Fig. 1 Images indicating the steps for semi-solid formation by RSF process. a The EEM material
attached to the motor with the help of a steel rod. b EEM mass dissolution in the melt with rotating
action proving nucleation sites. c Fraction dissolution of EEM to give semi-solid slurry
3.1 Microstructures of Unprocessed Aluminium Alloys
The mechanical characteristics of A356 (As-cast) alloy were compared with Al-
6061 alloy. The microstructures of both the alloys consist of pores in which the SEM
analysis has been done. These are produced either by entrapped gas or by shrinkage.
Pores provide a perfect site for the microstructure investigation.
As shown in Fig. 2a, a magnified view of the dendrites can be clearly observed
distinguishing the alpha-phase containing α-Al and secondary-phase which contains
Si. These dendrites lead to poor mechanical properties. Whereas Fig. 2b shows no
dendrites because Al-6061 has 98% aluminium present in it.
Fig. 2 SEM images of a as-cast A356 and b as-cast Al-6061

Fig. 3 Optical images of RSF processed A A356 Alloy and B A356 Alloy with GR+GM
3.2 Rapid-Slurry Formed Microstructures
The microstructures of Rapid-Slurry processed A356 alloy and A356 alloy with
GR+GM are as shown in Fig. 3. Unprocessed alloys have α-(Al) dendritic struc-
ture and the eutectic area consists of α-(Al) and Si-particles in inter-dendritic
areas. The addition of Boron as grain-refiner results in the decrement of dendritic-
arm spacing and addition of strontium as grain-modifier has reduced the size of
eutectic silicon particles. The effect of grain-refiner and modifier together can be
observed by contrasting Rapid-Slurry formed A356 alloy with A356 (GR+GM) as in
Fig. 3A, B. Therefore, it can be concluded that Boron (Grain-Refiner) and Strontium
(Grain-Modifier) performed their respective tasks very effectively.
The objective of Rapid-Slurry Formation (RSF) processing is accomplished as
microstructure of the α-phase shifts from dendretic to near globular in the given cases.
This process stops when EEM mass gets fully dissolved leading to nucleation sites
which eventually gets spread-out throughout the melt due to stirring. It is observed
that with increment in hold time, the grains become more globular. But the holding
time for the microstructures should not be very large as an increase in holding time
will eventually result in the decrement of hardness of the alloy [11].
3.3 Mechanical Properties Comparison
In A356 approximate vol. of Si is around 7% due to which microstructure of As-

cast A356 consists of alpha aluminium dendrite. These dendritic structures decrease
the ultimate tensile strength point of aluminium-based alloy system. Reduction or
elimination of the dendrites increases the tensile strength of the alloy by reducing
micro-porosity and site of stress concentration points. RSF processed specimens
represent increment in the ultimate tensile strength when compared with as-cast
alloys as shown in the graphs in Fig. 4. The tensile strength of As-cast A356 came
out to be 241.5 N/mm2 which was the lowest among all the alloys in the present
Fig. 4 Tensile graph of a As-cast A356 and b As-cast Al-6061 Tensile graph of processed. c A356
and d A356 GR+GM alloy
investigation followed by As-cast Al-6061 with 280.37 N/mm2 , followed by RSF

processed A356 with 290.4 N/mm2 and followed by RSF processed A356 (GR+GM)
with 319 N/mm2 .
3.4 Microstructure Comparison of Unprocessed Alloys

with Processed Alloys
Figure 5a shows the unprocessed A356 alloy which has a large number of dendrites
present in it resulting in the reduced mechanical properties whereas if we look at
the microstructure present in Fig. 5b which shows RSF processed A356, then it can
be clearly observed that there is crack initiation in the dendrites which transitions
a dendretic microstructure into a near globular structure. On the other hand, if we
compare the microstructure in Fig. 5c which shows RSF processed A356 (GR+GM),
the microstructure has been completely transitioned from a dendretic microstructure
Fig. 5 SEM images of a As-cast A356 Alloy and b Processed A356 Alloy c SEM images of
processed A356 (GR+GM) alloy
into a complete globular structure. In this microstructure, the grain size is slightly
reduced if we compare it with that of Fig. 5b.
If we compare the microstructures of tensile test samples of unprocessed A356
with processed A356 (GR+GM) as shown in Fig. 6, then there is enough decrement
Fig. 6 Tensile broken microstructures of a Cast A356 and b processed A356 alloy with (GR+ GM)
that can be noted in the aspect ratio of the grain shape of α-Al globes and thus it
leads to the reductions in the stress concentration sites. This eventually leads to an
increment in the mechanical properties of the alloy.
4 Conclusion
Semi-solid metal processing technique is the break-through to enhance mechan-

ical properties of cast aluminium alloy. Rapids slurry formation technique converts
dendritic microstructure to globular microstructure of α-Al. Effect of grain-refiner
and modifier is not so prominent because the involvement of enthalpy exchange
between suspension and enthalpy exchange mass of the same base. SEM analysis
indicate slight variation in the size of alpha aluminium globes. Isothermal holding,
enthalpy exchange, and shearing energy (RPM) are the process parameter through
which size and shape (aspect ratio) can be manipulated. It can be concluded that
81 rpm and 5 min of isothermal holding time creates an excellent microstructure.
Acknowledgements We would like to thank our faculty guide Mr. Sumit Sharma (Assistant
Professor) for providing us the right guidance and support for our work. This work was carried
out at the premises of MNIT, Jaipur sanctioned by the Head of Dept., Dr. Vishnu Kumar Sharma,
and without whom this project would not have been possible. The assistance from Dr. Ajaya Kumar
Pradhan (Assistant Professor) in performing a few experiments is acknowledged. We also thank Mr.
Shiv Pratap Chaudary, who helped us for conducting SEM analysis at Amity University, Noida.
References
1. McCartney DG (1983) Grain refining of aluminium and its alloys using inoculants. Int Mater
Rev 34(5):247–260
2. Sharma A (2005) High strength cast Al-12 Si-0.3 Mg alloy through grain refinement. Modif
Heat Treat Indian Foundry J 51(1):38–41
3. Zheng-zhou C (2012) Preparation of semi-solid A356 Al-alloy by introducing grain process.
Huili Machinery and Electric Co. Ltd, Cixi 315333, China
4. Ivanchev L, Wilkins D, Govender G, Preez WD, Bean R (2008) Rheo-processing of semi-solid
metal alloys: a new technology for manufacturing automotive and aerospace components
5. Basner T (2000) Rheocasting of semi-solid A357 aluminium. In: SAE World congress, Detroit,
Michigan, 6–9 March 2000, vol 5
6. Granath O, Wessen M, Cao H (2006) Influence of holding time on particle size of an A356
alloy using the new rapid slurry forming process. In: International conference high tech die
casting, Vicenza, Italy, pp 1–11
7. Wessen M, Cao H (2006) Casting method for semi solid metal. Environ Innov 1–5
8. Ratke L, Sharma A (2009) Microstructural studies of A357 alloy cast by RSF process. Trans
Indian Inst Met 62(4–5):327–330
9. Ratke L, Sharma A, Kohli A (2011) Effect of rotation speed and holding time on Al-7Si alloy
cast by rapid slurry formation (RSF) technique. Slovenian Foundrymen Soc 58(1):32–46
10. Teoretyczna A, Stopu WZ (2010) Therotical analysis of the AlSi10Mg alloy suspension
manufacturing by the RSF process. Arch Metall Mater 55(3):69–873
11. Sharma S, Sharma A, Kumar S (2012) Semi solid forming of A356 alloy by rapid slurry forming
process. In: 13th international conference on aluminum alloys (ICAA13). TMS (The Minerals,
Metals and Materials Society)
Comparative Analysis of Different
Materials for Cylinder and Justification
by Simulation
Ujjwal Singh, Jatin Lingwal, Nirmal Chakraborty, Ankit Kumar,

Sumit Sharma, and Vipin Kuashik
Abstract Advancement of internal combustion engines has resulted in engines with

increased power, ultimately which increases the loads imposed on the engine block.
An engine block is a combination of “n” numbers of cylinder liners. A cylinder liner
play’s a vital role by providing the boundaries in which piston reciprocates efficiently.
These cylinder liners have capabilities to tolerate high pressure and temperature due
to the chemical reactions occurring in the combustion chamber. Most commonly,
cast iron and aluminum alloys are the favored materials that are used to manufacture
conventional petrol and diesel engine blocks. Also, magnesium alloys are used for
performance-oriented vehicles. In this paper, comparison between aluminum (Al-
7Si) and magnesium (WE43A) alloy is done on the basis of thermal and stress
analysis with help of ANYSIS software.
Keywords Internal combustion engine · Piston · Magnesium alloys · Thermal

analysis · Thermal stability
1 Introduction
The piston can only work at its full potential only if the cylinder is germane to it. Both
together form a profound integration of any working engine. The main working is that
the piston reciprocates inside the cylinder to produce energy providing combustion
for any automobile to move. Due to this, a large amount of heat energy is derived
from the combustion of fuel or any other source which gets converted into mechanical
energy. During the combustion phase, as the heat increases, so increases the pressure
inside the cylinder, which is exerted on the walls and piston head and can raise up
to 15–20 times the compression ratio (psi) depending upon cam timings. Also, the
heat produced during the combustion must be directed out in order to repeat the
process. Because of the resulting pressure and temperature, the cylinder may reduce
the material strength and can cause mechanical failure of the component like cracking
U. Singh · J. Lingwal · N. Chakraborty · A. Kumar · S. Sharma (B) · V. Kuashik

Department of Mechanical Engineering, Amity University, Noida, Uttar Pradesh 201313, India
e-mail: ssharma03@amity.edu

https://doi.org/10.1007/978-981-15-5463-6_48
540 U. Singh et al.
or expanding, increased thermal stress, etc. The thickness of the walls should not
be thick in order to keep it at minimum distance from the cooling water running
across for temperature control. Hence, thermal and stress analysis is done on the
required cylinder material in order to attain information regarding the dissipation
of heat through cylinder, stress generated on the walls due to high pressure during
the working. Materials used are Al7Si due to the lightweight of aluminum with the
tenacity of Silicate and WE43A which is a magnesium alloy that has high tensile
strength and thermal conductivity.
2 Literature Review
The cylinder forms the cylindrical border in which the piston reciprocates. The
reasons for separate manufacturing of cylinder from the engine block or jacket in
which it is placed are as follows. This can be manufactured using an improvised or
superior material to the engine block [1]. In modern days, the demand for advanced
performance and reduced fuel intake type of diesel locomotive engines are contin-
uously increasing, similarly, the working situation is demanding and the failures
of basic parts appear frequently. This will not only lead to increase in econom-
ical loss and catastrophe but also pollutes the surroundings. The cylinder head, as
a key component of the combustion chamber, operating under different mechan-
ical and thermal loading’s [2] and has an identical compound structure with varied
dimensions, implanted with inlets and exhaust ports, temperature reducing coolant
chambers, valve seat [3].
For aluminum and magnesium alloy, the temperature at the piston head is about
350–380 °C under given conditions with 1.1 Mpa pressure applied [4]. The material
involved in the analysis is Al7Si. It is a high-quality aluminum composite with 25%
by volume of reinforced ultrafine particle of silicon carbide. It is manufactured with
a particular powder metallurgy route using a high energy combining operation that
helps in excellent particle dispersion and boosts mechanical properties [5]. In addition
to this, some secondary alloying elements like copper and magnesium enhances the
mechanical properties thus allowing the alloy more responsive to heat process [6].
3 Material Selection
As these two materials are widely used in automotive industries due to their dynamic
range of mechanical properties and castability. The material is corrosion-proof with
wear resistivity to meet up economic aspects. Therefore, magnesium and aluminum
alloys are most suitable for manufacturing cylinders due to its low-density.
Comparative Analysis of Different Materials … 541
Table 1 The following table shows the chemical composition of Aluminum Al-7Si alloy
Al Si Fe Mn Mg
%Wt 92.39 7.26 0.147 0.008 0.07
3.1 Al-7Si
Previous studies have shown that cast and heat-treated aluminum alloy with a high
silicon content matrix, and reinforced silicon carbide appears to deliver a mix of
improved tensile properties along with fracture toughness. For selection, aluminum-
silicon cast alloys are majorly used to manufacture automotive components func-
tioning at diffusive and high temperatures (up to 200 °C) due to characteristics such
as reduced cost in production, with improved castability, high specific strength and
recyclability [7, 8] (Table 1).
3.2 Magnesium Alloy
As magnesium is a lightweight material and it’s difficult to manufacture due to

its mechanical properties. Magnesium based cylinder has been used in combustion
engines for making manifold due to its low-density ratio. However, magnesium
cylinder is generally able to maintain the required properties set forth above when
exposed to higher temperatures 300–350 °C. Effective utilization of the high specific
strength of magnesium alloys in the automotive industry involves the development
of alloys that shows high strength at high temperatures. These alloys also possess
high corrosion resistance [9, 10]. The suitability of the alloys for practical use has
been investigated by forging the alloys into cylinder manifold (Table 2).
4 Design
The cylinder designing is done by using SolidWorks. After completing SolidWorks

modeling, the file is saved in a format named IGES (Initial Graphics Exchange Spec-
ification) then file is transferred to ANSYS software for the finite element analysis.
Table 2 The following table

Yttrium 3.7–4.3%
shows the chemical
composition of magnesium Neodymium 2.0–2.5%
WE43A alloy Rare earth metal 0–1.9%
Zirconium 0.4% min
Magnesium Base
542 U. Singh et al.
FEA (finite element analysis) about testing structure and how it will behave under
different vibrations, temperature, heat, and fluid flow conditions.
5 Result
The piston is analyzed on the following constraints:

1. Pressure or structure analysis
2. Study-State thermal analysis.
5.1 Pressure Analysis
Combustion of fresh charge in the clearance volume exerts pressure on the piston
crown head and cylinder walls during power stroke. Any load which is applied to
the combustion chamber is because of the blast, the force exerted by that load is
transferred to cylinder.
Pressure applied on cylinder walls = 1.1 Mpa
→ Aluminum Alloy
See Figs. 1, 2, and 3.
Fig. 1 Equivalent stress on cylinder structure under 1.1 MPa for Al-7Si
Fig. 2 Total deformation of cylinder structure under 1.1 MPa for Al-7Si
544 U. Singh et al.
Fig. 3 Equivalent elastic strain on cylinder structure under 1.1 Mpa for Al-7Si
→ Magnesium Alloy
See Figs. 4, 5, and 6.
Fig. 4 Equivalent stress on cylinder structure under 1.1 MPa for WE43A
Fig. 5 Total deformation of cylinder structure under 1.1 MPa for WE43A
Fig. 6 Equivalent elastic strain on cylinder structure under 1.1 Mpa for WE43A
546 U. Singh et al.
5.2 Steady-State Thermal Analysis
For thermal analysis of cylinder in ANSYS, the convection boundary conditions

are needed to be considered, as the surface load is imposed on the outer side of
the surface. As there is direct contact of the combust charge on the cylinder head,
therefore temperature of 380° is supplied to the above surface of the cylinder. This
can be used to determine the temperature gradients and heat flux of cylinder that is
caused by thermal loads which don’t vary over time.
Temperature applied over cylinder surface = 380°
→ Aluminum Alloy
See Figs. 7 and 8.
Fig. 7 Temperature profile under steady-state thermal condition Al-7Si cylinder

Fig. 8 Total heat flux under steady-state thermal condition for Al-7Si cylinder
→ Magnesium Alloy
See Figs. 9 and 10.
Fig. 9 Temperature profile under steady-state thermal condition WE43A cylinder

548 U. Singh et al.
Fig. 10 Total heat flux under steady-state thermal condition for WE43A cylinder
6 Discussion
See Graphs 1 and 2.
Graph 1 It signifies that total heat flux is increasing gradually when temperature starts increasing
Graph 2 It signifies the relationship between total deformation and pressure is directly proportional
7 Conclusion
It can be concluded that both A356 alloy and magnesium (WE43A) alloy are suitable
for manufacturing cylinder of an internal combustion engine. These light materials
enhance the thermal efficiency and performance of the engine by reducing the weight
of the same. If total heat flux is the criteria for the material selection, magnesium
(WE43A) alloy is more suitable when contrasted with aluminum alloy, similarly, if
total deformation (dimensional stability) is the criteria for material selection, then
aluminum alloy (A356) is more suitable.
References
1. Kumar MA, Rao AAVP, Rao JHN (2015) Design and analysis of dry cylinder liners used in
diesel engines. Department of ME, KITS, Divili
2. Jing GX, Zhang MX, Qu S, Pang JC, Fu CM, Dong C, Li SX, Xu CG, Zhang ZF (2013)
Investigation into diesel engine cylinder head failure
3. Zhang WZ, Liu JX, Wei CY (2003) Main cause of thermal stress and solving methods for
heated components of engine. Inter Comb Engine Eng 2
4. Nimbarte VR, Khamankar SD (2015) Stress analysis of piston using pressure load and thermal
load. 3(8). ISSN 2321-6441
5. Singh L, Rawat SS, Hasan T, Kumar U (2015) Finite element analysis of piston in ansys
6. Zamani M (2017) Al-Si cast alloys—microstructure and mechanical properties at ambient and
elevated temperature
7. Zamani M, Seifeddine S, Jarfors AEW (2014) Effects of microstructure and defects on tensile
and fracture behaviour of a HPDC component; potential properties and actual outcome of EN
AC-44300 alloy. Light Metals Proceeding, TMS 2014
8. Zamani M, Seifeddine S, Azizderouei M (2013) The role of Sr on microstructure formation
and mechanical properties of Al-Si-Cu-Mg cast alloys. Light Metals Proceeding, TMS 2013
550 U. Singh et al.
9. Kamado S, Kojima Y, Ninomiya R, Kubota K (1997) In: Lorimer GW (ed) Proceedings of 3rd
international magnesium conference (The Institute of Materials, 8 London, 1997) pp 327–342
10. Negishi Y, Nishiyama T, Kiryuu M, Kamado S, Kojima Y, Ninomiya R (1995) J Japan Inst of
Light Metals 45:57–63
Performance of an Outdoor Optical
Wireless Communication Channel
Through Gamma-Gamma Turbulence
at Different Frequency
Abstract Optical wireless communication is an alternative to RF communication

due to its high data rate but outdoor optical wireless communication is limited by
the atmospheric turbulence. Any variation in refractive index causes fluctuation in
the received signal. This is called scintillation and this scintillation causes the fluc-
tuation in phase as well the intensity of the received signal, which results in degrade
the performance of an outdoor OWC channel. In this paper, a unified performance
analysis of an optical wireless communication link for an atmospheric turbulent
channel under gamma-gamma model is addressed. An optimum free-space channel is
designed in the OptiSystem software and to evaluate the system performance numer-
ical results are provided for bit error rate and quality factor under weak, medium,
and strong turbulence regime. Also, the system is evaluated at different frequencies
to study the error performance of the system.
Keywords Optical wireless communication · Gamma-Gamma model · Bit error

rate · Q-factor · Free-space optical communication
1 Introduction
1.1 Background and Motivation
Optical wireless communication (OWC) is the emerging technology used for next-
generation broadband wireless applications. OWC is used to handle high data rate
and it has very large information handling capacity and introduced a huge poten-
tial to the future of the global telecommunication industry. Optical communication
systems are classified according to their transmission medium: guided medium such
as fiber communication and unguided medium like optical wireless communication
or free-space optical communication (FSOC) [1–4]. Early in the twentieth century,
N. Garg (B) · A. Ahmad

Jamia Millia Islamia, New Delhi, India
e-mail: er.nitingarg01@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_49
552 N. Garg and A. Ahmad
all the data transmitted in the range of a few kHz of bandwidth for communication.
Because of the emerging of internet the demand for data increases day by day. To
complete this demand a new transmission medium has been researched. Lightwave
communication in guided media such as fiber and in an unguided medium such
as optical wireless communication is the alternative communication system to this
problem [5–8]. Optical wireless communication systems also provide an alternative
solution to optical fiber communication which is capable of data transmission in
certain applications.
As optical wireless communication provides a very high data rate can replace the
radio frequency (RF) communication which is limited to a low data rate up to several
Mbps. OWC is also providing the solution of bottleneck connectivity problem in the
RF network. Optical wireless communication is dependent on weather conditions and
geographical location. The main challenge face by optical wireless communication is
the atmospheric channel [9, 10]. The attenuation in the air mainly caused by absorp-
tion of signal due to water drops; scattering of signal due to haze particles; fluctuation
of signal due smog, snow particles, etc. When there is variation in the refractive index,
n of atmosphere; result in the random fluctuation in temperature and atmospheric
pressure in the path of propagation. It will make a small size and large size turbulent
cells of a different refractive index called eddies. These eddies work like a lens and
the optical beam propagating through the channel feels the different interference.
This fluctuation in the received signal is known as 7 scintillation [11, 12].
Many models were proposed to describe the effect of turbulence in atmosphere.
Like log-normal (LN) Rician model is used for weak turbulence. But its numerical
evaluation in closed-form expression is a little inconvenient [13, 14]. Most widely
used, Gamma-Gamma (GG) distribution describes the scintillations in weak and
strong turbulence regimes. In this paper, optical wireless communication model is
designed in Optisystem software and gamma-gamma model is used to describe the
channel. Various mitigation techniques are required to reduce the atmospheric atten-
uation due to absorption, scattering, and scintillation and pointing errors due to
building sway. In this paper, the error performance of OWC channel is investigated
weak, moderate, and strong atmospheric turbulence regimes.
1.2 Contribution to This Paper
The main addition of this work is as:

1. The performance analysis for the Gamma-Gamma atmospheric turbulence in all
types of turbulence regimes.
2. We also present the analysis for Q-factor at different power levels and beam
divergence.
3. Error performance is analyzed at different frequencies.
Performance of an Outdoor Optical Wireless Communication Channel… 553
2 System Model Description
In OptiSystem (a simulation engine) software a model for outdoor optical wireless

communication also known as FSOC using Mach–Zehnder modulator is designed
from source to destination communication. Optisystem is user-friendly software
to customers to implement their own simulation using dissemination created and
managed by OptiSystem. A block diagram for FSOC system is shown in Fig. 1.
FSOC system model has three subsystems: Optical transmitter, FSOC channel, and
optical receiver [15, 16].
2.1 Transmitter
In the transmitter’s first subsystem is PRBS generator used to generate the sequence
of bits of “1” and “0”, where “1” and “0” are two significant bit used to describe the
voltage levels in the modulation technique. The output of PRBS is passed through
NRZ driver. Nonreturn to zero is much simpler as compare to RZ [17]. The optical
source used is driven by either DC bias current or AC current. On-off keying (OOK)
type modulation, i.e., internal modulation is driven by AC current. As the devices
used in OWC transmitter require special attention to turned ON, operated, or turned
OFF. Laser diodes used in transmitters are current driven semiconductors. Due to
a change in current wavelength and output power of the device is affected which
result in degrade of the performance of the OWC system. Current instability also
Fig. 1 Block diagram of OWC in free space

Fig. 2 Mach–Zehnder
modulator with two phase
modulating
results in a change of temperature at the junctions. This will affect the output char-
acteristics of output power and wavelength [18, 19]. A driver will provide a solution
to this problem. Driver is a constant current source that provides the stability to
OWC system. Continuous-Wave (CW) laser is used to generate the optical signal at
different frequencies. Mostly used wavelength is from 750 to 1550 nm [20, 21]. Out
of these frequency windows mostly used frequency is 1550 nm because of its more
power and high eye safety. In FSO, an external modulator such as Mach–Zehnder
(MZ) modulator is used to transmit the data [22–24]. The MZ modulator consists of
combiner work as an output port, an input splitter; and two arms which are phase
modulated with independent drive electrodes. A Mach–Zehnder modulator is shown
in Fig. 2 has two blocks (PM and interference). This path is simulated only when the
modulator is symmetric the interference block automatically with an opposite phase
difference. An optical signal is applied at the input port of MZ modulator which
divided into two arms of the modulator. In this, ON state is achieved when the signal
mix at the output port has no differential phase shift between these signals, wherein
OFF state is phase difference [25, 26].
2.2 Atmospheric Channel
In the atmospheric channel attenuation due to weather change is the main challenge.
The performance of a communication system affected by the atmosphere is cate-
gorized as attenuation of received power and fading in the received optical power
because of turbulence regimes.
Atmospheric Attenuation
The transmitted laser power is attenuated as the weather is changed. The Beer-
Lambert law describes the equation for transmittance of signal as [27]
PR
τ (λ, L) = = exp(−γT (λ)L) (1)
PT
where
τ (λ, L) = the transmittance at wavelength λ
γT (λ) = extension coefficient (m−1 )
PT = optical signal power at the transmitter
PR = optical signal power received at distance L (in km).
The scattering of the signal basically dependent upon the wavelength and the size
of the particle present in the atmosphere. Size of particle corresponding to spectrum
window of different wavelengths like 850, 1330,1550 nm decide the different types
of scattering [28].
Gamma-Gamma (GG) Model

GG distribution is mostly used a model which is based on the theory of double
stochastic. In gamma-gamma model the atmospheric channel consists of small and
large scale eddies. In this atmospheric channel receive optical irradiance I, which is
the product of independent random process I X and IY [29].
I = I X IY (2)
where
I X = Irradiance received from large scale air pockets
IY = Irradiance received from small-scale air pockets.
I X and IY both follow the gamma distribution and this is called gamma-gamma
distribution. Their pdf is given as:
α(α I X )α−1
p(I X ) = exp(−α I X ); α > 0; I X > 0 (3)
(α)
β(β IY )β−1
p(IY ) = exp(−β IY ); β > 0; IY > 0 (4)
(β)
By using the above equation the pdf of I is defined as:
2(αβ)(α+β)/2 ( α+β −1)

p(I ) = I 2 K (α−β) 2 αβ I ; I >0 (5)
(α)(β)
where I is the received optical signal intensity, α and β are defined as the number
of large and small-scale air pockets in the atmospheric channel. K (α−β) is Bessel
function of (α − β) order. α and β are important parameters in gamma-gamma
distribution model because these parameters describe the atmospheric turbulence
and these parameters are defined as [30]:

−1
0.49σl2
α = exp 7/6 − 1 (6)
1 + 1.11σl12

−1
0.51σl2
β = exp 5/6 − 1 (7)
1 + 0.69σl12
2.3 Receiver
The optical receiver consists of a photodetector and a filter. Avalanche photodiode

(APD) is used as a photodetector and a low pass Butterworth filter (LPF) is used to
remove the unwanted signals. An avalanche photodiode (APD) used the photoelectric
effect to convert light to electrical signals. APDs also provide high gain through
avalanche multiplication. An LPF is a type of linear filter with a cut-off frequency of
0.75*bit rate of signal. The Butterworth filter has a better build factor, flatter phase,
and group delay [26]. A BER tester is used to analyze the BER pattern. Bit Error
Rate Testers deliver remarkable resilience and performance to help compress your
product advancement cycles and reduce verification testing costs. Perform a broad
bit error rate analysis on your device under test.
3 Simulation Model
Figure 3 shows the simulation setup of an OWC system using OptiSystem 16. BER
Fig. 3 Simulation layout of FSO system using OptiSystem 16

Table 1 Simulation
Parameter Value
parameters
Modulator type Mach-Zehnder
Extinction ratio 30 dB
Laser type CW
Divergence 0.25 mrad
Wavelength 1550 nm
Data rate 2.5 Gbps
Transmitted power Varied
Transmitter aperture area 19.625 cm2
Receiver aperture area 314 cm2
Transceiver loss 1 dB
Responsivity 1 A/W
analyzer is used to see the eye pattern.

Parameters value used for this model is given in Table 1 as:
In this section, numerical analyses for bit error rate (BER) and quality factor of
optical wireless communication system are presented. The typical values used in
optical wireless model for gamma-gamma channel are considered is shown in Table 1.
In Fig. 4, standard deviation versus distance is plotted at different refractive index
values. These results are calculated at the frequency of 1550 nm. Figure 4 shows
at distance from 100 to 1000 m standard deviation (SD) of amplitude fluctuation is
Fig. 4 Standard deviation

versus distance of
atmospheric channel
Fig. 5 Average BER versus

average SNR at different
frequencies
varies from 10−3 to 1 at different values of the refractive index. SD of amplitude

fluctuation is increasing at different turbulence regimes. Plot is shown for weak,
medium, and strong turbulence regime.
Figure 5 shows the plot of average SNR versus average BER. Figure shows that
as the value of SNR is increase error performance is better. These plots are drawn
at different frequencies. In figure, it is clearly shown that BER is low at frequency
1550 nm as compared to 1330 and 850 nm. The performance of an outdoor optical
wireless communication channel is to improve at a frequency of 1550 nm.
Figure 6 shows the plot of quality factor versus transmitted power at different value
of divergence of beam. As the transmitted power increases the value of Q-factor also
increases.
This figure also shows the variation of Q-factor with respect to beam divergence.
It is clearly shown that as the beam divergence increases quality performance is
decreased. If the beam divergence is increased from 0.25 to 2.5 mrad the value of
the Q-factor is decreased 10 times. Similarly, we can observe different values also.
So the signal quality of the link is achieved at narrow beam divergence.
5 Conclusion
Optical wireless communication has many advantages and we can say that it is effec-
tive backhaul communication link. In this paper, we observe that link performance
Fig. 6 Q-factor versus

transmitted power
of gamma-gamma atmospheric model is better at 1550 nm. At this frequency, optical

wireless communication channels provide better results in all the turbulence regimes.
We have also seen the performance of the link at different beam divergence values.
If the beam divergence is narrow the optical link performs better. So a system with
good performance is designed for a gamma-gamma distribution model with the above
parameters.
References
1. Dennis R, Mark L, Ganesh G, Bruce P, Gerald N (2001) Optical wireless propagation, theory
vs experiment. Proc SPIE Opt Wirel Commun III 4214:38–45
2. Bloom S, Hartley WS (2002) The last-mile solution: hybrid FSO radio. Whitepaper, AirFiber
Inc, pp 1–20
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Ergodic Capacity Analysis of Optical
Wireless Communication Links Over
M-Atmospheric Turbulence Channel
with Pointing Losses Given by Beckmann
Distribution
Abstract In this paper, unified capacity analysis of an optical wireless communica-

tion (OWC) link for an atmospheric turbulent model with pointing loss is addressed.
A closed-form expression for pdf and cdf is derived for Ma’laga distribution turbu-
lence in different regimes. Also, Ergodic capacity and outage probability expression
is calculated in terms of Fox’s H function and Meijer’s G function. Pointing loss
degrades the system performance by misaligning the transmitter and receiver. So
in this paper also considered the effect of pointing errors to calculating outage and
ergodic capacity performance. To evaluate the system performance numerical results
are provided for ergodic capacity over strong and weak pointing errors. Also, the
effect of fading parameters in atmospheric turbulence is considered.
Keywords Ergodic capacity · Optical wireless communication (OWC) · Ma’laga

(M) turbulence · Pointing errors · Signal to noise ratio (SNR)
1 Introduction
OWC is the transfer of information or data in the form of optical signals as a carrier
between two points in a channel. OWC is a line of sight communication used for
a short distance up to 4 km [1–4]. OWC has tremendous advantages as compare to
radio frequency communication. OWC has large optical bandwidth, higher capacity,
low cost, and also had a good security purpose as compare to traditional Radio
Frequency (RF) communication. OWC links are license-free and also solve the bottle-
neck connectivity problem [5, 6]. But OWC communication faces some challenges
and attenuation because of change in the atmosphere is one of the main challenges.
Due to random fluctuation of the refractive index atmospheric turbulence will occur.
Many models were proposed to describe the effect of turbulence in the atmosphere
[7]. Like log-normal (LN) Rician model is used for weak turbulence. But its numer-
ical evaluation in closed-form expression is little inconvenient. Most widely used,
N. Garg (B) · A. Ahmad

Jamia Millia Islamia, New Delhi, India
e-mail: er.nitingarg01@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_50
Gamma-Gamma distribution describes the scintillations in weak and strong turbu-

lence regimes [8]. In Gamma-Gamma (GG) distribution irradiance is defined as I =
I x I y , product of two independent random Variables, which represents turbulence,
eddies on large scale and small scale [9]. Recently, a unique model Ma’laga distribu-
tion is proposed which used a generic model for turbulence and various models like
LN distribution, K-distribution, GG distribution, and NE can be derived by using
novel Ma’laga distribution model [10, 11]. In this, we consider fading due to Rician
model because it is a more suitable model due to the existence of the direct LOS
component as compare to Rayleigh distribution. Besides the atmospheric turbulence,
pointing errors will occur due to thermal expansions, wind loads and earthquakes,
etc. Error because of misalignment between transceiver are known as pointing losses
[12–14]. Over the past year, some studies have been conducted for an OWC channel
operating over Ma’laga turbulent channel by using the pointing loss [15–18].
The main additions of this work are:
1. A unified approach for the calculation of the composite pdf and cdf of
M-distribution is presented in terms of Meijer’s G function.
2. The ergodic capacity analysis for M-distribution turbulence model is performed
by utilizing the above unified expression and derived a closed-form expression
for the ergodic capacity of M-turbulence model in term Fox’s H function.
3. We present the ergodic capacity analysis for pointing error model.
2 System Model
The system model consists of one source at the input side and one detector at the
output side or we can say it consists of SISO system. The transmitter propagates data
through the channel in the existence of atmospheric turbulence and pointing loss. At
the destination, receive optical light and turn back into the original signal. Assuming
the noise as AWGN in nature and the signal Z at the receiver can be expressed as
[17]:
Y = IT R X + N (1)
where,
R = Receiver’s responsivity,
X = The transmitted intensity of optical beam,
I T = Fading gain of channel,
N = AWGN (zero mean and C 2n variance).
The coefficient I T can be expressed as I = I a I p I l , where I a , I p , and I l are random
variable representing atmospheric turbulence, pointing losses and atmospheric path
loss, respectively. Path loss factor can be normalized to clear weather conditions.
Ergodic Capacity Analysis of Optical Wireless Communication … 563
2.1 Turbulence Atmospheric Model
The PDF of M-distribution can be written as [19]
β

α+m αβ Ia
f Ia (Ia ) = A bm (Ia ) 2 −1 K α−m 2 (2)
m=1
gβ +
where
β+α/2
2α α/2 gβ
A = (1+α/2) (3)
g (α) gβ +

1−m/2 m−1 m/2
β − 1 gβ + α
bm = (4)
m−1 (m) g β
α and β are the important factors to describe the number of cells, scattered in
the atmosphere, where α is associated to large cells and β is associated to small
cells. These parameters also called fading parameters in the environment [19]. Γ (.)
is known as the gamma function and is the average optical power of coherent
distribution. The parameter g is defined as
g = 2bo (1 − ρ),
where
bo = Half of average power of total scattering component
ρ = Scaling factor of scattering power couple to LOS components, i.e., 0 ≤ ρ ≤ 1.
2.2 Pointing Error Statistical Model
A generalize pointing loss model by considering the effect of misalignment fading

can be expressed as [12]:

−2r 2
I p = Bo exp , r ≥0 (5)
2wz2eq
√ √
wz2 πerf(v) πa
and wz2eq = 2δexp(−δ 2 )
, δ = √
2wz
where w Z eq is equivalent beamwidth, Bo =
[erf(δ)] with erf(.) represents error function. Equation (5) can accurately be approxi-
2
mated by a modified Rayleigh distribution given by Beckmann distribution as follows

[20]

r r2
fr (r ) = exp − 2 , r ≥ 0. (6)
σ 2mod 2σ mod
The PDF of I p is calculated by combining Eqs. (5) and (6), and
ξ2 (ξ 2 −1)
f I P (I P ) = I
ξ2 P
, 0 ≤ I P ≤ Bo . (7)
Bo
3 Statistics of Combined Channel
The pdf of I using the PDF of turbulent and misaligned fading can be described as,
I = I l I a I p is [16]:

∞
f I (I ) = f I /Ia (I |Ia ) f Ia (Ia )dIa , (8)
0
where f I /Ia (I |Ia ) is the conditional probability, which can be further written as:

1 I
f I /Ia (I |Ia ) = fI , 0 ≤ I ≤ Bo Il Ia (9)
Il Ia p Il Ia
2
1 ξ2 I (ξ −1)
f I /Ia (I |Ia ) = , 0 ≤ I ≤ Bo Il Ia (10)
Il Ia Boξ 2 Il Ia
By putting Eqs. (2) and (10) in Eq. (8), the PDF of aggregated channel coefficient
f I (I ) can be written as:
ξ 2 −1 β
∞ ξ 2 α+m
Aξ 2 I 1 ( 2 −1) αβ Ia
f I (I ) = ξ 2 bm Ia K α−m 2 dIa
Bo Il Il m=1
Ia gβ +
I /Bo Il
(11)
where K ν (.) converted into Meijer’s G function [21] to find out the closed-form
solution [22, 23], the PDF can be written as:
ξ 2 −1 α+m
2 −ξ
2
Aξ 2 I I
f I (I ) = ξ2
2Bo Il Il Il Bo
β
αβ I 1 − α+m + ξ 2,
bm G 3,0 | 2 (12)
m=1
1,3
2(gβ + ) Il Bo − α+m2
+ ξ 2 , α−m
2
, m−α
2
Equation (12) can be further simplified as using [21]
β 1− α+m
Aξ 2 αβ 2
f I (I ) = bm
2Bo Il m=1 2(gβ + )

3,0 αβ I ξ 2,
G 1,3 | (13)
2(gβ + ) Il Bo ξ 2 − 1, α − 1, m − 1
In the presence of AWGN, the receiver SNR can be written as
γ = γ̄ I 2 (14)
From Eqs. (13) and (14), PDF of SNR of aggregated channel can be calculated as

1 γ
f γ (γ ) = √ fI , (15)
2 γ̄ γ γ̄
1 1 Aξ 2
f γ (γ ) = √
2 γ̄ γ 2 Bo Il

β
αβ
1− α+m 2
bm
m=1
2(gβ + )
√
3,0 αβ γ /γ̄ ξ 2,
G 1,3 | (16)
2(gβ + ) Il Bo ξ 2 − 1, α − 1, m − 1
Using [24], the corresponding cumulative distribution function (CDF) is derived

as

γ
Fγ (γ ) = f γ (γ )dγ (17)
0
β 1− α+m
1 Aξ 2 αβ 2
Fγ (γ ) = √ bm
2 γ̄ Bo Il m=1 2(gβ + )

αβ γ ξ 2 + 1, 1
G 3,1 √ | (18)
2,4
2(gβ + ) γ̄ Il Bo ξ 2 , α, m, 0
4 Performance Analysis
4.1 Outage Probability
Outage is an important property to study outage probability of a system. In this

segment outage performance M-turbulence with pointing losses is analyzed. OP can
be defined in terms of CDF or can be calculated from given pdf. For a given rate of
transmission the OP can be defined as [24]
Pout = Pr(γ < γth ) (19)
where γ th is the predetermined threshold value of SNR. It requires aiding the trans-
mission data rate. Threshold value of SNR is depended upon weather turbulence
level and can be expressed as:
Pout = Fγ (γth ) (20)
An expression in closed-form for outage probability is obtained by substituting

γ th for γ in equation

γth
Pout = f γ (γ )dγ (21)
0
The OP can be obtained by substituting γ th for γ in equation
β 1− α+m
1 Aξ 2 αβ 2
Pout = √ bm
2 γ̄ Bo Il m=1 2(gβ + )

3,1 αβ γth ξ 2 + 1, 1
G 2,4 √ | (22)
2(gβ + ) γ̄ Il Bo ξ 2 , α, m, 0
4.2 Ergodic Capacity
The fading remains constant over a small number of symbols and hence, we may
obtain a good estimate of capacity by averaging what we receive over the fading
realizations. This is called an ergodic regime. Hence the ergodic capacity (EC) is
given as

Cerg = E log2 (1 + xγ ) (23)
where x is constant term and for heterodyne detection it is defined as such that x =
1 and E() is the expectation operator.

∞
Cerg = log2 (1 + γ ) f γ (γ )dγ (24)
0
β 1− α+m
1 Aξ 2 αβ 2
Cerg = bm
2 Bo Il m=1 2(gβ + )

∞
1
log2 (1 + γ ) √
2 γ̄ γ
0
√
3,0 αβ γ /γ̄ ξ 2,
G 1,3 | dγ (25)
2(gβ + ) Il Bo ξ 2 − 1, α − 1, m − 1
Equation (25) can be written as
(26)
= ∑ αβ
√
1/γ̄
where ( Ω ) and ζ = 2(gβ+ ) Il Bo
. Using the

1, 1
identity, ln(1 + γ ) = G 1,2
2,2 γ | for all values of γ and Eq. (26) represents in
1, 0
terms of Meijer’s G function as [23, Eq. (8.2.2.19)]
(27)
where . And the Eq. (27) is solved using [25, Eq. (07.34.21.0012.01)]
gives
(28)
,m 2
where Hmm31,m 4
(.|.) is Fox’s H function.
5 Numerical Results
The PDF of M-distribution is plotted with respect to received SNR as shown in Fig. 1.
It can be seen that PDF is a non-negative function of γ . The OWC link is modeled
with a set of parameters. In this section numerical results of the ergodic capacity of
OWC link transmission system under M-distribution turbulent channel with pointing
errors are presented [16, 18].
In particulars, (α = 2.2, β = 2), (α = 3.99, β = 3), (α = 7.8, β = 4) and (α =
9.6, β = 5) are considered for different turbulence conditions as given in Table 1.
The effect of pointing error is considered as ξ = 1 and ξ = 6.4 for strong and
weak pointing errors. The average optical power and average power of scattering
components for M-channel are Ω 0 = 1.625 and bo = 0.5. In Figs. 2 and 3, the ergodic
capacity with respect to SNR is plotted for the variance value of fading parameter, i.e.,
α and β for strong and weak pointing error models. As we can see the value of ergodic
capacity is increasing with an increase in the values of α and β, as the scintillation
Fig. 1 PDF of the received SNR
Table 1 Free space

Weather Visibility Cn2 Fading
turbulence conditions
(km) parameters
Weak 5 10−11 m−2/3 α = 7.8, β =
turbulence 4
Moderate 0.8 1.2 × 10−13 α = 3.99, β =
turbulence m−2/3 3
Strong 0.4 2.8 × 10−14 α = 2.2, β =
turbulence m−2/3 2
Fig. 2 Ergodic capacity versus SNR for strong pointing errors
Fig. 3 Ergodic capacity versus SNR for weak pointing errors

Fig. 4 Ergodic capacity versus SNR for different values of ρ
index decreases the turbulence become weaker. In Fig. 2 the ergodic capacity is
improved for weak pointing error model. The value of EC is 15 bits/s/Hz for ξ = 6.4
as high as compared to strong pointing error model (i.e., ξ = 1) for the same fading
parameters. The system model is improved for the Beckmann distribution pointing
error model.
In Fig. 4, the ergodic capacity is plotted with respect to Average SNR at different
values of ρ. It can be seen that for a given value of α and β the capacity improves as
the value of ρ increases. Where a higher value of ρ represents the more scattering
power is coupled to the Line of sight components (SCLOS). It can be observed that
as the value of α, β and ρ increase, it improves the performance of the system.
6 Conclusion
In this paper, a unified expression for probability density function and cumulative
distribution function is derived in terms of Meijer’s G function for M-atmospheric
turbulence with pointing loss given by Beckmann distribution. By using these expres-
sions, we present a new formula for outage probability and ergodic capacity in terms
of Meijer’s G function. In addition, to this work, we present the numerical results that
show the effects of pointing errors, scintillation index, and turbulence parameters.
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Effect of Impurities on Charging Track
in the Performance of Wireless
Capacitive Charging Technique
Mohd Shahvez, Sameer Pervez Shamsi, and Mohd Tariq
Abstract This paper presents an analysis of the effect of impurities on the perfor-
mance of capacitive charging technique on electric vehicle; in this paper, commonly
found impurities like sand, water and air are incorporated in the capacitive charging
system. Impurities considered in the vicinity of plates have a thickness of 1, 3 and
5 mm. Finite element modelling (FEM) is performed for finding out the exact effect
of the impurities in the system. COMSOL 5.2a is used for obtaining the result. The
results obtained are reported and discussed in the paper.
Keywords Electric vehicle · Capacitive charging techniques · COMSOL ·

Impurities · Sand
1 Introduction
Electric vehicles (EV) have been gaining popularity recently, and there are many
reasons behind this. The most significant one is their contribution in reducing green-
house gas emissions and mitigating air pollution [1, 2]. Electric vehicles have been
thought of as the answer to our dependence on fossil fuel burning vehicles. Moreover,
electric vehicles provide an alternate and reliable source of transportation that will
not harm the environment [3].
Charging vehicles wirelessly is one of the many avant-grade technologies which
is expanding viciously, and is proving to be a tipping point for electric car industry,
for example, Tesla, Kia, etc. Wireless charging enables the automated charging of
vehicles. Wireless electric vehicle charging systems (WEVCS) can be a potential
alternative technology to charge the electric vehicles (EVs) without any plug-in
problems. By the end of 2040, it has been gauged that there will be up to 50% rise
M. Shahvez · M. Tariq (B)

S. P. Shamsi
Department of Electronics Engineering, Z.H.C.E.T, Aligarh Muslim University, Aligarh, India

https://doi.org/10.1007/978-981-15-5463-6_51
574 M. Shahvez et al.
of new cars sale which will be precisely electric vehicle sales [4]. Presently, there
are very few companies which are able to achieve wireless charging technology on
board. Qualcomm Halo, famous for their humungous in batteries has been trying to
develop their charging system since 2012 which is currently being exercised by the
Formula E electric race series. They are equivalent to what rapid public chargers are
offering, and they have potential to transfer up to 22 kW of power.
Recently, BMW is planning to sell a wireless charging pad for the 530e iPerfor-
mance hybrid. It usually works by connecting it to the power outlets of the houses, and
the time required to fully charge the vehicle is very appreciable, i.e., 3.5 h. Drivers
can simply park the vehicle in their garage when they are home and they can get
their vehicles charged. There is no need to plug it in [5]. Wireless power transfer can
be classified into capacitive and inductive. As compared to inductive WPT systems,
capacitive WPT systems are less expensive, more compact, lighter and more robust
[6].
The capacitive WPT system transfers energy across a small air gap, from one
pair of conductive plates embedded in the roadway to another pair attached to the
underneath of the vehicle chassis. The roadway side of the system (primary side)
comprises of a matching network and a high-frequency inverter. The purpose of the
matching network is to create a high voltage so as to enable high power transfer. The
vehicle side (secondary side) of the system comprises a second matching network
and a high-frequency rectifier. Here, the purpose of the matching network is to step
down the voltage and current levels required to get battery charged [7, 8]. Several
capacitive charging techniques for electric vehicles have been proposed in the recent
research papers like conformal bumper and multi-module capacitive charging [9–11].
Following paper consists of three sections followed by conclusion and references.
The first section gives a brief view of classification and properties of naturally occur-
ring impurities. The second section describes the capacitive charging techniques and
its implementation in real time precisely in tracks. Section 3 consists of the results
and discussions of the simulations performed in COMSOL followed by conclusion
and references.
2 Classification and Properties of Impurities
(a) Air: Air is the earths’s atmosphere. It is a mixture of many gases and dust
particles. Air has no colour or smell. By volume, it comprises of about 78%
nitrogen, 21% oxygen, 0.9% argon, 0.04% carbon dioxide and very minimal
amount of other gases. There is an average of about 1% water vapour. Smoke,
ash and gases like carbon monoxide contribute to the pollution of air [12]. Due
to the abundance of air, it is impossible to obtain an impeccable contour which
is free from air. The relative permittivity of air is 1.
(b) Water: 71% of the earth’s surface is covered by water. Due to natural rainfall, fog,
mist or due to manual incorporation of water in the vicinity of charging tracks,
residual water gets accumulated on the plate surface. It is nearly impossible to
Effect of Impurities on Charging Track in the Performance … 575
eliminate water from the track charging system. Due to which aberrant results are
obtained from nominal value. We have checked these effects in the simulations
performed in COMSOL. The relative permittivity of water is 80.
(c) Dry sand: Depending on local rock sources and conditions, the composition of
sand varies. The most common component of sand is silica (Silicon dioxide),
usually in the form of quartz. The second most common type of sand is calcium
carbonate [13, 14]. In the simulations performed, we have taken aluminium and
silica as the components of the dry sand. When wind blows, it causes the rise
in sand in the vicinity of the charging track followed by its settlement on the
charging plates. We have analysed its consequences on electric field density and
capacitance of the charging system. The relative permittivity of the dry sand is
4 [15].
Due to the abundance of above-mentioned impurities, their effects on the capaci-

tive charging technique cannot be ignored. Hence, we have incorporated these effects
in the simulations performed on COMSOL to obtain an optimum charging model.
3 Capacitive Charging Techniques
Capacitive coupling is also discern as electric coupling which employs electric field
in order to transfer power precisely between the plates named as anode(positive
plate) and cathode(negative plate) devising a capacitance to transfer power. It simply
employs the concept of electro static induction which is a meld of inductive coupling.
Efficient coupling can be achieved by intervening of either a dielectric between the
plates or by decreasing the area of the coupling plates or by increasing the distance
between the plates. The transmitter plate or the primary plate is energized by a high-
frequency inverter and with suitable compensation topology is been adopted in order
to make charging more subtle and the receiver plate or secondary plate discern or
gets energized by the electro static induction with suitable or appropriate rectifier
circuit in order to obtain a proper DC output in order to feed the battery as illustrated
in Fig. 1. In order to increase the efficiency or increase power transfer density, we can
either increase the frequency of operation or by increasing the value of capacitance
because power transfer density is directly proportional to the capacitance and the
operating frequency.
In order to transfer power wirelessly for charging of vehicles (i.e., at kW level), it
could achieved by various ways as mentioned above, charging vehicle through capac-
itive technology in static condition is comparatively easy which is been proposed in
various papers [5] i.e., charging through conformal bumper while doing the same for
dynamic condition is typically difficult [6]. It employs the concept of multi-module
capacitive plates which are placed underneath the ground which is very explicitly
proposed in [6, 7], and for this approach of charging, several challenges are encoun-
tered. For employing multi-module capacitor plate’s special charging tracks need to
Es
Power
Source Oscillator
Compensation
Network
Rectifier
Load
Fig. 1 Simple capacitive charging technique
be designed and while doing so problems which are encountered are discussed in
this paper.
Due to intervening of various impurities between the charging plates, it causes
aberrant in results from the nominal value which is explicitly illustrated in the result
section.
Scrutinizing of wireless capacitive charging system for vehicles due to the incorpora-
tion of naturally occurring elements like sand and water in the charging plates system.
It is applied via the development of specially designed tracks for the same. Although
these elements are seen as an obstruction to the efficient charging, an in-depth analysis
of the same shows some different results for a single module system.
Direct insertion of these elements in our analysis is not practical. But it can be
done by controlling the proportion of the same between the plates. The analysis
has been done using three basic elements that are dry sand, water and air, that too
are employed in particular combinations. A layer containing these elements in a
definite proportion is introduced between the plated and the thickness of it is varied
at 0.0, 0.1, 0.3, 0.5 mm precisely and the same three components, i.e., capacitance,
energy transfer density and the efficiency are calculated with the variation in the layer
thickness. The two combinations on which the whole simulations are conducted and
results are obtained are (Air + dry sand) and (Air + Water). For the water layer, at
Capacitor Plates
Air Dry Sand
Fig. 2 Module with air and dry sand incorporated between plates
0.0 mm coating, the energy transfer density is 0.0110 J/m3 . The relative permittivity
is taken as 80. This occurrence can be interpreted as the natural rainfall residue or
manually spraying the track with water. As we increase the coating thickness to
0.5 mm, the value increases to 0.0134 J/m3 which is more than 1.3 times the initial
value with the efficiency of 98.5% and acquiring the capacitance of 4.9098 pf which
can be easily depicted from Figs. 10, 11 and 12. For the dry sand layer, at 0.0 mm
coating, the energy transfer density is 0.0110 J/m3 . As the relative permittivity of dry
sand is taken as 4, this occurrence can be interpreted as the natural wind blows cause
sand to settle down in the vicinity of plates. As we increase the coating thickness
to 0.5 mm, the value increases to 0.0127 J/m3 which is more than 1.15 times the
initial value with and efficiency of 95% approx. acquiring the values of capacitance
of 4.7838 pf (Figs. 2, 3, 4, 5, 6, 7, 8, and 9).
Figures 10, 11 and 12 depict the efficiency, electric field density and capacitance
of the above-designed module. The results are obtained by varying the thickness of
the above-mentioned impurities.
5 Conclusion
The effect of different impurities is successfully analysed and reported in the paper.
The simulation results show that incorporation of above-mentioned impurities in
appropriate level increases the electric transfer density and capacitance. However,
the impurities at inappropriate level will cause aberrant results in charging system
and will eventually affect the resonance of the charging system which will lead to
inefficient charging.
Fig. 3 Electric field density for thickness of 1 mm

Capacitor Plates
Air Water
Fig. 6 Module with air and water incorporated between plates


Fig. 10 Efficiency versus 100

thickness graph
EFFICIENCY (%)
98
96
94 Sand
92 Water
90
0 1 2 3 4 5 6
THICKNESS OF INSERTED LAYER (MM)
Fig. 11 Electric field

ELECTRIC FIELD DENSITY
density versus thickness

graph 0.016
0.014
0.012
(J/M3)
0.01
0.008
0.006
Sand
0.004
0.002 Water
0
0 1 2 3 4 5 6
Fig. 12 Capacitamce versus 5

thickness graph
4.9
CAPACITENCE (PF)
4.8
4.7
4.6
Sand
4.5
Water
4.4
0 1 2 3 4 5 6
References
1. Tariq M, Maswood AI, Gajanayake CJ, Gupta AK (2016) Aircraft batteries: current trend
towards more electric aircraft. IET Electr Syst Transp 7(2):93–103
2. Tariq M et al (2015) Battery integration with more electric aircraft DC distribution network
using phase shifted high power bidirectional DC-DC converter. In: 2015 IEEE PES Asia-Pacific
power and energy engineering conference (APPEEC), pp 1–5
3. Tariq M, Maswood AI, Gajanayake CJ, Gupta AK (2016) A lithium-ion battery energy storage
system using a bidirectional isolated DC-DC converter with current mode control for More
Electric Aircraft. In: 2016 IEEE symposium on computer applications & industrial electronics,
Penang, Malaysia
4. Adams E (2019) Wireless electric car charging is coming—and it could help stabilize the
power grid (online). Available at: https://www.thedrive.com/tech/19995/wireless-electric-car-
charging-is-coming-and-it-could-help-stabilize-the-power-grid/. Accessed 20 May 2019
5. BMW is set to offer a pad to wirelessly charge your car (online). Available at: https://www.
theverge.com/2017/9/25/16363038/bmw-wireless-charging-pad-for-cars-530e/. Accessed 20
May 2019
6. Lu F, Zhang H, Mi C (2017) A review on the recent development of capacitive wireless power
transfer technology. In: Energies 2017 special issue on wireless power transfer and energy
harvesting technologies, art. 10, 1752, Nov 2017
7. Regensburger B, Kumar A, Sinha S, Afridi K (2018) High-performance 13.56-MHz large air-
gap capacitive wireless power transfer system for electric vehicle charging. In: 2018 IEEE 19th
workshop on control and modeling for power electronics (COMPEL). IEEE, pp 1–4
8. Tariq M, Maswood AI, Gajanayake CJ, Gupta AK (2016) Modeling of a Li-ion battery energy
storage system using an optimal harmonic number based model of DC-DC converter for more
electric aircraft. In: IECON 2016—42nd annual conference of the IEEE Industrial Electronics
Society, Florence, 2016, pp 4429–4434
9. Dai J, Ludois DC (2015) Wireless electric vehicle charging via capacitive power transfer
through a conformal bumper. In: 2015 IEEE applied power electronics conference and
exposition (APEC). IEEE, pp 3307–3313
10. Kumar A, Pervaiz S, Chang CK, Korhummel S, Popovic Z, Afridi KK (2015) Investigation of
power transfer density enhancement in large air-gap capacitive wireless power transfer systems.
In: 2015 IEEE wireless power transfer conference (WPTC). IEEE, pp 1–4
11. Doubleday K, Kumar A, Sinha S, Regensburger B, Pervaiz S, Afridi K (2016) Design tradeoffs
in a multi-modular capacitive wireless power transfer system. In: 2016 IEEE PELS workshop
on emerging technologies: wireless power transfer (WoW). IEEE, pp 35–41
12. McEwan MJ, Phillips LF (1975) Chemistry of the atmosphere. Halsted Press, New York 309 p
13. Linstrom PJ, Mallard WG (2001) NIST chemistry webbook. NIST standard reference database
No. 69
14. Sherard JL, Dunnigan LP, Talbot JR (1984) Basic properties of sand and gravel filters. J Geotech
Eng 110(6):684–700
15. Peplinski NR, Ulaby FT, Dobson MC (1995) Dielectric properties of soils in the 0.3–1.3-GHz
range. IEEE Trans Geosci Remote Sens 33(3):803–807
“RESUME SELECTOR” Using Pyspark
and Hadoop
Preeti Arora, Deepali Virmani, Aradhay Jain, and Akshay Vats
Abstract Resumes are commonly used for recruitment of employees by companies,

but the selection process is not automated and the technology used to store and
evaluate resumes is outdated. Hence, there is a need to develop a system that can
accommodate huge amount of resumes received by the company and process them
in real time. So, our proposed system uses the capabilities of Hadoop Framework
to store Terabytes of data in a cluster to improve the efficiency of selection process.
Further, PySpark is used to process the data parallelly in a distributed environment
which generates the result in an efficient manner. The proposed algorithm works
on keyword-based search (KBS) to filter out all the required skills from resumes.
Further, the aggregate weightage for each resume is computed and checked against a
confidence level to select the resumes. Due to distributed and parallel computation,
our system performs in a more efficient and accurate manner than the traditional
systems.
Keywords Hadoop · HDFS · PySpark · Keyword-based search (KBS)
1 Introduction
Big data refers to an enormous amount of datasets that can be structured, unstruc-
tured, or semi-structured. These datasets are used in business logics to derive useful
information [1], to generate graphs and study them in order to analyze and predict
P. Arora (B) · D. Virmani · A. Jain · A. Vats

Bhagwan Parshuram Institute of Technology, New Delhi, India
e-mail: erpreetiarora07@gmail.com
D. Virmani
e-mail: deepalivirmani@gmail.com
A. Jain
e-mail: aradhay1996@gmail.com
A. Vats
e-mail: vats.akshay975@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_52
586 P. Arora et al.
the future course. Therefore, big data leads to better decisions and strategic busi-
ness moves and is implemented through the Hadoop Framework that provides the
companies with the opportunities to form clusters of systems, share huge amount of
information, and process tremendous information in real time. In local systems, the
memory block is of size 4 Kilobytes; therefore, to transfer Gigabytes of data, the
local systems take huge amount of time [2].
The Hadoop Framework has its own file system called as the Hadoop Distributed
File System (HDFS), where the memory block is of 64 Megabytes (i.e., 16,000 times
more than the traditional systems). Hence, the huge dataset gets distributed over the
entire cluster in a memory block size of 64 Mb. Thus, the transferring and processing
of data takes seconds [3].
Further Hadoop has various tools that make the processing of data easier. We are
implementing one such tool in our model, called as PySpark. Spark with Python is
made possible by the library Py4j. As shown in the diagram, PySpark shell links
the Python API to Spark Core and initializes the Spark Context. SparkContext is at
the heart of any Spark application. SparkContext acts as the master, and with the
help of cluster manager, it facilitates the exchange of information between the local
host directory and Spark workers/worker nodes where the data is stored in a cluster.
The pipe facilitates the functioning of Spark with Python; therefore, it is collectively
called as PySpark [4, 5] (Fig. 1).
PySpark works on the concept of data locality and code mobility. Therefore,
it is possible to move the code wherever the data is present in the cluster. In this
way, the code mobility is achieved. Further, for data locality in PySpark, there is a
Fig. 1 Architecture of
PySpark
“RESUME SELECTOR” Using Pyspark and Hadoop 587
concept of RDD Resilient Distributed Datasets (RDD). The data distributed over the
cluster is known as partitions and the collections of this data are known as RDD.
RDD is unstructured in nature; therefore, to perform various operations data, we
need to convert it into a structured form called data frames. Data frames are the
tabular representation of data. Data frames provide the user with the capabilities to
perform various operations through its methods, or by implementing the SQLContext
to perform queries like SQL. This helps PySpark to process Gigabytes of information
parallelly and give output in real time [4, 5].
Our model uses PySpark for fetching and processing the resumes. We used
keyword-based search (KBS) to search for all the skills required by the employer. The
keywords are mapped and their frequency can be deduced. The weightage for each
of the resume is calculated as inputted by the HR. The resumes having weightage
greater than the confidence level are found and are presented to the Employer.
The paper is organized as follows. Section 2 summarizes relevant literature and
describes the study. Section 3 describes our proposed approach and the resume
selector algorithm for the huge dataset of resumes. Finally, the results of our
experiments are validated in Sect. 4. Section 5 presents conclusions.
2 Literature Review
In this paper, the author has used natural language processing to find the keywords
and cluster them. The user uploads the resume on a web page; the parser parses the
necessary information. The resumes are then stored in the NoSQL database and are
shown to the employer. The drawback of this approach is that it uses NoSQL database,
and when it comes to processing of a large number of datasets (i.e., resumes), NoSQL
is not able to provide results in real time [6].
In this paper, author says that the companies usually go through unstructured
resumes and shortlist candidates based on their skills [7]. This process has major
drawbacks, since it is time consuming; further, the amount of data is increasing
exponentially every day; therefore, there is a need for a system that can address
these issues effectively. To overcome all the abovementioned problems, an intelligent
system is needed which can process information from huge dataset (unstructured
resumes) and give accurate results in real time.
3 Proposed Work
3.1 Block Diagram
Stage 1: In this stage, the unstructured datafiles, i.e., resumes, are inputted in the
Hadoop Distributed File System (HDFS). This unstructured data is stored as pair
588 P. Arora et al.
Fig. 2 Formation of data frame
Fig. 3 Formation of list and dictionary
RDDs, which can further be converted into a structured form called data frame. Data
frame stores the data present in the resumes with their corresponding absolute path.
Implementation of this is as shown in Fig. 2.
Stage 2: Now, in this stage, a list of skills and their corresponding weightages, as
desired by the employer, are inputted into the system. Further from the lists of skills
and weightage, we form a dictionary. Implementation of this is as shown in Fig. 3.
Stage 3: Here, the list of skills is broadcasted to all the worker nodes. The data
in data frame is processed row wise; to filter out the skills, the frequency of each of
these skills is computed. Further, we filter out the file name from the absolute file
path of all the resumes to form a completely optimized data frame. Implementation
of this is as shown in Fig. 4.
Stage 4: The dictionary consisting of skills and their corresponding weightages
is broadcasted to all the worker nodes. We compute the weightage for a particular
resume by multiplying the weightage with the total frequency of that skill, i.e., Wi*Fi
and update the data frame for further processing. Implementation of this is as shown
in Fig. 5.
Stage 5: The total weightage for each of the resume is computed by summing up
all the values obtained from stage 4 for all skills present in that particular resume
and is compared against a confidence level (CL), that is inputted by the employer.
Resumes for which the total weightage is more than the confidence level are selected
and are presented to the employer. Implementation of this is as shown in Fig. 6.
Fig. 4 Filtration of skills to form and optimized data frame
Fig. 5 Computation of weightage for each skill in each resume
Fig. 6 Comparison against the confidence level to extract the resumes

590 P. Arora et al.
3.2 Algorithm
All the resumes from the local host directory are transferred to Hadoop Distributed
File System (HDFS). The resumes are distributed over the entire cluster in the form
of partitions, collectively called as an RDD. A data frame is then created over this
pair RDD to compose the data in a structured form. Following this, the user inputs
the required skills and corresponding weightage for each skill in a list. A dictionary
of skills and their corresponding weightages is formed using this skill list. The skill
list is broadcasted over the worker nodes.
The skill list is used to filter out skills from the resumes, and further, frequency
corresponding to each skill is calculated. We compute the skill weightage for each
skills by multiplying the weightage with the frequency of the corresponding skills
(Wi*Fi) and update the data frame with new values. Now, the resume analyzer is used
to perform all the computations. The total weightage is calculated by summingup
all the computed weightages for each skills. The resumes having total weightage
greater than the confidence level are selected and are presented to the employer.
Algorithm Resume selection using KBS

4 Results
Step 1: Conversion of data into data frame from pair RDDs (Fig. 7)
Step 2: Formation of list and dictionary of skills and corresponding weightage
(Fig. 8)
Step 3: Fetching of skills and formation of new columns (Fig. 9)
Step 4: Computing total weightage for each skill for each resume (Fig. 10)
Step 5: Computing total weightage for each resume, inputting the confidence
value and return the resumes selected (Fig. 11).
Fig. 7 Formation of data frame
Fig. 8 Formation of list of skills and weightages

592 P. Arora et al.
Fig. 9 Skills fetching
Fig. 10 Weightage computation
Fig. 11 Inputting the confidence value to compute result
The comparison of both the techniques, i.e., manual and our proposed system is
as shown in Fig. 12. As proved by the result that by using keyword-based search, the
time for selection of resumes reduces immensely. Moreover KWB helps in selecting
the desired skills in an efficient and quick way.
90
Timre to Process Resumes

80 Manual
70
Resume Selector
(in Minutes)
60
50
40
30
20
10
0
Python .Net React SQL MVC
Desired Skill
Fig. 12 Comparison of manual and KBS techniques
5 Conclusion
In this paper, keyword-based search (KBS) approach is proposed. Here, a huge dataset
consisting of resumes of various job applicants are stored in a distributed environ-
ment using the Hadoop Distributed File System (HDFS), deployed over a cluster of
systems. This dataset is converted to a data frame from the memory chunks (called
pair RDDs). A skill list and a dictionary of skills and their respective weightages are
devised. The skill list is broadcasted over the worker nodes so as to retrieve the skills’
frequencies from each of the resumes. The total weightage for each resume is calcu-
lated by the summation of the products of weightage (Wi) with the frequency (Fi) of
each Skill, i.e., Wi*Fi. This total weightage (Wt) is compared against a confidence
level (CL) inputted by the employer. The resumes having total weightage more than
the confidence level, i.e., Wt > CL are selected and are presented to the employer.
Hence, this intelligent system removes the problems of storing huge amount of data
that is increasing exponentially, and the time consumed in gathering data and manu-
ally processing the resumes. This paper mainly focuses on the keyword-based search
(KBS); in the future, we will try to consider the years of job experience, to make it
more efficient and reliable.
References
1. Arora P, Virmani D, Kulkarni PS (2017) An approach for big data to evolve the auspicious
information from cross-domains. Int J Electr Comput Eng 7:967–974
2. Acharjya DP, Kauser Ahmed P (2016) A survey on big data analytics: challenges, open research
issues and tools. Int J Adv Comput Sci Appl 7(2):511–518
3. Menon R (2014) Cloudera administration handbook. Packt Publishing Ltd., Birmingham, UK
4. Holden K, Matei Z, Andy K, Patrick W (2015) Learning spark. O’Reilly Media, Sebastopol,
CA
5. Spark Overview. https://spark.apache.org/docs/2.1.1/programming-guide.html
594 P. Arora et al.
6. Sanyal S, Hazra S, Adhikary S, Ghosh N (2017) Resume parser with natural language processing.
Int J Eng Sci Comput 7(2):4484–4488
7. Risavy SD (2017) The resume research literature: where have we been and where should we go
next? J Educ Dev Psychol 7(1):169–187
Implementation of Regenerative Braking
System in Automobiles
Mohan Kumar and Md. Ehsan Asgar
Abstract This paper proposes an efficient way for implementation of regenerative

braking system in automobiles for electric vehicles such as hybrid vehicle. Cost and
efficiency of regenerative braking system associated with conversion of heat energy
into electrical energy has also being proposed in this paper. This conversion of energy
and its storage is done by devices such as capacitor, batteries, and motor which may
have been lost as heat while braking.
Keywords RBS · Generator · Efficiency · Energy conversion
1 Introduction
Due to the varying and drastic impact of conventional braking system on environment
and to encapsulate losses, development of green technology for braking system is
important for automobiles, which prevents emission of particulate matter. This emis-
sion of particulate matter can be prevented by development of green technology for
automobiles which involves electric cars such as hybrid and semi-hybrid [1]. Regen-
erative braking system is a solution to reduce this emission of particulate matter,
and this is not the only reason. Regenerative braking system also works as a kinetic
energy recovery system which helps us to recover a part of energy which may have
been lost while braking. RBS does this by converting heat energy into electric energy
which is stored in energy-storing devices such as capacitor and battery which may
be used for further purpose. It can recover energy up to 10%. This percentage up
to which recovery can be done depends upon type of tire, friction on road, speed of
vehicles, and brake pedal speed.
M. Kumar · Md. Ehsan Asgar (B)

Department of Mechanical & Automation Engineering, HMRITM, Delhi, India
e-mail: asgarehsan@gmail.com
M. Kumar
e-mail: mohandce@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_53
596 M. Kumar and Md. Ehsan Asgar
2 Components of the System
1. Energy-converting Devices: PMSM

2. Energy-storing Devices: Capacitor, Batteries
3. Continously Variable Transmission
4. Control System.
2.1 Energy-Converting Devices
For conversion of energy, motors are required. To fulfil this purpose, (PMSM) perma-
nent magnet synchronous motors can be used. This is because the PMSM has many
features like high efficiency, compactness, smooth torque, high torque-to-inertia
ratio, high pull-out torque, higher power factor, good heat dissipation, good over-
loading capability, rapid dynamic response, simple modelling and control, low noise-
and maintenance-free operation. PMSMs also have a wider speed range capabilities
than AC induction motors. PMSMs are rated for 20:1 speed range in open loop and
2000:1 in closed loop (with feedback). The motor runs at constant speed at any torque
up to the motor’s operating limit, depending upon the supply frequency. Therefore,
PMSM is suitable for high accuracy, fixed speed drives. Regenerative braking is an
advantage to electric.
Implementation of Regenerative Braking System in Automobiles 597
2.2 Energy-Storing Devices
The electric used in the car behaves as generator wherever brake is applied. This
generator converts the kinetic energy of the car into electricity, and this electricity
recharges the batteries of the car. Minimum braking distance of car is ensured with
this system; hence, all the kinetic energy cannot be converted to recharge the batteries;
some part of the energy is lost as heat. Energy is also lost through the transmission
system and in the battery.
2.3 Continuously Variable Transmission
A control loop system with open loop is also required which will continuously
monitor the speed of vehicle that at which instant batteries are required to be
decoupled as the charge inside energy storage unit has reached the maximum capacity.
2.4 Control System
In order to handle torque and speed demands, a smoothly controlled flow of energy
to wheels is required. This can be achieved by CVT which works with flywheel as
rotational speed increases when vehicle speed decreases.
3 Working of Regenerative Braking System
RBS is activated whenever vehicle is in motion without the accelerator pedal is being
operated, i.e. vehicle going down the slope and while braking. During the period,
motors are converted to generator and the some kinetic energy of the vehicle is stored
to batteries. This becomes possible as rotating wheels of the decelerating vehicle
operate the motor through driveline, the motor become generator, and this produces
electricity which recharges the batteries. There is an energy storage unit (ESU) is
attached to RBS; its function is to sense the pressure on accelerator pedal. Whenever
the pedal is released, the absence of pressure is sensed by ESU, regenerative braking
starts, and the batteries are recharged by the motor, which is turned by the wheels.
In this case, the friction brakes are not engaged.
There are two more decelerating cases:
1. When foot is not of the throttle, and also not on brake pedal—in this case, the
charging of the batteries is slow as the vehicle will slow down progressively.
2. When foot is on the brake pedal—In this case, a more amount of regeneration will
occur as the vehicle will slow more rapidly. During light brake pedal application,
Table 1 Effectiveness of different regenerative braking

Energy flow (all in MJ) High regen. Medium regen. Zero regen.
Total acceleration required 32.75 30.90 24.98
Resistance losses 27.90 26.65 18.61
Braking energy 4.86 4.15 6.32
Captured 4.55 3.80 0.00
Losses (due to sink input efficiency) 1.59 1.33 0.00
Stored 2.96 2.47 0.00
Losses (due to sink output efficiency) 0.74 0.62 0.00
Recovered by regenerative braking system 2.22 1.85 0.00
As % of total acceleration energy required 6.78 6.00 0.00
Remainder provided by battery 30.53 29.05 24.98
only the IMA motor//generator is slowing the car. With heavier brake pedal appli-
cation, the conventional friction brakes also come into play. During decelerating,
regeneration will go on until engine speed comes to about 1000 rpm.
In this way, braking of the vehicle is obtained.

A voluntary agreement between the European Council and the European Automo-
bile Manufacturers Association will reduce average fleet CO2 emissions to 120 g/km
for new cars by 2012 (Table 1).
These figures show that in the driver only condition, 6.78% of acceleration energy
is recoverable through regenerative braking system acting on the accelerator pedal
of the Tata Ace electric vehicle. Actuating a brake system in this way is however
likely to impact range since momentum is not maintained on gradients or when the
driver wants to coast to a reduced speed. With the high levels of regenerative braking
torque tested here, the total acceleration energy is increased over the drive cycle due
to the resistance in the drivetrain generated by regenerative braking. The recovered
energy does not compensate for this due to the rear-wheel-drive configuration which
only enables energy to be recovered from the axle which contributes the minority of
the total braking effort [2].
Road Load Force (N)
The equation of the curve is:
Road Load Force (N ) = (0.0558 ∗ speed2(kph)) + 157.9
Once the vehicle was mounted to the dynamometer, constant speed inputs were
applied from the driver’s seat with the dynamometer logging wheel torque (which can
be converted to road load force). Driving at fixed speeds for 10 s at a time allowed
an average force output to be calculated during that time, to compare against the
equation for road load force derived from coastdown testing.
The expected values for road load force at 10, 20, and 30 km/h are as follows
(calculated from the above equation):
Expected wheel torques

Speed (kph) Road Load Force (N) Wheel torque (Nm)
10.00 163.52 46.19
20.00 180.26 50.92
30.00 208.16 58.81
Range Testing
The average range achieved through this method of testing was 42 miles (68 km)
over a time period of ~ 3.9 h. The average discharge rate can thus be defined as C/4.
The C/4 discharge rate can therefore be expected to correspond to a battery pack
capacity of 110 Ah. With a nominal battery voltage of 80 V, the maximum battery
energy content is calculated as 110 Ah × 80 V = 8800 Wh.
The range of 68 km over a 4 h period corresponds to a ‘battery-to-wheel’ energy
consumption of 8800 Wh/68 km = 129.4 Wh/km.
To measure total ‘plug-to-wheel’ energy efficiency, charger and battery charging

losses have to be taken into account. Assuming 80% charging efficiency, the energy
consumption becomes 129.4 Wh/km/80% = 161.7 Wh/km.
A more accurate measure of energy consumption based on units of energy trans-
ferred to the vehicle at the charge point was performed by completing a fixed cycle
of 10 UDCs. The vehicle was charged to 100% before the test and recharged back
to 100% with an energy monitor fitted after the test.
With an armature current of 65 A and a field current of 16 A (in regenerative

braking mode), the amount of forward kinetic energy recovered and reused over a
typical drive cycle is 6%. The dynamometer testing has shown that over the full
range of the battery capacity, this equates to 9.7 Wh/km of saved energy (6% of
161.7 Wh/km) compared to the same vehicle with no regenerative braking.
12,000 km per year would cost RS. 49,236.43 to recharge over that year at RS. 15.5
per kWh of electricity (using the worse case 264.9 Wh/km plug-to-wheel efficiency).
Therefore, a saving of RS. 3000 per year is made to the customer by recovering and
reusing energy. In real terms, the benefits to the motorist are through increased range
and hence usability as well as decreased wear of friction materials. The benefit
to a vehicle manufacturer of successfully implementing regenerative braking is an
increase in marketability and sales [3].
4 Conclusion
Implementation of regenerative braking system shows about 25% saving in fuel

economy. Theoretical investigation reveals that up to 10% of acceleration energy
is recoverable. Regenerative braking system in vehicle will improve its stopping
distance. Regenerative braking system if implemented in vehicle will not make it

costly and moreover environmental issues can be resolved.
Developing countries like India can move in direction of implementation of regen-
erative braking system in automobiles due to which major environmental problem of
emission of particulate matter in nature can be resolved to much greater extent and
will make it more attractive and preferable.
References
1. www.sae.org
2. Rototest energy electrical chassis system. www.Rototest.com
3. General Motors Website. www.gm.com
Regression Approach to Power
Transformer Health Assessment Using
Health Index
Jagdish Prasad Sharma
Abstract A regression approach is utilized for health assessment based on

transformer oil diagnostic test data. A support vector, linear regression and fine tree
decision based regression model has been simulated for health prediction. The oil
diagnostic test data have sufficient diversity in terms of power rating, voltage level,
and installed location. These data sets are like water content, total acidity, oil break-
down voltage (BDV), dissipation factor, 2-Furfuraldehyde content, and combustible
dissolved gas analysis (DGA). These dataset of thirty transformers provided by Asset
Management and health assessment (AMHA) consulting company and employed to
train the proposed regression models in MATLAB environment. The reported results
using fuzzy logic, binary logistic regression are compared with the results of proposed
regression models. The root mean squared error (RMSE) for linear regression model
has attained minimum value and found an effective approach for computing health
index of a power transformer. In addition to above proposed models also validated
another twenty different transformer oil dataset, which are entirely different from
training set of thirty transformers.
Keywords Health index · Support vector machine · Linear regression · Decision

tree · Oil diagnosis-tests
1 Introduction
Distribution system performance is badly hampered by its complexity, poor operation

and maintenance. As, power transformer cost comprise of at least 60–70% of total
cost of high-voltage substation. Therefore an optimal balance between various invest-
ment/cost need to be taken care by power utilities. The power transformer failure rates
are resulted in revenue loss, and customer dissatisfaction. This is a serious concern
for power utilities and required to assess periodical health of power transformer in
decision making for scheduled or forced outage of supply. In this context, health
J. P. Sharma (B)
Electrical Engineering Department, JK Lakshmipat University, Jaipur, India
e-mail: jpsharma.cseb@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_54
604 J. P. Sharma
Index (HI) is a comprehensive indicator to assess overall condition of transformers.

Health Index (HI) is computed using transformer oil diagnosis tests. Various online
and offline tests for health index (HI) of transformer are in practice as per standards
such as IEC, IEEE and CIGRE. Generally, water content, total acidity, oil break-
down voltage (BDV), dissipation factor, 2-Furfuraldehyde content, and dissolved
gas analysis (DCG) are considered as input variables to determine the health index
of power transformer. The weighting factor for above parameters is decided by utility
expert, which differs from online and offline tests. The selection of these weighting
factors is a sole discretion of experts and required to develop an intelligent model for
computing the health index, which is independent of the above weighting factors.
A sensibility test is offered to analyze influencing parameters for health index in
real time environment [1]. A practical way of computing transformer health index
needed to have quantitative information pertains to field inspection, laboratory tests,
and live operational observations [2]. There are different twenty one testing methods
for predicting overall condition and an effective maintenance plan for a power trans-
former [3]. A fuzzy based health index is developed with the help of real field data of
90 working transformers. The obtained results compared with results of experienced
and health assessment consulting company for same set of transformers [4]. A binary
logistic regression method is utilized to predict health index (HI) of power transformer
using a sample data of 30 transformers [5]. A multi-criterion based fuzzy system is
designed to assess health condition of working transformers. The effectiveness of
this fuzzy system validated on 200 working transformers of state utility [6]. A feed
forward neural network is employed to predict the health index of transformers. This
neural network is trained with 59 real time data of working transformer and tested on
29 working transformers [7]. The degree of polymerization of insulation reflect the
incipient faults diagnosis and used to measure deterioration rates and health index of
power transformers for an intelligent diagnosis system [8].The parameters obtained
from dissolved gas analysis is utilized to detect different types of faults and to predict
reasonable recommendations for future maintenance action [9]. R. D. Medina et al.,
presented a fuzzy logic based approach to assess the health index of transformers
having operational voltage range from zero to 230 kV. The oil test parameters are
represented with six different membership functions with the help of expert judgment
[10]. H. Zeinoddini-Meymand and B. Vahidi presented two artificial intelligence and
adaptive neuro-fuzzy inference models to predict the health condition of working
transformers. The input variables for this model obtained from 226 experimental field
datasets of transformers. The 80% datasets utilized for training and remaining 20%
used for testing purpose [11]. In this paper, six inputs namely “water content, total
acidity, oil breakdown voltage (BDV), dissipation factor, 2-Furfuraldehyde content,
and dissolved gas analysis (DGA)” were utilized for proposed regression models. The
models are trained on 30 experimental field datasets of transformers given by “Asset
Management and health assessment (AMHA) consulting company” [5]. The main
contributions of the paper is to propose regression models such as support vector,
linear regression and fine tree decision to assess of transformer health. The reported
results using fuzzy logic, binary logistic regression are compared with the results of
proposed regression models. In addition to above proposed models also validated
Regression Approach to Power Transformer Health Assessment … 605
another twenty different transformer oil dataset, which are entirely different from
training set of thirty transformers [12].
2 Proposed Regression Model Health Index
2.1 Transformer Health Index
Any internal fault in power transformer will be mainly resulted into overheating,
arcing, partial discharge and insulation deterioration. The transformer oil tempera-
ture raised the concentrations of different combustible dissolved gases in oil, which
is measured by dissolved gas analysis (DGA). These gases are separated from trans-
former oil using vacuum extractor. These gases are mainly as “Carbon monoxide
(CO), Carbon dioxide (CO), Hydrogen (H2 ), Methane (CH4 ), Ethylene (C2 H4 ),
Ethane (C2 H6 ), Acetylene (C2 H2 )” etc. The ratio of CO2 and CO is used to predict the
health of transformer [4, 5, 12]. Dissolved gas analysis (DGA) does not give sufficient
and accurate overall assessment of transformer. As transformer winding is winding
submerged in transformer oil and insulated by paper or cotton insulating material.
The oil and insulating material formed solid hydrocarbons and obstructs cooling
mechanism, electrochemical deterioration in transformer oil. The water content in
transformer oil, acidic level of oil, and oil breakdown voltage (BDV) are severely
affects transformer oil health, whereas dissipation factor (DF), and 2-Furfuraldehyde
contents have impact on health of solid insulation of transformer. Deterioration in
oil breakdown voltage (BDV) indicates the level of moisture, and sludge. Dissipa-
tion factor (DF) measures the winding insulation quality. The moisture level in oil
adversely affects electrical characteristics of oil and solid insulation. This should
within prescribed ppm (parts per million by weight). Suspended organic and inor-
ganic compounds in oil change the PH level of oil, which deteriorate solid insulation
of winding and neutralize by potassium hydroxide. As transformer oil decomposed
in various gases as mentioned must be remain in specified limits. The level of these
dissolved gases predicts internal condition of transformer. Depolymerization of solid
dielectric can be detected in furfurals compounds in oil. The rise in these compounds
is used predict life cycle of solid dielectric in power transformer [12]. Therefore for
overall health assessment of transformer, “water content in transformer oil, acidity
of oil, oil breakdown voltage (BDV), dissipation factor (DF), and 2-Furfuraldehyde
contents” is to be considering for health assessment of transformer [1].
2.2 Regression Techniques
The strong point of this work is to use diverse dataset of power transformers with
different voltage levels, power ratings and location. Proposed regression models
606 J. P. Sharma
are data centric tools and weight parameters are adjusted by input/output data. In
multiple linear regressions, multiple independent variables predict single dependent
variable as output. The dependent variable Y must be a continuous type variable
while independent variables can take any form of distributions.
Y = β0 + β1 ∗ X 1 + β2 ∗ X 2 + · · · + βn ∗ X n (1)
where β i denotes regression coefficient for X i and Y, X i are dependent and indepen-
dent variables. In support vector regression, the input X is primarily mapped onto
an m-dimensional feature space with some fixed mapping techniques, and further a
linear model is built d in specified feature space. Accordingly, in this feature space,
a linear model is f (x, ω) represented by

m
f (x, ω) = ω j g j (x) + b (2)
j=1
where g j (x) represents nonlinear transformation sets and b as “bias” term. In case of
pre-processing of input data, this bias term assumed to be zero. A multivariate linear
regression model is used to predict health index (HI) by using least squares method.
The training data sets are computed in same statistically manner as adopted in testing
data sets. To validate the health index (HI), a cross validation with 10 fold is chosen
for coefficients adjustment and error minimization. The accuracy of models depicted
by root mean square error (RMSE) and mean square error (MSE) on sample testing
and training data. To improve prediction, principal component analysis (PCA) is
disabled in designed model. The performance of this model is evaluated in term of
response plot, predicated versus actual plot and residuals plot as shown in Figs. 1, 2,
3, 4, 5, 6, 7, 8 and 9.
Fig. 1 Predicted outputs and true outputs by linear support vector model
Fig. 2 Predicted outputs and true outputs by linear support vector model
Fig. 3 Residuals by linear support vector model
Fig. 4 Predicted outputs and true outputs by linear regression model

608 J. P. Sharma
Fig. 5 Relation between predicted outputs and true outputs by linear regression model
Fig. 6 Residuals by linear regression model
Fig. 7 Predicted outputs and true outputs by fine tree model

Fig. 8 Relation between predicted responses and true response by fine tree model
Fig. 9 Residuals by fine tree model
Presence of dissolved gases, sludge, and acidic environment of oil has serious impact
on performance and life of transformer. The regression models are proposed using
support vector, linear regression and fine tree decision approach. In this paper two
sample having 30 and 20 data set are used for training and validation purpose respec-
tively. The details about these data sets are mentioned in Tables 5 and 6. It is observed
from Table 6 that dissipation factor for 19 transformers is 67; while for rest of trans-
former same is less than 01. Therefore data set for 19 transformers is not considered
for train the regression models. The proposed regression models are trained with
remaining 29 data set of transformers [5]. The health index of proposed regression
models are compared with the results obtained using AMHA, fuzzy logic, binary
logistic regression methods [4, 5]. In the AMHA method, the health index categories
are good, moderate, and bad. But as per EA Technology, health index are classified
610 J. P. Sharma
Table 1 Comparison of health conditions categories for test sample-1

HI category AHMA [5] HI [4] HI [5] Proposed Proposed Proposed
SVM linear fine tree
regression
Good (0 < HI ≥ 2 4 20 1 1 4
0.2)
Moderate (0.2 < HI 20 15 1 19 20 18
≥ 0.45)
Bad (0.45 < HI ≥ 2 5 2 5 3 0
0.8)
Very bad (0.8 < HI 5 5 6 4 5 7
≥ 1)
in four different categories, which are good, moderate, and bad, and very bad. In this
paper EA technology based health indices considered.
The category wise comparison of health index is very much closer to experimental
values provided by AMHA. The results provided by linear regression found most
suitable model for health index prediction as shown in Table 1. From Table 2, it is
observed that health index for 26 transformers is 0.007 and proposed models predict
its value as 0.2336, 0.2244 and 0.16 respectively (Table 3).
As regression models tested on other sample 2 and health index by SVM and linear
regression found abnormal assessment for 19 transformers as shown in Table 5. From
Table 6, it is clear that computed health index is very much closer to experimental
values provided by AMHA (Table 4).
4 Conclusion
Health Index (HI) is a powerful tool to monitor transformer condition and risk of
failure. This paper proposed three regression models based on support vector, linear
regression and fine tree decision to determine a HI for transformers. The input tech-
nical parameters of the models are includes water content, total acidity, oil break-
down voltage (BDV), dissipation factor, 2-Furfuraldehyde content, and dissolved
gas analysis (DGA). The effectiveness of proposed models are demonstrated by
comparing results reported by fuzzy logic, binary logistic regression for sample data
set 1. Apart from above proposed models also validated for another twenty different
transformer oil dataset, which are different from training set. Next, further study to
propose models will be trained and tested with more field data. It is envisioned that
the proposed models are very promising and helps for utilities to take investment
decisions into an asset’s replacement or maintenance intervention.
Table 2 Comparison health index for test sample-1

S. No. AHMA [5] HI [4] HI [5] Proposed Proposed Proposed fine
SVM linear tree
regression
1 0.377 M 0.36 M 0.434 M 0.4205 M 0.413 M 0.3476 M
2 0.334 M 0.3 M 0.17 G 0.3514 M 0.3386 M 0.3476 M
3 0.29 M 0.3 M 0.007 G 0.2724 M 0.2543 M 0.2864 M
4 0.7 B 0.78 B 0.826 VB 0.7174 B 0.779 B 0.8903 VB
5 0.102 G 0.2 G 0.002 G 0.1904 G 0.1897 G 0.16 G
6 0.274 M 0.3 M 0.004 G 0.2577 M 0.2625 M 0.2864 M
7 0.316 M 0.3 M 0.023 G 0.3323 M 0.3531 M 0.2864 M
8 0.29 M 0.3 M 0.006 G 0.287 M 0.2881 M 0.2864 M
9 0.226 M 0.22 M 0.003 G 0.2445 M 0.2316 M 0.2864 M
10 0.316 M 0.3 M 0.12 G 0.3595 M 0.3448 M 0.3476 M
11 1 VB 0.94 VB 0.973 VB 0.9803 VB 1.0288 VB 0.8903 VB
12 0.931 VB 0.93 VB 0.841 VB 0.8347 VB 0.8801 VB 0.8903 VB
13 1 VB 0.94 VB 0.973 VB 0.9897 VB 1.0488 VB 0.8903 VB
14 0.916 VB 0.83 VB 0.589 B 0.753 B 0.822 VB 0.8903 VB
15 0.732 B 0.78 B 0.885 VB 0.6937 B 0.7372 B 0.8903 VB
16 0.354 M 0.3 M 0.03 G 0.3437 M 0.3214 M 0.3476 M
17 0.45 M 0.53 B 0.594 B 0.4669 B 0.4711 B 0.4302 M
18 0.291 M 0.3 M 0.037 G 0.3621 M 0.331 M 0.3476 M
19 0.347 M 0.3 M 0.005 G 0.2452 M 0.2405 M 0.3476 M
20 0.414 M 0.15 G 0.077 G 0.3681 M 0.3199 M 0.3476 M
21 0.241 M 0.11 G 0.002 G 0.2266 M 0.2086 M 0.16 G
22 0.953 VB 0.94 VB 0.895 VB 0.8599 VB 0.9226 VB 0.8903 VB
23 0.368 M 0.3 M 0.018 G 0.2467 M 0.2512 M 0.2864 M
24 0.45 M 0.51 B 0.181 G 0.4669 B 0.4415 M 0.4302 M
25 0.072 G 0.11 G 0.004 G 0.2336 M 0.2244 M 0.16 G
26 0.371 M 0.42 M 0.045 G 0.318 M 0.3259 M 0.4302 M
27 0.225 M 0.3 M 0.006 G 0.2832 M 0.2691 M 0.16 G
28 0.241 M 0.3 M 0.015 G 0.3236 M 0.2909 M 0.2864 M
29 0.45 M 0.48 B 0.2 G 0.4398 M 0.4412 M 0.4302 M
612 J. P. Sharma
Table 3 Comparison of health conditions categories for test sample-2 transformer

HI category HI [12] Proposed SVM Proposed linear Proposed fine tree
regression
Good (0 < HI ≥ 0.2) 2 1 1 1
Moderate (0.2 < HI ≥ 11 12 12 12
0.45)
Bad (0.45 < HI ≥ 0.8) 4 2 2 0
Very bad (0.8 < HI ≥ 1) 3 4 4 7
Table 4 Comparison health index for test sample-2

S. No. HI [12] Proposed SVM Proposed linear Proposed fine tree
regression
1 0.35 M 0.432 M 0.4237 M 0.3476 M
2 0.413 M 0.2861 M 0.2964 M 0.3476 M
3 0.236 M 0.2929 M 0.2679 M 0.2864 M
4 0.788 B 0.7339 B 0.7823 B 0.8903 VB
5 0.099 G 0.2045 G 0.1961 G 0.16 G
6 0.248 M 0.2478 M 0.2537 M 0.2864 M
7 0.236 M 0.3274 M 0.3474 M 0.2864 M
8 0.248 M 0.2858 M 0.2808 M 0.2864 M
9 0.236 M 0.2368 M 0.2302 M 0.3476 M
10 0.35 M 0.3463 M 0.3353 M 0.3476 M
11 0.776 B 0.998 VB 1.0155 VB 0.8903 VB
12 0.601 B 0.8584 VB 0.8801 VB 0.8903 VB
13 0.622 B 1.0079 VB 1.0362 VB 0.8903 VB
14 0.851 VB 0.8911 VB 0.9577 VB 0.8903 VB
15 0.851 VB 0.7044 B 0.7352 B 0.8903 VB
16 0.256 M 0.3535 M 0.3358 M 0.3476 M
17 0.245 M 0.4458 M 0.4507 M 0.4302 M
18 0.267 M 0.3592 M 0.3349 M 0.3476 M
19 0.843 VB −2.27 −3.236 0.8903 VB
20 0.11 G 0.2525 M 0.2464 M 0.3476 M
Table 5 Data set to validate models on of test sample 2

WC (ppm) Acidity (mg BDV (kV) DF (%) DCG (ppm) 2-FAL HI [12]
KoH/g) (mg/L)
21.3 0.026 29 0.077 489 0.85 0.35 M
26.1 0.092 56 0.892 292 0.61 0.413 M
13.6 0.038 53 0.147 77 0.22 0.236 M
21.8 0.227 47.7 0.431 215 5.54 0.788 B
8 0.016 73 0.118 127 0.01 0.099 G
15.4 0.071 73 0.145 38 0.52 0.248 M
16.1 0.165 70.5 0.261 147 0.74 0.236 M
13 0.083 67.2 0.219 28 0.65 0.248 M
19 0.038 64.5 0.182 8 0.31 0.236 M
27 0.091 39.5 0.357 194 0.21 0.35 M
15.2 0.172 22.7 0.217 38 8.56 0.776 B
14 0.136 36.5 0.192 51 7.45 0.601 B
15.3 0.128 26.6 0.189 76 9.34 0.622 B
17 0.41 55.2 0.267 51 6.62 0.851 VB
25.8 0.069 31.4 0.131 321 5.35 0.851 VB
23.5 0.109 43.8 0.216 33 0.344 0.256 M
27.9 0.021 27.9 0.061 501 1.24 0.245 M
26.3 0.063 37.2 0.213 25 0.57 0.267 M
31 0.069 29.7 66 32 15.543 0.843 VB
19.4 0.064 61.5 0.245 61 0.134 0.11 G
Table 6 Training data set of sample 1 provided by AMHA
614
S. No. Installation year Voltage ratio WC (ppm) Acidity (mg BDV (kV) DF (%) DCG (ppm) 2-FAL HI AHMA [5]
(kV), and power KoH/g) (mg/L)
rating (kVA)
1 1980 22/6.9, 5000 21.7 0.024 32.5 0.075 483 0.86 0.377 M
2 1980 22/6.9, 3.15 26.9 0.098 40.5 0.894 254 0.65 0.334 M
3 1980 22/6.6, 8 14.5 0.033 58 0.14 78 0.26 0.29 M
4 1980 22/6.9, 8 21.2 0.226 48.7 0.424 215 5.53 0.7 B
5 2000 22/6.6, 5000 10 0.01 75 0.111 126 0.06 0.102 G
6 1981 22/6.6, 4 15.5 0.075 71 0.143 38 0.53 0.274 M
7 1981 22.6.6, 10 16.8 0.167 70.1 0.255 149 0.78 0.316 M
8 1980 22/7.2, 15 15 0.092 67.8 0.211 28 0.69 0.29 M
9 1981 22/6.9, 8000 17 0.035 62.7 0.113 9 0.21 0.226 M
10 1970 22/3.3, 3.15 30 0.088 37.6 0.353 197 0.31 0.316 M
11 1980 22/6.9, 8000 16.2 0.181 25.5 0.201 35 8.76 1 VB
12 1980 23.5/11, 25,600 15 0.155 37.5 0.182 53 7.29 0.931 VB
13 1980 11/23.5, 25,600 16.8 0.115 25.6 0.174 78 9.6 1 VB
14 1980 11/23.5, 25,601 15 0.21 57.2 0.22 53 6.69 0.916 VB
15 1980 22/6.6, 8 27.6 0.089 30.4 0.128 336 5.12 0.732 B
16 1980 21.45/6.976 5000 23.5 0.106 45.8 0.207 30 0.24 0.354 M
17 1980 21.45/6.9, 8000 24.8 0.012 29.9 0.068 504 1.68 0.45 M
18 1980 21.45/7.2, 15,000 23.6 0.07 39.2 0.203 22 0.5 0.291 M
19 1980 21.45/6.9, 8000 30.5 0.073 28.7 67 30 15.7 1 VB
20 1980 21.45/6.9, 8000 18.4 0.063 64.5 0.243 69 0.15 0.347 M
21 1980 22/0.4, 1600 21.1 0.019 28.4 0.025 144 0.02 0.414 M
J. P. Sharma
(continued)
Table 6 (continued)
S. No. Installation year Voltage ratio WC (ppm) Acidity (mg BDV (kV) DF (%) DCG (ppm) 2-FAL HI AHMA [5]
(kV), and power KoH/g) (mg/L)
rating (kVA)
22 1981 22/0.4, 630 8.1 0.01 66.9 0.042 71 0.05 0.241 M
23 1980 23.5/11, 25,600 19.6 0.216 41.1 0.264 48 7.54 0.953 VB
24 2000 22/6.98, 5000 6 0.01 67.6 0.126 427 0.08 0.368 M
25 1981 22/6.6, 10 18.4 0.152 37.2 0.299 81 1.14 0.45 M
26 1997 6.6/0.4, 1600 11.1 0.032 67.2 0.089 119 0.04 0.072 G
27 1980 22/6.6, 3.15 21.5 0.147 60.8 0.938 168 0.92 0.371 M
28 1986 22/6.6, 4 7.5 0.16 70.1 0.448 10 0.06 0.225 M
29 1981 0.38/19.2, 100 35.7 0.229 41.4 0.639 24 1.07 0.45 M
30 1981 0.38/19.2, 100 35.7 0.229 41.4 0.639 24 1.07 0.45 M
Regression Approach to Power Transformer Health Assessment …
615
616 J. P. Sharma
Acknowledgements I acknowledge Somya Rani and Swaroop Paliwal for their technical support
received in relation to the work presented in the paper.
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Functional Link Neural Network-Based
Prediction of Compressive and Flexural
Strengths of Jarosite Mixed Cement
Concrete Pavements
Abstract In the present paper, we have applied a Legendre Functional Link Neural
Network (LeFLNN) to predict the compressive and flexural strength of jarosite added
concrete for pavements. The cement is replaced partially by the jarosite in different
percentages like 0, 10, 15, 20, and 25%. The specimens prepared using various
proportions of jarosite were subjected to curing for 3, 7, 28, 90, 180, and 365 days.
The proposed model parameters are trained using the back-propagation (BP) method.
Total of 90 experimental observations (input–output data) is obtained from which
70 observations are used for the training and the rest 20 observations are used for
validating the trained LeFLNN model. The results obtained in the simulation study
show the efficacy of the proposed method.
Keywords Jarosite · Compressive strength · Flexural strength · Legendre

Functional Link Neural Network · Back-propagation method · Waste material
1 Introduction
In the recent era, there has been an exponential increase in industrialization and
infrastructure sector. Both these sectors depend highly upon natural resources for their
raw materials and also generate huge amount of waste and by-products. But keeping
in mind the environmental sustainability and growth, it is important to preserve
the natural resources and to transform them into eco-friendly sectors [1, 2]. All
the industries produce large amount of waste as the end product of the process.
Therefore, reuse and recycling of the industrial waste are of utmost importance and
many researches are being done in this direction to achieve a healthy environment
[3, 4].
T. Gupta (B) · S. N. Sachdeva

Department of Civil Engineering, National Institute of Technology, Kurukshetra, India
e-mail: tanvigupta0314@gmail.com
S. N. Sachdeva
e-mail: snsachdeva@yahoo.co.in

https://doi.org/10.1007/978-981-15-5463-6_55
Jarosite is the by-product of zinc industry. When the zinc is extracted from its
sulfite ore by the process of roast leaching electrolysis, wastes like jarosite, beta
cake, drum cake, zinc tailings, etc. are generated [5]. Some part of the waste is used
for metal recovery and the rest part like jarosite and zinc tailings is dumped into
landfills. Both the Basel Convention and European Union have placed jarosite under
hazardous and toxic waste. Therefore, dumping of jarosite into the landfills will affect
the air quality of adjoining areas, pollute the underlying water table, and can also
affect the nearby aquatic life.
Use of industrial wastes as a replacement of construction materials will solve
two main problems. Firstly, utilization of industrial waste will be easily disposed of
in the form of a construction material and it will prevent pollution of land and air.
Secondly, replacement of cement, natural aggregates, sand, etc. by industrial waste
will aid in the conservation of natural resources. Bricks and concrete are considered
as the basic needs of construction industry. Further, these days demand of rigid
pavements over flexible pavements is also increasing. Therefore, in such scenario
utilization of jarosite as a replacement of cement in the production of concrete will
help in easy disposal of toxic waste and reduction in emission of carbon dioxide gas
due to cement production [6, 7].
It is well known that prediction of strength of concrete is an important aspect of
modernized construction and for other engineering related judgments. This is because
it helps in estimating the time for form removal, quality control project scheduling,
etc. Prediction of concrete strength also helps the structural engineers and designers
at the time of planning and execution of projects [8]. Earlier, equations given by
design standards and codes were used for calculation of strength. Further, regression
analysis was also considered as an important tool for predicting the strength. But
these methods are not considered effective when the input parameters are more than
3. Artificial Neural Networks (ANN) can easily work with multiple input and output
parameters. ANN has been conveniently used to deal with the problems consisting
of imprecise and incomplete data [9]. It can also re-train the new data continuously
so that it can easily adapt to the new information easily. In this paper, we have
applied LeFLNN model to approximate the underlying hidden relationship between
the input–output data obtained experimentally.
2.1 Materials Used and Mix Design
The main aim of the study is to formulate a neural network model to predict the
compressive and flexural strength of jarosite added concrete for pavements. In order
to carry out the study, cement was replaced partially replaced by jarosite for different
percentages like 0, 10, 15, 20, and 25%. The specimens prepared using various
proportions of jarosite were subjected to curing for 3, 7, 28, 90, 180, and 365 days.
Functional Link Neural Network-Based Prediction … 619
The mix design for M 40 concrete mix was done with the help of IRC: 44-2008
[10] and IS: 10262-2009 [11] as shown in Table 1. Water-cement ratio of 0.38 was
adopted for the mix design and the water content of 158 kg/m3 was kept constant for
all the mix.
Jarosite was procured from the Hindustan Zinc Limited, Debari, Udaipur. Ordi-
nary Portland Cement (OPC) 43 grade complying with IS: 8112 (1989) [12] and
having specific gravity of 3.15, fineness of 5 mm and 28.5% consistency was used to
carry out the present study. Stone dust with specific gravity 2.63 and 16 mm nominal
sized coarse aggregates with specific gravity 2.74 were used. Further, in order to
investigate the compressive strength, 150 ×150 ×150 mm cubes were cast and simi-
larly beams of dimension 100 ×100 ×500 mm were cast to carry out the flexural
strength test when cement was replaced by 0, 10, 15, 20, and 25% of jarosite.
3 Legendre Functional Link Neural

Network-Fundamentals
The LeFLNN structure for the order n = 2 is shown in Fig. 1. To have simplicity
in the structure we have only considered single output from the LeFLNN (but in
present case there are two) output layer. The structure consists of the input signal
vector which consists of 8 signals at any instant. These signals are then transmitted to
the nonlinear function expansion block. The function of this block is to enhance non-
linearly each of the incoming signals using some nonlinear basis function, that is,
ϕi (xi (k)) = [ϕo (xi (k)), ϕ1 (xi (k)), ϕ2 (xi (k)), . . . , ϕn (xi (k))] where n represents the
degree of expansion. The different choice of activation function gives us the different
types of FLNN. These enhanced signals are then multiplied by their corresponding
adjustable weights and their weighted sum then becomes the input (induced field)
for the output layer neurons. Let S j (k) denotes this sum of the weighted signals of
any enhanced jth input signal x j (k) plus the weighted bias signal. That is,

n
S j (k) = w ji (k)ϕi (x j (k)) − wb (k) (1)
i=0
where the term w ji (k) denotes any of the adjustable weight belonging to the weight
vector W (k) = {w11 (k), w12 (k), . . . , wi j (k)}, which connects any ϕi (x j (k)) to the
output layer neuron. Further, wb (k) represents an adjustable weight connecting the
bias signal to the output layer neuron. The induced field of the output layer neuron
is

P
V (k) = S j (k) (2)
j=1
620
Table 1 Mix proportion of fresh concrete

S. No. Mix grade Cement Jarosite as % Jarosite F.Y. (kg/m3 ) C.A. (kg/m3 ) Water S.P. % by S.P (kg/m3 ) Water/cement
(kg/m3 ) of CeMa (kg/m3 ) weight of ratio
CeMa
1 M40 416 – – 676 1247.31 158 1 4.16 0.38
2 J10 411.89 10 45.77 633.12 1230.3 158 1 4.577 0.345
3 J15 389.01 15 68.65 631.518 1227.197 158 1 4.577 0.345
4 J20 366.13 20 91.53 629.923 1224.1 158 1 4.577 0.345
5 J25 343.24 25 114.41 628.33 1220.14 158 1 4.577 0.345
T. Gupta and S. N. Sachdeva
Fig. 1 Structure of the LeFLNN model
and its output is evaluated as
y F L N N (k) = f (V (k)) (3)
where f is a tangent hyperbolic function. Similarly for the second output of LeFLNN
there will be an output weight vector.
3.1 Problem Formulation
In this paper, our objective is to use LeFLNN model for approximating and predicting
the compressive (denoted by yd1 (k)) and flexural strength (denoted by yd2 (k)) of
jarosite mixed cement concrete pavements. Let F and G denotes the underlying
hidden unknown relationship between the 8 inputs and the two outputs, that is,
yd1 (k) = F[x1 (k), x2 (k), . . . , x8 (k)] (4)
and
yd2 (k) = G[x1 (k), x2 (k), . . . , x8 (k)] (5)
These 8 inputs are also used an input signals for the LeFLNN model, that is,
Fig. 2 LeFLNN model-based prediction configuration
L N N (k) = F̂[x 1 (k), x 2 (k), . . . , x 8 (k)]

1
y LeF (6)
and
L N N (k) = Ĝ[x 1 (k), x 2 (k), . . . , x 8 (k)]

2
y LeF (7)
As the training progresses of the LeFLNN model, we will aim to achieve the
following

lim yd1 (k) − y LeF
1
L N N (k) → 0 (8)
k→∞
and

lim yd2 (k) − y L1 E F L N N (k) → 0 (9)
k→∞
LeFLNN-based prediction configuration is shown in Fig. 2.
4 Learning Algorithm for LeFLNN Model
In case of LeFLNN only weights are adjustable. Their recursive update equations
are obtained by applying the gradient descent-based back-propagation method. In
this method, we choose an objective function whose value is to be minimized as

the training progresses. This is done by finding the partial derivative of this function
with respect to each weight. The objective function considered here is the Total Mean
Square Error (TMSE) function which is defined as follows:

2
E T (k) = E i (k) = E 1 (k) + E 2 (k) (10)
i=1
2 2
where E 1 (k) = 21 yd1 (k) − y LeF
1
LNN and E 2 (k) = 21 yd2 (k) − y LeF
2
L N N . Now on
differentiating the objective function with respect to weight we will get
∂ E T (k) ∂ E T (k)(k) ∂ y1 (k)

= 1 × LeF Lo1N N (11)
∂ W (k)
o1 ∂ y LeF L N N (k) ∂ W (k)
So, the update equation of any jth weight is given by

w j (k + 1) = w j (k) − ηe(k) 1 − y LeF
1
L N N (k) ϕ j (k) (12)
In the above equation, η represents the learning rate with its value lying between
[0, 1]. Similarly, update equation for any weight belonging to the second weight set
can be obtained.
5 Simulation Experiments
We have obtained total of 90 input–output data samples experimentally. For training

purpose, we have used 70 of these samples and remaining 20 for validation purpose.
The data is normalized before initiating the training. Two performance indicators viz
1 70
Mean Average Error (MAE) = 70 i=1 |Ti − Pi | and Mean Square Error (MSE) =
1 70
i=1 (Ti − Pi ) where T and P represent the target (desired) and predicted value
2
70
(by LeFLNN model) is used to judge the performance of the LeFLNN model. Total
of 8 input parameters are there on which the two outputs depends. The ranges of
these inputs parameters are shown in Table 2.
The η is set equal to 0.01 value and training is continued for 10,000 epochs. The
output responses obtained from the LeFLNN model at the end of the last epoch are
shown in Figs. 3 and 4 and the corresponding MSE and MAE plots are shown in
Figs. 5, 6, 7, and 8. From the plots, it can be seen that the proposed LeFLNN method
is able to approximate the underlying relationship between the inputs and the outputs.
To validate the learning of the LeFLNN model we now apply those input–output data
which were not used during the training stage. The corresponding outputs obtained
from LeFLNN model are shown in Figs. 9 and 10. It can be seen that the outputs of
LeFLNN are more or less closer to the target outputs. This shows the efficacy of the
proposed method.
Table 2 Range of input

Input parameters Minimum value Maximum value
parameters in the
experimental data W/C ratio 0.3450 0.3800
Water (kg/m3 ) 158.1 158.1
Cement (kg/m3 ) 343.2400 416.0500
Jarosite (kg/m3 ) 0 114.41
Coarse aggregates (kg/m3 ) 1220.14 1247.31
Fine aggregates (kg/m3 ) 628.33 676
Superplasticizer (kg/m3 ) 4.16 4.5770
Curing time (days) 3 365
0.9
0.8
0.7
0.6
Response
0.5
0.4
0.3
0.2
0.1
1
y (k)
0 d
y1 (k)
LeFLNN
−0.1
10 20 30 40 50 60 70
Samples
1
Fig. 3 Response obtained from the y LeF 1
L N N (k) and yd (k) at the end of last epoch of the training
stage
0.9
0.8
0.7
0.6
Response
0.5
0.4
0.3
0.2
0.1
2
yd(k)
0
y2 (k)
LeFLNN
−0.1
10 20 30 40 50 60 70
Samples
2
L N N (k) and yd (k) at the end of last epoch of the training
stage
−3
x 10
10
MSE
9
Mean Square Error (MSE)
2
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000
Epochs
1
Fig. 5 MSE plot obtained from the y LeF L N N (k) during the training stage
−3
x 10
7.5
MSE
7
Mean Square Error (MSE)
6.5
5.5
4.5
3.5
3
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000
Epochs
2
Fig. 6 MSE plot obtained from the y LeF L N N (k) during the training stage
6 Conclusion
In this paper, we have used the LeFLNN model to predict the compressive and
flexural strengths of jarosite added concrete for pavements. The specimens were
prepared using various proportions of jarosite were subjected to curing for 3, 7, 28,
90, 180, and 365 days (accounting for total of 90 observations). Performance of the
proposed method is evaluated both in the training and validation stage. In the training
stage, we have used 70 input–output data samples whereas the remaining 20 samples
are used in the validation stage. The responses obtained from the LeFLNN model
0.08
MAE
0.075
Mean Average Error (MAE)
0.07
0.065
0.06
0.055
0.05
0.045
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000
Epochs
1
Fig. 7 MAE plot obtained from the y LeF L N N (k) during the training stage
0.09
MAE
0.085
Mean Average Error (MAE)
0.08
0.075
0.07
0.065
0.06
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000
Epochs
2
Fig. 8 MAE plot obtained from the y LeF L N N (k) during the training stage
are very close to the target response. This is also verified from the obtained MSE and
MAE plots during the training. This shows the efficacy of the proposed method.
1.05
1
y (k)
d
1 y
1
(k)
LeFLNN
0.95
0.9
Response
0.85
0.8
0.75
0.7
0.65
72 74 76 78 80 82 84 86 88 90
Samples
1
L N N (k) and yd (k) during the validation stage
1
2
yd(k)
0.95 y2 (k)
LeFLNN
0.9
0.85
Response
0.8
0.75
0.7
0.65
0.6
0.55
72 74 76 78 80 82 84 86 88 90
Samples
2
L N N (k) and yd (k) during the validation stage
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A Newer Universal Model for Attaining
Thin Film of Varied Composition During
Sputtering
Gaurav Gupta and R. K. Tyagi
Abstract Thin films especially solid films show versatile properties thereby sput-
tering and other thin film deposition techniques are getting increased attention so
as to improve performance of industrial parts and components especially working
under severe load, speed, environments such as very high temperature and moisture.
Emphasis has been on increased life and maintenance-free life cycle. To enhance
system component’ performances and to achieve desired characteristics various
compositions of thin films are required. A major challenge for the development
of such films is to manipulate and control microstructure and their orientation. Such
films having compositional changes by minute detailing in a few % by weight needs a
different positional combination of substrate and targets along with bias. To achieve
this minute but desired variation while laying a layer, different combinations of targets
and substrate were worked upon and presented here. An arrangement is worked out to
obtain different combinations, constituent by the automated movement of the target
area using the controller and servomotors combinations. Also, multiple samples can
be obtained by having rotating and revolving multiple work holders, which also serves
the purpose of uniform coating around the surfaces of the sample of all shapes.
Keywords Sputtering · Thin film · Coating · Plasma · Material properties ·

Multiple targets · Nanostructured coatings · Automated deposition chambers
Note to Practitioners: this paper tries to resolve the process of developing thin film over single or
multiple substrates in a single go. It also enables the synthesis of different compositions as required,
by the controlled movement of target and holder, which moves in tandem also capable of depositing
uniform coating all over the substrate.
G. Gupta (B) · R. K. Tyagi

Amity University Uttar Pradesh, Noida, India
e-mail: 15.gaurav@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_56
630 G. Gupta and R. K. Tyagi
1 Introduction
Sputtering and other thin film coating techniques have gained attraction in recent time
in industrial processing’s an as a highly efficient way to acquire desired properties.
Thin film deposition has presented themselves as the most viable process and gained
popularity due to its rapid processing rates, lower cost of operation in connection
to enhanced performance and environment-friendly as compared to other chemical
processes.
Many studies of coatings specifically thin film nanostructured coatings produced
by different methods have been done by researchers to examine various properties
such as mechanical, wear, thermal and electrical properties. These coated components
are found suitable for various fields like industrial machinery, mechanical compo-
nents, electrical and electronic industry, infrastructure components, solar panels,
precision equipments, space industry, textile industry, health care, and many more.
Various coating compositions with different combinations are used to deposit on
materials. The various examples of coating application are such as mechanical
components (bearings, gears and moving parts experiencing friction forces, static
and dynamic loads, distortion, etc.) [1–4], industrial establishments (machine parts,
engines and engines components, fasteners and brackets that experiences wear,
fatigue, creep, etc.) [3, 5, 6], and health care and biomedical devices along with
medical equipments (prosthesis components, neurological electrodes, heart valves,
dental and knee implants might experiences corrosion, plastic deformation) [1, 7, 8].
Thin film coatings with varied compositions present a solution to various real-life
problems by improving mechanical strength and tribological properties. Also, these
films can introduce antibacterial property, biological compatibility, and stability by
enhancing chemical inertness.
Among various deposition techniques sputtering and allied plasma coating tech-
nology have gained attraction in recent time in industrial processes as being highly
efficient, fast process. A process proves to be economical in operation in conjunction
with environmentally friendly, unlike other chemical processes.
To improve performance of internal combustion engines in terms of lifetime,
efficiency, oil consumption, vibrations under varying load, and speed combination
thin film coatings using sputtering techniques appears to be a novel way to improve
mechanical properties of mating parts. These coated components of engine expe-
riencing higher frictional forces exhibit improved tribological properties [9]. Most
common materials used as coating materials include TiN, TiAlN, CrN, MoN, and
DLC [9].
Yonekura et al. compared steel bearing with different CrN + nC coatings and
compared results showing remarkable performance changes (nC refers to carbon
particles of the nanosize present in the CrN matrix) [10].
In switching devices specifically electrical contacts such as load switches, circuit
breakers, vacuum switching devices presence of hard contact materials can consider-
ably improve functional behavior of switches, might be by reducing contact sticking
to least in a vacuum. Fine homogenous optimum microstructure (free from defects)
A Newer Universal Model for Attaining Thin Film … 631
ensures enhanced material performance. For example, W-Cu-Ni contact materials

with different wt% can be configured such as 85-12-3 shows enhanced chopping
current [11] it can help in subsiding overvoltage during circuit openings, can also
reduce trapped magnetic energies which further have a very destructive effect on
circuit components by causing abrupt random abnormal overvoltage.
T. Sreesattabud et al. showed that PZT film having CuO concentration as 0.2
wt% exhibits the highest polarization along with homogenous microstructure. This
film presented the best dielectric and ferroelectric properties. PZT/xCuO film was
prepared with 0, 0.1, 0.2, 0.3, 0.4, 0.5, and 1 wt% [12].
In general, various combination and compositions are employed to low-alloy,
nonferrous and steel materials [13] to provide enhanced capacity viz. load bearing
capacity, hardness, galvanic corrosion properties, abrasion resistance, etc., such as the
use of titanium alloys in biomedical applications [14] dental implants and designing
of orthopedic biomaterial surfaces. Titanium and its alloys make suitable ortho-
pedic biomaterial showing both strength and biocompatibility hence most suited for
medical application. Sacrificial corrosion protective coatings are made.
Sputtering and other thin film coating techniques are used to enhance antibacterial
and fastness properties of fabric in textile industries [15]. Some of the major issues
of application of nanoparticles on the textile are handling, uniform application, and
distribution over the large surface area. Treatment of fabric especially by sputtering
and related plasma techniques is rapidly increasing. Ag and Cu on 15 s of sputtering
have shown remarkable improvement in antibacterial properties of dried cotton fabric
showing 100% reduction of Staphylococcus aureus bacteria [15].
Wide range of coating processes (PVD, Rf, and sputtering) can be used to produce
thin film coatings which might be having different compositions which present
multilayer but durable films and hence exhibit’s excellent mechanical, corrosive
and tribological properties [16–18].
2 Model Suggested
A major challenge for the development of sputter coated thin films is to manip-
ulate and control nanostructure their orientation, bias and hence the position of
target/substrate. Individual elements of compositions had significant influence on
mechanical properties—which in turn is result of amorphization and physical prop-
erties of different elements of coatings, having varied mechanical properties viz.
wear, fatigue, hardness, toughness, etc. Newer design helps in selection of optimal
surface topography hence suitable for many industrial applications even in sancti-
fied field of bioapplication where studies have shown topography (especially rough)
enhances osteoblast adhesion and bone formation [19, 20] which could be overcome
using present work
Researchers while developing films faces challenge of getting uniform coating
around a circular object and obtaining deliberate coating compositions. Both of these
requirements can be dealt independently or simultaneously, as proposed in this work.
Target
Ga
A D, C Sample
Sample Holder
RF power
Fig. 1 Deposition chamber
At one point of time, uniform coatings are required around different geometrical
entities viz., sphere, shaft, cylinder, pyramid, prisms, etc. and at another point of the
time, a range of compositions required rather than a constant uniform deposition.
An arrangement is worked out where overall sputter target dimensions are main-
tained with a combination of separate sputter target segments which can have different
sizes further depending on the combination of segment composition and overall
atomic percent required. Researchers adopt different layout for deposition of coat-
ings and to get the desired configuration as possible [21]. Figure 1 shows a schematic
view of the deposition chamber used for sputter or plasma coatings. This layout
represents multiple but non-movable sputter target and a sample holder again non-
movable. Here sputter produced coatings are obtained in presence of a noble gas such
as argon and nitrogen also called in general as plasma. In the shown setup different
chemical compositions can be obtained by position in front of the target and rate of
flow of gas during the coating process.
To enhance flexibility in obtaining deposition a further improvement in the
present setup is proposed where sputter target is replaced by a movable yet multiple
targets as shown in Fig. 2 and substrate holder is also made capable of holding
multiple samples also they are made to be able to rotate as well as revolve.
Here in the present work Fig. 2 shows a plan or schematic of the arrangement
of sputter target segments, where a number of targets could be placed (based on
compositional requirement) such as shown where 4 targets (X, Y, Z and W) each
being of dimension 50 × 50 × 4 mm are placed over a sputter target dimen-
sions of 200 × 50 × 4 mm. Whereas to achieve varied compositions by wt %,
targets (X, Y, Z and W) could be of different dimensions or their position can
be altered. As shown in Fig. 3 position and specification of targets are such that
Fig. 2 Sputter target

position for uniform
composition
Fig. 3 Sputter target

position for varied
composition
X and Y are of dimensions 35 × 50 × 4 mm each and are placed at the posi-

tion 1st and 2nd, 3rd position is having target material Z with dimensions of 50
× 50 × 4 mm and the 4th position is material of W with dimensions 80 × 50
× 4 mm placed over a sputter target dimensions of 200 × 50 × 4 mm. Posi-
tion of the sample at different locations on a platform on a sample holder is
shown by Fig. 4. To get desired chemical compositions in deposition chamber
combination of fixed sample position (Fig. 4) and layout shown in Fig. 3 can
generally be employed. Now to present a combination of layouts in the present
Fig. 4 Sample holder
work first plan (Fig. 2) is employed on movable table hence making it different
exposer positions which can be controlled and automated by closed-loop mech-
anism with the aid of controllers and servomotors as represented by Figs. 5 and
6.
Fig. 5 Servo mechanism
Fig. 6 Closed-loop control mechanism

Fig. 7 One or more holder
In order to handle multiple workpieces simultaneously and to improve thickness

uniformity for coated films, Fig. 7 suggests a system having more than one work
holder attached to a common platform where both rotational and the revolution of
the work table are simulated in such a way so as to achieve a common uniform
thickness. Also, this system shall be able to coat objects with an outer circular profile
such as cylinder pin which is otherwise a problem area in usual setups and also varied
configuration and compositions in a single setup single run. Capable of providing
multiple workpieces with desired compositions in a single setup also composition
and thickness can be varied by the simultaneous combination of movement of all
movements which further can be synchronized or automated by use of switches,
relays, circuits, and servomotors. Swann [22, 23] describes the film thickness when
the substrate is immovable.
r2
2Sh (h 2 + R 2 + r 2 )r dr
d(R) = X (1)
πρ(r22 − r12 ) [(h 2 + R 2 + r 2 + 2Rr )(h 2 + R 2 + r 2 − 2Rr )]3/2
r1
where S—sputtering rate, ρ—target density, r 1 , r 2 —inner, the outer radius of erosion
area, h—target to substrate distance.
Whereas Fu et al. [23] described a model based on Eq. 1 for moving substrate
showing planetary movement for distribution of film thickness considering rotational
as well as revolution speed and other parameters as
t
T = d(x, y)ds = d(ξ(t), ψ(t)) · ξ 2 (t) + ψ 2 (t) · dt (2)
L 0
Fig. 8 Single substrate
where ξ (t) and ψ (t) are derivatives of ξ (t) and ψ(t).

Where
ξ(t) = x = R cos(ωrot t + φ) + b cos(ωrev t) (3)
ψ(t) = y = R sin(ωr ot t + φ) + b sin(ωr ev t) (4)
ωrot is rotation angular velocity, ωrev is revolution angular velocity, t time, R radius
of rotation, b radius of revolution.
We also propose that there may present a single substrate as shown in Fig. 8.
Where substrate to target center shall consider also there shall be no revolution part
attached to it hence Eqs. 3 and 4 can be rearranged as follows
ξ(t) = x = R cos(ωrot t + φ) (5)
ψ(t) = y = R sin(ωrot t + φ) (6)
It has been evident that the total thickness distribution range is less than 5.5%.
With the presence of this newer technology with constant revolving exposer, it is
possible to obtain a mixture of powders which exhibits better dense and homogeneous
compositions as compared to that obtained by powder metallurgy techniques [23].
3 Conclusion
With the setup, it is possible to get reliable coated equipment’s possessing enhanced
performance characteristics compared to conventional ones. Coatings usually accom-
modate a combination of refractory material and ductile material such as W and Cu,
whereas in practice both having insolubility into each other [9]. Also, studies have
shown the structure and particle size of material components can be an influencing
factor.
Here in this study emphasis is on sputter produced coatings: magnetron and RF
sputtering, in the presence of a noble gas such as Argon and Nitrogen, to overcome
the problem of non-uniform exposer of spherical and cylindrical parts.
Multiple samples can be obtained with the utmost uniformity in a single charge
simultaneously. To obtain a combination of coatings with varying material pres-
ence (wt%). Amount and composition of material present in the coatings are always
affected by sample positioning. Also, thickness varies from top to bottom (position
of the substrate) during each coating run.
It is the utmost requirement of high standard long life trouble-free service of
components. As explained earlier in the case of switching devices specifically,
vacuum contractors, such components can be devised or coated with the desired
combination and compositions with the help of present proposed models.
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behavior and self-healing functionality of TiNbCN-Ag coatings in wide temperature range.
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10.1016/j.surfcoat.2004.12.023
A Novel Model for IoT-Based Meter
Using ATmega328P Microcontroller
and Google Cloud Store
Sufia Khalid, Mohammad Sarfraz, Vishal Singh, Aafreen, and Ali Allahloh
Abstract Electricity is indispensable and lifeblood of modern society. There is over-

whelming evidence for the notion that the percentage of households with access to
electricity has increased from 55% in 2001 to more than 80% in 2017 according to
data compiled by the Central Electricity Authority (CEA) as well as more than 1
lac cases piled up in Uttar Pradesh related to power theft in 2018. This study is an
attempt to address the issue faced by consumers in Conventional (Electromechanical)
energy meter. The electricity department hires human labor just for recording energy
consumption at residential buildings on a monthly basis so there is a loss of financial
asset of a government. So by just taken all the problems in an account, we came up
with an idea of IoT-based meter. This paper focuses on implementation and design
of Internet of thing-based energy meter using ATmega328P microcontroller. The
proposed system uses ATmega328P microcontroller to communicate to ESP8266
node MCU (wifi module) via SPI protocol for serial data communication to replicate
the functionality. ESP8266 node MCU (wifi module) sends the data to Google Cloud
Store for visualization of a real-time database of energy consumption at the residen-
tial building with a systematic and practical analysis of a load profile. The captured
data of Google Cloud Store can be sent to MATLAB software with the help of C#.net
for evaluating load forecasting using artificial neural network algorithm (short term).
This paper is not limited to only load forecasting as we know electrical load depends
on various factor like (day of the week, the month of the year) but also provide you
home automation when ESP8266 node MCU (wifi module) interface with Blynk app
via MQTT Messaging Queuing Telemetry Transport (MQTT) protocol.
Keywords Internet of things · Artificial neural network · Load forecasting ·

Google Cloud Store · SPI · MQTT
S. Khalid (B) · M. Sarfraz · V. Singh · Aafreen · A. Allahloh

Electrical Engineering ZHCET, Aligarh Muslim University, Aligarh, India
e-mail: sufiakhalid0@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_57
640 S. Khalid et al.
1 Introduction
It is generally acknowledged that the lack of adequate electrical power supply situ-
ation in the country is one of the major hindrances in the economic development of
the country. India installed a power generating capacity of 334.4 GW as of January
2018, according to the stats presented by Brand Equity Foundation (IBEF), an arm
of the Indian government ministry of commerce. However, the electricity generation
level is not up to the mark to achieve linear supply and demand characteristics as
there are many problems to deal with. For instance, according to the data presented
by World Bank, power theft reduces India’s GDP by around 1.5% despite govern-
ment initiative such as Ujwal Discom Assurance Yojana (UDAY) program which
clearly shows that sick demented thought process of Indians who have money to
pay their mobile bills, but not to pay their electricity bills. Prior to the introduction
of IoT-based meter using ATmega328P microcontroller and Google Cloud Store,
various methods were proposed to detect power theft, load consumption, and load
forecasting at the domestic level by inspection of suspicious load profile but after eval-
uation of cost-benefit analysis, this option was not proven to be financially feasible.
The major problem is the illegal consumption of electricity via bypassing the meter
and tampering with meter and seals. In order to solve the problem of traditional
meter reading, Internet of things (IoT) can track consumer on a daily basis to ensure
accurate billing, keep track of maximum demand, and detect theft. Our Internet of
things (IoT)-based energy using Google Cloud Store will help the Indian government
to curb financial asset wastages in the name of human labor for recording load, we
proposed IoT-based meter using ATmega328P microcontroller and Google Cloud
Store so Indian government does not have to waste their financial asset on the name
of human labor for recording load consumption at consumer premises or we can
put it in another way as it eliminates third-party involvement between the consumer
and the service provider. This study is an attempt to put forward the idea of home
automation, energy conservation, bring more transparency to an electricity billing
system, easily track on changing consumer maximum demand as well as a tackle
with power theft cases that affects Indian economy adversely.
2 Literature Survey
The traditional way of energy metering is laborious as well as a waste of financial

asset of the Indian government. There is a rapidly growing literature on design and
implementation of the smart energy meter and prepaid energy meter using a various
open source application tools like Device Hive, Zetta, Home assistant, and Adafruit.
This has also been explored in prior studies by one of the researchers on IoT-based
Smart Energy Monitoring [1] they used the wifi module to transfer all the electricity
consumption information to Thingspeak analytics. Different channel ID was provided
to each load according to that energy consumption of a particular consumer and load
A Novel Model for IoT-Based Meter Using ATmega328P … 641
was monitored on a webpage. Seminal contributions have been made authors by

carried out research on the Internet of things based on residential power load fore-
casting [2] that proposed sensors, for current and voltage measurement employed
in residential buildings for data collection and interfacing with IoT and whatever
data collected was analyzed for load forecasting as well as studied all the single
details of weather in Ratnagiri, Maharashtra area. For instance, the following studies
were conducted on analyzing the Electricity Demand Pattern [3] in which authors
gathered data from different part of India and reach to a conclusion that load fore-
casting depends on various factors like weather condition, geographical diversity,
sunrise/sunset time, and seasonal diversity. They also analyzed some of the quantifi-
able and predictable factors and their impact on the nation as a whole. Over time, an
extensive literature has developed on IoT-based energy meter billing and monitoring
system—a case study [4] in which consumers monitored energy consumption time
to time with the facility of energy management and consumers had to pay the elec-
tricity bill at a scheduled time otherwise electricity would cut autonomously from
the distant host. A more comprehensive description can be found in a research work
carried out on the design and implementation of Bluetooth-based energy meter [5]
in which researchers came with a concept of Bluetooth-enabled energy meter and
wireless channel setup between Bluetooth energy meter and Energy reader, i.e., PC
by confirming Serial Peripheral Interface (SPI). When PC generates a start signal for
Bluetooth energy meter then power consumption data transmission to the PC from
Bluetooth energy meter. In addition to above-mentioned research in IoT-based energy
management system, concurrently a survey [6] was conducted in which researchers
designed the IoT-based energy management system in which data is collected from
smart energy meter using a GPRS network and displayed on the webpage. In this
survey, the authors analyzed several other management systems and compared the
limitations and learned about how to establish IoT architecture.
2.1 Overview of Internet of Things
The World Economic forum defined IoT as a game changer for a power market
as it creates new boundaries for the power utilities that were undiscovered before.
In the prior three revolution, there was a tremendous improvement in productivity
like first come to steam and water, next come electricity and assembly line and
then computerization as shown in Fig. 1. The fourth industrial revolution led by the
Internet of things which machine and computing infrastructure on the same platform
through which machine and people can communicate with each other.
Fig. 1 IoT game changer for power market
2.2 Proposed Architecture
IoT-based energy meter using ATmega328P microcontroller at a residential level

proposed by the authors has the following components:
A. IoT energy metering using the ATmega328P module records the consumption of
electricity at the residential level and sends the data to ESP8266 node MCU (wifi
module) via Serial peripheral interface (SPI). ESP8266 node MCU (wifi module)
sends data to Google Cloud Store for systematic visualization of electrical energy
consumption as well as to Blynk application for home automation that will
contribute toward energy conservation. Google Cloud Store further transmit
captured data to MATLAB software for evaluation of load forecasting using
the artificial neural algorithm. The IoT energy meter generally measures the
following data indexes which provide a major share in energy conservation
1. Peak Load Utilization and Average Load in terms of current and voltage
2. Time-based power consumption with ATmega328P controller synchronized
clock (Fig. 2).
B. Sensors used in proposed IoT energy meter for evaluation of power and energy
at residential premises are ACS712 (current sensor) and ZMPT101B (voltage
sensor). The Allegro ACS712 (current sensor) works on the principle of Hall
Effect (Fig. 3).
Which was discovered by Dr. Edwin hall in 1879. Additionally, it is highly
compatible with ATmega328P microcontroller and proves to be an economical
Fig. 2 Proposed architecture
Fig. 3 ACS712 (current sensor) wiring connection to Arduino Uno

solution for AC or DC current measurement in a field of power electronics.

Furthermore, it provides the ratiometric output which means that zero current
output and device sensitivity both are proportional to the supply voltage and
this output also compensates in case of an error in A/D conversion due to refer-
ence voltage fluctuation. Likewise, another sensor ZMPT101B (voltage sensor)
can able to measure 250 V AC as it is required for the calculation of real power,
apparent power, and power factor. The characteristics of the ZMPT101B voltage
sensor are quite linear in nature (the input voltage is directly proportional to ADC
value). Furthermore, this voltage sensor internal circuitry consists of a recti-
fier, voltage divider, and ZMPT101B voltage transformer just to make voltage
compatible with ATmega328P microcontroller. We have to scale down the wave-
form with the help of voltage divider as well as adds an offset that can be added by
voltage source created by another voltage divider connected across ATmega328P
power supply so there should be no negative component in the voltage signal.
As shown in Fig. 4, R1 and R2 (resistors) form voltage divider circuit and R3
and R4 provide voltage bias for DC offset as well as C1 (capacitor) provides a
low impedance path to ground for AC signal.
C. Interfacing of four channel relay with ESP8266 node MCU (wifi module) as it
prevents any physical contact between node MCU and AC devices. It is having
two configurations NO (no operation) and NC (normally closed). We connect
ESP8266 node MCU (3.3 V) with the Arduino (5v).
D. Mining IoT energy meter data on the Google Cloud Store As the above frame-
work is in place and the data start flowing from ATmega328P microcontroller
to Google Cloud Store via ESP8266 node MCU (wifi module) we can able to
study load profiles of different consumers as well as we can transmit these data
Fig. 4 Production of voltage signal compatible with ATmega328P microcontroller

Fig. 5 Production of voltage signal compatible with ATmega328P microcontroller
to MATLAB using C#.net for evaluating load forecasting using artificial neural
algorithm. ESP8266 (Fig. 5).
2.3 Experimental Setup
See here we have to insert experimental setup Fig. 6.
2.4 Estimation of Energy Consumption
The amount of energy consumed by the consumer can be evaluated from the
instantaneous power.

Energy = P · dt
The energy can be determined using the trapezoidal integration method
n
t
n−1
Energy = Pdt = P(0) + 2 ∗ P(i) + P(n)
2 i=1
0
Fig. 6 Experimental setup
where t is the sampling time.
2.5 Simulation Results
We perform simulation on Proteus 8.1 of IoT-based energy meter using ATmega328P

and Google Cloud Store. We divide simulation into two parts. One is communication
channel and another one is energy meter for the sake of simplicity.
In order to perform a simulation of the proposed model, the following point should
be noted.
1. As in Proteus, there is no wifi module (ESP8266) library so we simulated using
an ethernet library.
2. In the simulation, there is a variable resistor that acts as a load.
So, in this research paper authors divide the operation of IoT energy meter into
chunks and use these protocols for communication (Fig. 7).
(a) Establish the TCP/IP protocol to ensure communication between ESP8266 node
MCU (wifi module) and Google Cloud Storage.
(b) Establish the Serial Peripheral Interface(SPI) protocol between ESP8266 node
MCU (wifi module) and ATmega328P for serial data processing.
(c) Captured data of Google Cloud Store transmit to MATLAB using C#.net for
evaluation of load forecasting.
Fig. 7 Simulation results generated on Proteus 8.1
3 Conclusion
On logical grounds, there is no compelling reason to argue that IoT energy meter
evaluates the energy consumption of each and every device. Prior research in this
area may include smart energy meter and prepaid energy meter that evaluate load
consumption of the whole residential buildings but not like our proposed model that
can monitor the energy consumed at each and every socket of our home. In this
research paper, the author’s emphasis on the idea of energy conservation as well
as keep greenhouse emission to a much lower with blink, furthermore it produce a
knock-on-effect in a future. The data yielded by this study helps us to identify various
losses encounter in devices like an aging effect, transients, voltage sag, voltage swell,
and voltage dip that deteriorates its performance so these type of losses can easily
be analyzed by just comparing the load profiles of devices by former characteristics
(available at cloud store) at different duration. This paper has a great significance as
prior researchers worked on GSM and Bluetooth-based energy meter that is suffering
from various shortcomings such as narrow bandwidth, data security, and range limi-
tation. These all flaws in earlier researches overcome in this paper by using ESP8266
node MCU (wifi module) that not only provide you broader bandwidth but also data
security so the customer can easily rely on these type of IoT meter without going
outside to their comfort zone. By experimental analysis of IoT energy meter, we can
reach to a conclusion that its efficiency is around 80% that will enough to bring a
major breakthrough in the Indian power market.
Acknowledgements The authors thank the various researchers published an article in our working
domain as well as acknowledge the helpful comments and suggestions of the reviewer, which have
improved the presentation.
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case study, 1st ed. pp 1–4
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297–299
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electricity consumers. In: 2018 15th International Conference on the European Energy Market
(EEM), pp 1–5
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2018 IEEE International Instrumentation and Measurement Technology Conference (I2MTC),
pp 1–6
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significant energy demand variability. In: 2018 1st International Conference on Power, Energy
and Smart Grid (ICPESG), pp 1–5
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matic energy metering system with prepaid/postpaid configurability. In: 2017 International
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1373
Vibration Analysis of Curved Beam
Using Higher Order Shear Deformation
Theory with Different Boundary
Conditions
Md. Rashid Akhtar and Aas Mohammad
Abstract The vibration analysis of isotropic curved beam having different end
conditions (i.e., c-c and s-s) with different L/R ratios using higher order shear defor-
mation theory is the main focus of this paper. The dependence of boundary conditions
and radius of curvature on the frequency response are highlighted. It was found that
the convergence result of the beam that for L/R = 0.0625 the convergence is more
rapid for clamped-clamped condition of the beam than that of simply supported beam.
The value of frequency of vibration for clamped-clamped beam is higher compared
to simply supported beam having L/R = 0.0625. Similarly, the value of frequency
of vibration for clamped-clamped beam is higher compared to simply supported
beam having L/R = 0.125. If we observe the values of frequency of vibration for
beam having L/R = 0.25, the convergence is more rapid for clamped-clamped beam
compared to simply supported beam. It goes from 2300 to 773 rad/s when the number
of element changes from 50 to 800 for C-C condition and 1500 to 494 rad/s for the
same value of number of elements. Thus, we observe that as R is decreased keeping
L constant the value of frequency of vibration increases. It was also observed that as
the boundary conditions are changed from clamped-clamped to simply support the
frequency also decreases for same L/R ratio.
Keywords Radius of curvature · Isotropic curved beam · L/R ratio · Frequency of

vibration
Md. R. Akhtar (B) · A. Mohammad

Department of Mechanical Engineering, Jamia Millia Islamia Delhi, New Delhi 25, India
e-mail: rashid.mit@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_58
650 Md. R. Akhtar and A. Mohammad
1 Introduction
Many researchers have analyzed the straight and curved beams for vibration for beam
with different h/L and different L/R ratios. The study of vibration for different kind
of beam is very crucial aspect of any beam which is having different kind of loads
and supported in different end conditions.
Third-order shear deformation theory was utilized by Şi̇mşek et al. [1] to study the
vibration of straight beam. They calculated the six dimensionless frequency parame-
ters of different beams having different h/L ratios for different boundary conditions.
The performance of a curved beam with coupled polynomial distributions was inves-
tigated by Raveendranath et al. [2]. Excellent convergence of natural frequencies
was observed even for very thin arches with small curvature and higher modes of
vibration.
Gupta and Talha [3] have analyzed the geometrically nonlinear vibrations response
of functionally graded plates.
Ghodge [4] did the modal analysis of a cantilever beam and simply supported
beam using ANSYS for aluminum alloy, gray cast iron, structural steel, and copper
alloy.
Ibrahim et al. [5] investigated curved beams for forced vibration using three-
noded beam elements with large amplitude periodic excitation. Kawakami et al. [6]
presented a close to exact method for both the in-plane and out-of-plane horizontally
curved beams with variable cross sections and arbitrary shapes for the free vibration
analysis.
Amir and Talha [7] analyzed the curved beams with micro-structural defects
for thermo elastic vibration of shear deformable functionally graded material using
finite element method. Amir and Talha [8] studied the arches made of functionally
graded material with micro-structural defects to find the imperfection sensitivity in
the vibration behavior of arches.
The dynamic stability and the nonlinear free vibration analysis were done by Fu
et al. [9] for the piezoelectric functionally graded beams. The beam was subjected
to one-dimensional steady heat conduction in the thickness direction. The solu-
tion of the free vibration problem of systems comprised of straight and/or curved
beam components was done using Rayleigh–Ritz method by Yuan and Dickinson
[10]. Elements with six degrees of freedom were used for the analysis of eigenvalue
problems of Timoshenko and shear-deformable curved beams by Yang and Sin [11].
Hajianmaleki and Qatu [12] on the basis of exhaustive study on the vibration analysis
of composite thin and thick beams explained a simple classic and shear deformation
model that can be used for beams with any laminate. Chidamparam and Leissa [13]
did a study on the vibrations of planar curved beams, rings, and arches. Nonlinear
vibrations, initial static loading, and the application of finite element techniques were
given special attention in their analysis.
Vibration Analysis of Curved Beam Using Higher Order … 651
2 Mathematical Formulation
2.1 Displacement Field
The axial and transverse displacements of the mid-plane were utilized to express the
displacement field. The displacement field is based on traction-free conditions at the
inner and outer surface of the curved beam14 is written as,

4z 3 ∂w0
u(x, z, t) = u 0 (x, t) + z∅x (x, t) − ∅ x (x, t) + (x, t)
h2 ∂x
w(x, z, t) = w0 (x, t)
∂w0
let = θx
∂x
4z 3
u(x, z, t) = u 0 (x, t) + z∅x (x, t) − [∅x (x, t) + θx (x, t)]
3 ∗ h2

4z 3 4z 3
u(x, z, t) = u 0 (x, t) + ∅x z − 2 − 2 θx (x, t)
3h 3h
w(x, z, t) = w0 (x, t)
where u and w represents the displacements of a point along the (x, z) coordinates.
u 0 , w0 , ∅x , θx are four unknown displacement functions of mid-plane.
⎡ ⎤
u0
3
4z 3 ⎢ w ⎥
u(x, z, t) 10 z− 4z
− 3h 2 ⎢ 0 ⎥
= 3h 2 ⎢ ⎥
w(x, z, t) 01 0 0 ⎣ ∅x ⎦
θx
The basic field variables can be symbolized mathematically as, {λo } =

{u 0 , w0, ∅x , θx }T

4z 3 4z 3
u 1 0 z − 3h − 3h
= 2 2
[λo ]
w 01 0 0
The displacement field in the compressed form can be written as

[U ] = Ň [λo ]

u 4z 3
1 0 z − 3h 4z 3
− 3h
where, [U ] = and Ň = 2 2
.
w 01 0 0
2.2 Strain-Displacement Relations

z ∂u w
εx x = 1 1+ +
R ∂x R
Using linear strain-displacement relations, the strain vectors may be defined as

z ∂u 0 ∂∅x 4z 3 ∂∅x ∂θx w0
εx x = 1 1+ +z − 2 + +
R ∂x ∂x h ∂x ∂x R

∂u z ∂w u
Υx z = +1 1+ −
∂z R ∂x R

∂u 0 4z 2 z
= + ∅x − 2 [∅x + θx ] + 1 1+
∂z h R

∂w0 u0 z 4z 3
× − − (∅x ) − 2 [∅x + θx ]
∂x R R 3h
∂u 0
As u0 is a function of x and t only, i.e., ∂z
= 0.

z z 4z 2 ∂w0
Υx z = 1/ 1 + 1+ ∅x − 2 [∅x + θx ] +
R R h ∂x
3
u0 z 4z
− − (∅x ) − [∅x + θx ]
R R 3 ∗ R ∗ h2

z ∂w0 u0 4z 2 8z 3
Υx z =1 1+ ∅x + − − 2 [∅x + θx ] − [∅ x + θ x ]
R ∂x R h 3 ∗ R ∗ h2
∂u 0 ∂∅x
εx x z + wR0
=1 1+ ∂ x + z ∂x
Υx z R ∅x + ∂w ∂x
0
− u0
0

R

∂∅x ∂θx
3 − 3h 2 ∂ x + ∂ x
4
0
+z 2
+z
− h42 [∅x + θx ] − 3R∗h8
2 [∅ x + θ x ]
1 3
εx x z 1◦ k1 2 0 3 k1
= 1/ 1 + + z + z + z
Υx z R 2◦ 0 k22 k23
⎡ ⎤
1◦
⎢ ◦ ⎥
⎢ ⎥
⎢ 2 ⎥
εx x z 1 0 z 0 0 z3 0 ⎢ ⎢ k11
⎥
⎥
= 1/ 1 + 3 ⎢ ⎥
Υx z 2
R 0 1 0 z z 0 z ⎢ k2 ⎥
⎢ 23 ⎥
⎣ k1 ⎦
k23

z 1 0 z 0 0 z3 0
[T ] = 1/ 1 +
R 0 1 0 z z2 0 z3
where
∂u 0
1◦ = + w0 /R
∂x
∂w0 u0
2◦ = ∅x + −
∂x R
∂∅x
k11 =
∂x
4
k22 = − [∅x + θx ]
h2

4 ∂∅x ∂θx
k13 = − 2 +
3h ∂x ∂x
8
k23 = − [∅x + θx ]
3R ∗ h 2
⎡ ⎤ ⎡ ⎤
1◦ ∂ 1
0 0
⎢ ◦ ⎥ ∂x R
⎢− 1 ∂ ⎥⎡ u ⎤
⎢ ⎥ ⎢ R ∂x 1 0 ⎥ 0
⎢ 2 ⎥ ⎢ ⎥⎢ ⎥
⎢ 1 ⎥ ⎢ 0 0 ∂∂x 0 ⎥⎢ w0 ⎥
⎢ k1 ⎥=⎢ ⎥⎣ ⎦
⎢ 2 ⎥ ⎢ 0 0 − h42 − h42 ⎥ ∅x
⎢ k2 ⎥ ⎢ ⎥
⎢ 3 ⎥ ⎣ 0 −4 −4 ⎦ θx
⎣ k1 ⎦ 0 3h 2 3h 2
−8 −8
k23 0 0 3∗R∗h 2 3∗R∗h 2
{ ◦ } = [B][λo ]
⎡ ∂ 1
⎤
∂x R
0 0 ⎡ ⎤
⎢− 1 ∂ ⎥ u0
⎢ R ∂x 1 0 ⎥
⎢ ⎥ ⎥
⎢w
⎢ 0 0 ∂∂x 0 ⎥ ⎥
⎢
where, B = ⎢ ⎥ and λo = ⎢ 0
⎥.
⎢ 0 0 − h42 − h42 ⎥ ⎦
⎣ ∅x
⎢ −4 −4 ⎥
⎣ 0 0 3h 2 3h 2
⎦ θx
−8 −8
0 0 3∗R∗h 2 3∗R∗h 2
The linear constitutive relations of an isotropic beam are given as:

σx x Q 11 0 εx x
=
τx z 0 Q 44 γx z
where Q11 = E/(1 − mu2 ) and Q44 = E/(2 * (1 + mu)).

σx x
= QT ε◦
τx z
3 Finite Element Formulation
3.1 Formulation
A two-noded element with four degrees of freedom per node is being utilized to
discretize the beam geometry. The generalized displacement vector of the model is
expressed in the following manner
⎡ ⎤
u 10
⎢ u2 ⎥
⎡ ⎤ ⎡ ⎤⎢ 0⎥
u0 N1 N2 0 0 0 0 0 0 ⎢ 1⎥
⎢ w0 ⎥
⎢w ⎥ ⎢ ⎢ ⎥
⎢ 0 ⎥ ⎢ 0 0 N1 N2 0 0 0 0 ⎥
⎥⎢ w02 ⎥
⎢ ⎥=⎣ ⎢ ⎥
⎣ ∅x ⎦ 0 0 0 0 N1 N2 0 0 ⎦⎢ ϕx1 ⎥
⎢ 2⎥
θx 0 0 0 0 0 0 N1 N2 ⎢⎢ ϕ1x ⎥
⎥
⎣ θx ⎦
θx2
The shape functions N 1 and N 2 are as follows:
N1 = 1 − x/Le
N2 = x/Le
3.2 Strain Energy of the Curved Beam

1
Πe = εiT σi dv
2

= 1/2 ε◦T T T QT ε◦ dv
3.3 Kinetic Energy of Beam

= 1/2 ρU T U dV

= 1/2 ρλ0T Ň T Ň λ0 dV
3.4 Governing Equation
Free vibration analysis of curved beam has been obtained using the variational
principle, which is the abstraction of the principle of virtual displacement.

∂E
= 0 = ε σ dv + ρU T U dV
T
∂x
L h/2 L h/2
◦T T ◦
=b ε T QT ε dzdx + b ρλ0T Ň T Ň λ0 dzdx
0 −h/2 0 −h/2
L L
=b ε◦T [D]ε◦ dx + b λ0T [m]λ0 dx
0 0
h/2 h/2
where D = −h/2 T T QT dz and m = −h/2 Ň T Ň dz
L L
=b λ0T B D Bλ0 dx + b
T
λ0T [m]λ0 dx X
0 0
= K U + M Ü
K U = λMU , where λ = ω2 .
where λ is the eigenvalue and U is the global displacement vector.
The frequency of vibration of curved isotropic beam was found for two different
support conditions using MATLAB program. One is clamped-clamped and the
other is simply supported. The convergence table is also included in the paper. The
specification of the beam used was as follows:
Case 1 Depth h = 0.002 m,

Width b = 0.02 m,
Length a = 0.5 m,
Radius of curvature R = 8 m.

Width b = 0.02 m,
Length a = 0.5 m,

Width b = 0.02 m,
Length a = 0.5 m,
Case 1
See Table 1 and Fig. 1.
Table 1 Convergence table for L/R = 0.125

No. of elements Frequency of vibration [CC] (radian/s) Frequency of vibration [SS] (radian/s)
50 1.00E+03 709.1086
100 737.8826 636.9418
200 648.4383 603.2043
250 636.4075 564.637
300 629.6669 542.541
350 625.5178 528.7724
400 622.7862 519.6413
500 619.5303 508.6936
550 618.5155 505.268
650 617.135 500.5977
800 615.9467 496.5618
Fig. 1 L/R = 0.0625 (convergence graph), vibration for clamped-clamped and simply supported
curved beam (X axis = no of elements, Y = frequency of vibration)
Case 2

No. of elements Frequency of vibration (radian/s) Frequency of vibration (radian/s)
clamped-clamped simply supported
50 1.39E+03 1.25E+03
100 1.19E+03 859.6947
200 941.8834 602.9364
250 881.6395 564.351
300 847.1243 542.2144
350 825.617 528.4375
400 811.3534 519.3004
500 794.2524 508.3455
550 788.9013 504.9175
600 784.8069 502.2947
750 780 497.2893
800 775.3013 496.2052
Case 3

No. of elements Frequency of vibration (radian/s) Frequency of vibration (radian/s)
clamped-clamped simply supported
50 2.32E+03 1.50E+03
100 1.34E+03 858.8505
200 940.4545 601.7385
250 880.1841 563.0718
300 845.6499 540.9124
350 824.129 527.1017
400 809.8557 517.9413
500 792.7421 506.9572
600 783.2894 500.8897
650 780.0856 498.8333
750 775 496.81
800 773.776 494.7831
5 Conclusion
It was found from the analysis that as the radius of curvature of the curved beam
is decreased for clamped-clamped end condition the frequency of vibration of the
curved beam increases from R = 8 to R = 4 m. But when it is further decreased to 2 m
there is no significant change for higher no. of elements. When the simply supported
beam condition is considered it was observed that the effect of radius of curvature is
not very significant. The gap between the frequency for CC and SS support condition
is high for R = 4 m. The novelty of the paper is that it presents the convergence of
the frequency of vibration of beam for different values of L/R ratios as well as for
different boundary conditions for higher order shear deformation theory for curved
isotropic beam. It also presents the effect of L/R ratios and the boundary conditions
on the frequency of vibration of curved beam.
References
1. Şi̇mşek M, Kocaturk T (2007) Free vibration analysis of beams by using a third-order shear
deformation theory. Sadhana 32(Part 3):167–179
2. Raveendranath P, Singh G, Pradhan B (2000) Free vibration of arches using a curved beam
element based on a coupled polynomial displacement. Comput Struct 78:583–590
3. Gupta A, Talha M (2017) Large amplitude free flexural vibration analysis of finite element
modeled FGM plates using new hyperbolic shear and normal deformation theory. Aerosp Sci
Technol 67:287–308
4. Ghodge V, Bhattu AP, Patil SB (2018) Vibration analysis of beams. Int J Eng Trends Technol
(IJETT) 55(2):1–86
5. Ibrahim SM, Patel BP, Nath Y (2009) Modified shooting approach to the non-linear periodic
forced response of isotropic/composite curved beams. Int J Non-Linear Mech 44:1073–1084
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vibrations of curved beams with variable sections. J Sound Vib 187(3):381–401
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curved beams with microstructural defects. Int J Struct Stab Dyn
8. Amir M, Talha M (2018) Imperfection sensitivity in the vibration behavior of functionally
graded arches by considering microstructural defects. J Mech Eng Sci 1–15
9. Fu Y, Wang J, Mao Y (2012) Nonlinear analysis of buckling, free vibration and dynamic
stability for the piezoelectric functionally graded beams in thermal environment. Appl Math
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10. Yuan J, Dickinson SM (1992) On the use of artificial springs in the study of the free vibrations
of systems comprised of straight and curved beams. J Sound Vib 153(2):203–216
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shear-deformable curved beams. J Sound Vib 187(4):569–584
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Compos Struct 100:218–232
13. Chidamparam P, Leissa AW (1993) Vibrations of planar curved beams, rings, and arches. Appl
Mech Rev 46(9):467–483
Performance Analysis of Alternate
Purification System in Air Conditioning
System
Ashish Gangal and Vaibhav Jain
Abstract In the present work, the filtration system is combined with the air condi-
tioning unit and hence utilizing the power of the air conditioning unit to drive the
air through proposed purification system. The filtration unit is made up of multiple
layers of filter with primary focus on keeping the air clean while at the same time
keeping the cost down. The unit is made such that it is compatible with window air
conditioners. The results show that the purifier lowered the concentration of PM2.5
by 40%, PM10 by 25%, SO2 by 28% and NO2 by 33%. This can be useful in polluted
environments where AQI shoots past 200 and bringing it down to 120 or so can make
a huge difference. When compared to the traditional HEPA filter which costs over
Rs. 10,000 and filters the air by 99.97%, it might seem like a much poor choice. But
AQI level of up to 100 is satisfactory and bringing down the level to 50 AQI is as
good as bringing it down to 1. So, with some modifications, if one can increase the
filtration rate up to 85%, AQI touching can be brought down 300 to less than 50.
Thus, achieving similar purification levels as that of traditional air purifier for less
than half the cost.
Keywords Air purification · Window air conditioner · Performance · Filter
1 Introduction
The pollution levels in Delhi have been increasing for the past few years and the air
is now so polluted that it has given rise to numerous respiratory and health disorders
in the city. Various reports, including one by IQAir [1], cites Delhi as the most
polluted major city in the world amongst 1600 countries surveyed. The pollution
levels touched the 999 on the AQI scale in 2016 and in May of 2019 witnessed a
A. Gangal (B) · V. Jain

Technology, Delhi, India
e-mail: gangal.ashish9@gmail.com
V. Jain
e-mail: vaibhavursaathi@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_59
662 A. Gangal and V. Jain
rare summer pollution alert with PM2.5 particles hitting the 154 µg/m3 mark and
AQI was in the ‘very poor’ category. Lungs of over 2 million suffer irreversible
damage due to pollution in Delhi alone and with India having 22 of the world’s 30
most polluted cities [2], the problem is pan India. Some major causes of air pollution
being vehicular emissions, diesel generators and stubble burning. Stubble burning
in Punjab and Haryana, over the years, has emerged as the major pollutant during
the early winter months despite bans and fines on the practice by the government.
Diwali season is another time when the pollution level shoot through the roof as the
city is immersed itself in celebration and a thick layer of smog covers the city.
Various problems associated with air pollution are reduced lung capacity,
migraines, sore throat, fatigue and early death. Rapid urbanisation and increase in
vehicular traffic have exacerbated the problem. According to WHO [3], over 4 million
lives are lost due to ambient air pollution. Major pollutants that comprise this pollu-
tion are sulphur oxides, nitrogen oxides, ozone, carbon monoxide, lead, PM2.5 and
PM 10 particles. These are also the parameters that determine the air quality index
(AQI). PM2.5 particles are often termed as the most harmful as they are the smallest
in size and can go deeper into the lungs and get accumulated in the Alveoli where
the exchange of gases take place. These types of particles also comprise a major part
of the emissions of vehicles, generators, boilers and power plants. Table 1 illustrates
the AQI values and the corresponding impact on health.
There is action being taken at the micro as well as the macro level to either
curb pollution or eliminate it from our surroundings. The macro level approach
that the government is taking includes implementing a phased pollution plan, smog
guns, odd-even system. Another measure considered by the government was that of
cloud seeding. Cloud seeding is the process that can induce artificial rain [5]. At
the micro level, in homes and offices, air purification systems are used to combat
the pollution levels. Most air purifiers available in the market use HEPA filters for
air filtration. HEPA stands for ‘High-efficiency particulate air’. According to the
Institute of Environmental Sciences and Technology, the threshold for a filter to be
classified as HEPA is that it must filter 99.97% particles of size 0.3 micron or more.
Many HEPA filters can filter out particles of size less than 0.3 microns. To give an
idea of how big a micron is, Table 2 illustrates the sizes of different things.
Table 1 AQI levels and impact on health [4]

AQI Health impact
0–50 (good) No impact
51–100 (satisfactory) Minor discomfort to sensitive people
101–200 (moderately polluted) Breathing discomfort to people with asthma, heart diseases,
and children
201–300 (poor) Breathing problems on prolonged exposure
301–400 (very poor) Can cause respiratory diseases on sustained exposure
400+ (severe) Impact on healthy people as well and severe issues for people
with respiratory diseases like asthma
Performance Analysis of Alternate Purification System … 663
Table 2 Micron comparison

S. No. Item Size (in microns)
chart [6]
1 Spores 3–10
2 Red blood cells 5–10
3 Very fine sand 60–70
4 Bacteria 0.3–60
5 Car emissions 1–150
HEPA fibers are made of fiber glass with size varying between 0.5 and 2 microns.
The working of the filter is affected by the fiber diameter, filter thickness and face
velocity. Though the air space between the fibers is much greater than 0.3-micron,
diffusion and interception help in filtering particles at a minute level. The HEPA
filter has a complex web of fibers in which it can trap the contaminants in 4 different
ways when they travel through it. First is inertia, where large particles fail to change
direction along with the stream of air passing through fibers and hence get trapped
in the fibers. Second is diffusion. Small particles get diffused within the flow stream
and as they traverse through the flow stream, they collide with the fibers and get
collected. Finally, interception is for particles of mid-size. They move along the flow
stream and get caught when they touch a fiber. Finally sieving, when particles are too
big to fit into the air space between the fibers. The air filters available in the market
today mostly employ HEPA technology. These filters can cost upwards of Rs. 10,000
with even the cheapest one costing around Rs. 8000. But the costs keep mounting as
maintenance cost of these filters is high. The HEPA filter needs to be replaced every
few months depending on the pollution level of the place. A single replacement filter
costs Rs. 2000 hence the follow-up cost of this filtration method is high.
An air conditioning system is a comfort cooling solution which is used in homes,
offices, plants and many other places. It makes use of the vapour compression refrig-
eration concept to provide cooling to the required area. Similar systems have been
used to make the farming produce last longer. But those used in our homes have
the primary purpose to keep the room cool and remove moisture. They are also
available in different forms like a window air conditioner, split air conditioner and
central cooling systems. They are especially useful in humid areas as they remove
the moisture content from the air while cooling it. Air conditioners make use of a
fan to recirculate the air where the cooling is to be carried out. The air conditioning
units usually have a single electrostatic filter which lasts a lifetime and only requires
regular cleaning. But these types of filters can clean the air only to a certain extent.
They filter out large particles from the air and a blocked filter restricts the air flow
hence cleaning is required every 4 weeks or so depending on the usage. To get a good
idea of their filtration capacity, we can look at the Minimum efficiency reporting value
(MERV rating) [7] of an electrostatic filter and a HEPA filter. While HEPA has a
MERV rating of 16, an electrostatic filter has a MERV rating of just 1 i.e. it can filter
out particles of size >10 microns like sanding dust, spray paint dust, textile fibers etc.
Whereas, a HEPA filter has a rating of 16–17 and can filter out much finer particles
like bacteria and smoke dust.
In the proposed system, it is planned to combine the filtration system with the air
conditioning unit and hence utilize the power of the air conditioning unit to drive the
air through our purification system. The filtration unit is made up of multiple layers of
filter with primary focus on keeping the air clean while at the same time keeping the
cost down. The unit is made such that it is compatible with window air conditioners.
Once the air passes through all the layers of filter, it enters the air conditioning unit
and undergoes the vapour compression refrigeration cycle. The proposed system is
supposed to provide air that is cleaner than regular conditioned air without using an
expensive air purifier and keeping the running cost down as well by using the fan
inbuilt into the air conditioning unit.
2 Proposed System
The system that we have designed, besides being highly economical, is supposed
to be effective in removing significant amount of pollutants from the atmosphere.
The system cleans at 3 levels while filtering is involved in two of the steps. All the
components that are being used are easily available and easy to replace. Although
HEPA filters were considered but the problems aroused due to the severe pressure
drop before the air entered the unit and hence substantial increase in power require-
ments which ruled HEPA out of consideration. The second aspect of our air filter is
its compatibility with air conditioners. It has been designed in such a way that it can
be directly fitted at the point of entry of air in the Air conditioner thus saving space
and will act as a purification module for Window air conditioners.
The 3 layers of filtration are as follows:
Muslin Cloth—The air passes through a section of muslin cloth. This layer is for
removal of larger particles so that the life of the purifier is increased as the layer
after this one last longer with a rather simple and economical method. It is used to
remove dust particles and the pore size of muslin clothes is less than 2 mm which is
just sufficient for removal of dust. It is a pre-filtration process. The removal of big
particles prevents quick clogging of the charcoal filter in the next stage.
Ultraviolet Filtration—The second stage is the UV filtration stage where the
filtered air passes through a chamber consisting of multiple UV lights that have
the tendency to kill microbes and germs thus making the air not only free from
pollutants but also from germs and other biological detrimental compounds. The UV
rays have wavelength ranging from 100 to 400 nm. UV rays are of 3 types, UVA,
UVB and UVC. UVA accounts for 95% of the UV radiations that reach the earth
and are less intense than the other two. They can easily penetrate glass and clouds.
UVB rays are the main cause of cancer and other skin related problems but they do
not significantly penetrate glass. While the UV light we use emit UVC rays in the
wavelength of 200–280 nm. UVC radiations render the harmful microbes such as
virus and bacteria ineffective by destroying the genetic information that is contained
in their DNA and hence prevents reproduction which essentially kills the bacteria and
prevents the spread of infection. UNC radiation destroys up to 99.99% of harmful
micro organisms like E. coli and Giardia. One major benefit of UV filtration is that
the microbes cannot develop resistance against the radiations. The effectiveness of
UV radiation is determined by its Dosage. The UV dose is calculated as follows:
UV dose µWs/cm2 = UV intensity µW/cm2 × Exposure time (in seconds).
The UV intensity is specified for a metre and is inversely proportional to the
distance to the microbe, hence the effectiveness reduces at larger distances and
conversely it increases rapidly at smaller distances. The formula must be adjusted
according to the distance. Table 3 depicts the dosage chart for killing 90 and 99% of
bacteria and viruses.
The UV light requires cleaning every 2 months as dust accumulation the light can
reduce the intensity and effectiveness. The effectiveness of this form of disinfection
is dependent upon line of sight exposure of the organisms to the UV light. Hence
our prototype involved no obstacles between the light and the air passing through for
maximum effectiveness. Another challenge that was faced was lamp cooling under
air flow. When the lamp is under direct airflow, the output of the bulb decreases.
In such a situation, we are left with 2 options, either to restrict the flow so that it
doesn’t come in contact with the bulb or provide addition UV lights. We installed 4
UV lights instead of 2 so to counter this drawback. The heating effect on the air is
minimal due to the added lamps. The key benefits that UV filtration has are that it
is environment friendly, immediate treatment without flow restriction, no chemicals
Table 3 Dosage chart for

Bacteria 90% 99%
killing bacteria and viruses at
90 and 99% level [8] Bacillus anthracis—Anthrax 4520 8700
Anthrax spores 24,320 46,200
Bacillus megaterium sp. (spores) 2730 5200
Bacillus megaterium sp. (veg.) 1300 2500
Bacillus paratyphusus 3200 6100
Corynebacterium diphtheriae 3370 6510
Ebertelia typhosa 2140 4100
Escherichia coli 3000 6600
Leptospiracanicola—infectious Jaundice 3150 6000
Microccocus sphaeroides 1000 15,400
Virus 90% 99%
Bacteriophage—E. coli 2600 6600
Infectious Hepatitis 5800 8000
Influenza 3400 6600
Poliovirus—Poliomyelitis 3150 6600
Yeast 90% 99%
Brewer’s yeast 3300 6600
Common yeast cake 6000 13,200
Saccharomyces spores 8000 17,600
added, automated process, simple and easy to maintain and they also remove odour
from the air. We are using the mercury-based lamp for our UV filtration as they are
the cheapest and most readily available source of UV radiation. It also performs the
required function with the requisite accuracy and easy to install and replace. These
UV Lamps emit radiation at two peak wavelength, 253 nm and 185 nm. The fused
quarts tube blocks the 185 nm radiations that comprise 5-10% of the total radiations.
These lamps have an efficiency of around 30-40% i.e. they produce about 30-40
watts of UV output for every 100 watts of electricity consumed. The specification of
the UV tube are as follows:
Power rating: 8 W
Working voltage: 12 V AC
Activated Charcoal Layer—The final layer is a thick filter of activated charcoal.
Activated charcoal has high surface area which enables it to absorb high amount of
pollutants like chemicals and other microscopic particles. Since it has high surface
area, there is a lot more bonding space. Around half a kg of activated carbon particle
have 100 acres of area. These filters make use of chemical adsorption to remove
the contaminants and impurities from the air. Activated carbon filter are effective
at removing sediments, volatile organic compounds, chlorine, and odour from air.
They can remove particle ranging in size from 0.5 to 50 microns. The smaller the
pores, better the adsorption capacity. Various experiments conducted under controlled
conditions at IIT Madras on a similar prototype reveal promising result [9]. After
burning kerosene for 10 min the AQI for a room was at 300 Âµg/m3 but the use of the
similar air purifier reduced the count to less than 30 micrograms/m3 . But these types
of filters last for limited time before needing cleaning depending on the pollution
levels. Once the pores are filled, it needs to be vacuumed on both the sides or replaced
all together. Such a filter will last till 3-4 vacuum cleanings post which it needs to be
replaced otherwise can result in poor quality of air filtration.
Once the air passes through all the layers of filter, it enters the air conditioning
unit and undergoes the vapour compression refrigeration cycle. The air that comes
out is supposed to purified. We had 2 major parameters that has to be tested. The first
was air quality once it passes through the filter and the second was the air flow rate
so as to measure the reduction in speed of air when it passes through the filter.
For air flow measurement, we made use of an anemometer and for air quality measure-
ment we made use of an ambient air sampler. Figure 1 depicts PM10 and PM2.5 air
samplers that were used for testing. They use an orifice that maintains the flow rate
at a constant 1 m3 /hr. In addition to PM10 and PM2.5, these samplers have tubes and
valves for gaseous sampling that monitor SO2 , NH3 , NOx , Ozone etc.
Flow Rate measured at the air conditioner test rig outlet: Without the air purifier:
9.9 m/s
Fig. 1 Ambient air samplers

[10]
With the Air Purifier: 9.5 m/s

Air Quality Testing:
See Tables 4, 5 and 6.
From the above results, we observe that the drop in air flow rate is less than 5%
which does not affect the comfort cooling aspect of the air purifier and won’t cause
any problem while using in conjunction with the air conditioner. This air flow also
ensures that the UV lights don’t get cooled to a level where their effectiveness goes
down.
The air purification results show that the air purifier is most effective in filtering
the PM2.5 particle, followed by NO2 and SO2 . The PM2.5 levels in the indoor
environment went from 5.7 to 3.4 showing a fall of 40%. Although the test results
when compared to the traditional HEPA filter shows below par results but their study
on an individual level seems to show a better scenario. In an environment with PM2.5
Table 4 Air Quality without

Pollutant Outdoor reading: Indoor readings:
filter
PM10 122 18.4
PM2.5 46.9 5.7
SO2 14.6 8.44
NO2 29.2 14.7
Table 5 Air Quality with Air

Pollutant Outdoor reading: Indoor readings:
filter installed
PM10 102 12
PM2.5 31.6 3.4
SO2 18.2 6.5
NO2 14.7 12.0
Table 6 Effectiveness of the

Pollutant % filtered
filter for various pollutants
PM10 25.3
PM2.5 40
SO2 28
NO2 33
levels going to 200, the filter has a functional ability to bring down the levels to under
100. And as Table 1 suggests, levels above 200 are poor while when these levels fall
below the 100 mark, they become satisfactory. Hence this can have a drastic affect
on people’s health in the winter months when the AQI levels shoot above the 400
marks. The HEPA filter air purifier that are traditionally available in the market, can
filter the air up to 99% but going from AQI 100 to 1 won’t be much different from
going to AQI 60 from 100. Thus, this can be a good alternative to the traditional air
purifiers. Since there are no additional energy requirements and a cheaper filter to
replace, the cost of this filter is 1/5th of the traditional filter over a period of 5 years.
One drawback that we notice is that the filter fails to filter out PM10 particles up to
the optimal level. Just 25% of the PM10 particles are filtered out. This can be due
to greater deflection of the particle owing to its lower inertia. This might result in
somewhat lower AQI than what could have been. Also, the SO2 and NO2 filter does
the job according to expectations. One thing that can be inferred here is that even if
the new filter is not better than the traditional filter, it certainly performs quite well
in removing the smaller particles from the air.
The solution can be made even more efficient by adding multiple layers of the
activated carbon filter for multi-layer filtration but that will also increase the cost.
Further addition of filters, additional purification and cost increment will need to be
looked upon and a perfect balance of air purification level and price will need to be
found as the need of the hour is not an AQI of 1 but an AQI under 100 in which the
air is breathable and is easy for the masses to buy and use. Air with AQI of less than
100 is good enough for the masses to breathe and pose no threat to development of
any lung or breathing disorders. But for people with respiratory disorders or heart
diseases, the HEPA filters are a better option of they can afford those. If cost is a
major concern, this solution can be implemented in majority of the households with
an air conditioner. It can further be modified to be used in conjunction with other
source of air delivery and can be made into a standalone system by making use
of a fan alongside it. This will add to the cost but will serve to those without an air
conditioner. The additional cost will still keep the cost at less than half of a traditional
air purifier.
4 Conclusions
From the following experiment, we conclude that the air purifier improved the quality
of air and made it much better than before. When implemented in a much more
polluted environment, it can make the air breathable and also the cost stays down.
A downside that was observed was the limited removal of larger particles. But the
limitation can be overcome by using multiple carbon filter. The additional cost will
have to be accounted for and a balance will need to be struck between the cost and
the level of filtration required. According to the study, a filtration level of 70% will
suffice for normal household operation while the purifiers available in the market
provide 99.97% filtration levels and hence charge premium for unrequired services.
References
1. World Most Polluted Cities in 2018—PM2.5 Ranking | AirVisual. Airvisual.com (2019)

(online). Available at: https://www.airvisual.com/world-most-polluted-cities?continent=&cou
ntry=&state=&page=1&perPage=50&cities=. Accessed 10 May 2019
2. James Griffiths C (2019) 22 of the top 30 most polluted cities in the world are in India.
CNN (online). Available at: https://edition.cnn.com/2019/03/04/health/most-polluted-cities-
india-china-intl/index.html. Accessed 21 May 2019
3. Air pollution. World Health Organization (2019) (online). Available: https://www.who.int/air
pollution/en/. Accessed 14 May 2019
4. Air quality index, En.wikipedia.org (2019) (online). Available from: https://en.wikipedia.org/
wiki/Air_quality_index. Accessed 17 May 2019
5. Desk, IIT Kanpur, Delhi help in Delhi’s artificial rain aim to curb pollution: How? India Today
(2019) (online). Available from: https://www.indiatoday.in/education-today/gk-current-affairs/
story/iit-kanpur-delhi-artificial-rain-pollution-1394097-2018-11-22. Accessed 17 May 2019
6. Particle Sizes. Engineeringtoolbox.com (2019) (online). Available from: https://www.engine
eringtoolbox.com/particle-sizes-d_934.html. Accessed 18 May 2019
7. Mechreps.com (2019) (online). Available from: http://www.mechreps.com/PDF/Merv_R
ating_Chart.pdf. Accessed 18 May 2019
8. Germicidal UV Dose UV Irradiation Dosage Table. Americanairandwater.com (2019) (online).
Available from: https://www.americanairandwater.com/uv-facts/uv-dosage.htm. Accessed 20
May 2019
9. IIT-Madras develops low-cost air purifier | Chennai News—Times of India. The Times of India
(2019) (online). Available from: https://timesofindia.indiatimes.com/city/chennai/IIT-Madras-
develops-low-cost-air-purifier/articleshow/50337617.cms. Accessed 18 May 2019
10. Particulate matter sampler. En.wikipedia.org (2019) [Online]. Available from: https://en.wik
ipedia.org/wiki/Particulate_matter_sampler. Accessed: 20 May 2019
Weed Detection Approach Using Feature
Extraction and KNN Classification
Gurpreet Khurana and Navneet Kaur Bawa
Abstract The image processing is the most important technology involved in the
agricultural fields. One of the basic objectives of agricultural production is to gain
maximum crop yield at low cost. The yield and subsequent profit can be enhanced by
detecting and managing the issues related to crop yield indicators in early stage. The
crop yield indicators such as weed can be detected and removed by different manual
and automatic techniques. Image processing is the most popular technique to detect
weed in the field crop. The technique of textural feature analysis and morphological
scanning is applied to sugar beet plant in this paper. At last, KNN classifier is applied
which can classify weed plant from field crop. The results of the weed detection are
analyzed in terms of accuracy and execution time.
Keywords Textural features · KNN classifier · Weed detection
1 Introduction
A two-dimensional function f (x, y) is characterized as an image wherein the spatial

coordinates are defined by x and y. The intensity or gray level of the image at a
specific point is characterized by the amplitude of the pair of coordinates (x, y). A
digital image is accomplished when x, y and intensity values of f are all finite, and the
discrete amounts [1]. A finite number of elements together generate a digital image.
There is a specific location and value for each of the elements involved which are
also known as image elements, pixels, and picture elements. The elements of a digital
image can be represented by the term commonly known as pixel. The algorithms that
are used in creation, processing, communication, and displaying of digital images are
collectively known as digital image processing. A digital image is given as input, and
G. Khurana · N. K. Bawa (B)

Amritsar College of Engineering and Technology, Amritsar, India
e-mail: navneet.cse@acetedu.in
G. Khurana
e-mail: preetkhurana52@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_60
672 G. Khurana and N. K. Bawa
efficient algorithms are applied to process that image. An improved image is achieved
as output in this process [2]. The 70% of total population of India depends upon
agriculture due to which it is also known as the agricultural country. The appropriate
fruit and vegetable crops can be chosen by the farmers from huge range of diversity
available. However, it is highly technical to cultivate these crops so as to provide
optimum yield and quality. The technological support can be used for improving these
approaches. It is important to monitor the perennial fruit crops closely to manage
them. Particularly any kind of diseases possible within the crops and fruits need to be
identified, so that the production post-harvesting is higher [3]. Thus, image processing
is the most important technology involved in the agricultural regions. A huge impact
can be caused on the agricultural production due to the regional weather patterns [4].
The losses that can possibly be caused in unfavorable conditions can be minimized
by the crop managers with the help of prediction. Further, when the potential exists
for favorable growing conditions, the crop prediction can be maximized by these
predictions as well [5]. The agro-meteorologists have always been paying close
attention to the prediction of harvest yield for the most part within particular plants
like corn, wheat, rice, and so on. The national as well as international economic
programming is hugely affected by these yields. The climatic events directly affect
the dry farming crop production due to which their management and control quality
is very important [6]. The meteorological data is utilized to predict these factors more
accurately. Several yield prediction models have been generated over the years. The
broader categorization of these models is done into two groups that are Statistical
Models and Crop Simulation Models. The approach of the project is to accomplish
a benchmark strategy for building up a continuous weed identification framework
through binary classification when vegetation is distinguished, that is, to separate soil
and plants, then, to apply a feature extraction for segregating weed [7]. Firstly, green
plant detection algorithm is actualized to expel soil from image to such an extent
that image data is decreased. The next stages of algorithm are mainly focused on
vegetation. In second stage, a noise called “salt and pepper” is removed using median
filtering. The median filtering method provides benefit of border preservation. Third,
the past yield is changed over to binary; now, small objects are evacuated so as to
evade exceptions. After, the pixels associated around their neighborhood are named,
in this manner; all objects in the image are distinguished [8]. At last, area is calculated
for each object.
Figure 1 shows various steps for the weed detection. The weed detection has the
steps of pre-processing, segmentation, feature extraction, and labeling of the weed
parts from the image. The digital images were captured in outdoor light conditions
with point of view projection over harvest. Catches have 8MP resolution in RGB color
space with JPG extension [9]. The primary thought of yield images procurement is to
abstain from lighting and sharpness issues; thusly, color changes about vegetation are
diminished. The accuracy of the initial step of the plant characterization algorithm
increments gave that green color over objects is kept.
Figure 2 shows the plant input image for the weed detection. It shows two
categories which are plants and weed.
Weed Detection Approach Using Feature Extraction … 673
Fig. 1 Steps for weed detection [6]
Fig. 2 Weed image [9]
2 Literature Review
Camilo Andrés Pulido-Rojas et al. (2016) presented a machine vision approach to

detect wild plant in vegetable yields with the help of outside pictures. The proposed
approach could be an element of a wild plant exclusion mobile robot with camera
obscura for light-controlled circumstances [10]. The main aim of this study was to
propose a valuable algorithm for discriminating wild plant with the help of image
filtering technique. Image filtering technique was utilized for the extraction of color
and region features. After this, a procedure was applied for the labeling of all available
objects. Lastly, a classification approach was presented on the basis of area. The
performance of proposed algorithm was evaluated in terms of certain factors such as
sensitivity, specificity, positive, and negative forecasted values.
Aghighi et al. (2018) implemented [11] modified ML techniques. These tech-
niques included several approaches such as boosted regression tree (BRT), random
forest regression (RFR), support vector regression, and Gaussian process regression
(GPR). Several classic regression methodologies were used to compare the perfor-
mances these approaches. These approaches were compared by including standard-
ized normalized difference vegetation index (NDVI) values of whole fodder maize
farms. This phenomenon produced a two-dimensional data suite every year. The
proposed approach was employed hundreds of times, and the metrics are calculated
which is used to evaluate their performance and stability.
Garg and Garg (2017) resultant [12] of the past distributed research work in which
the analyst outline a relapse-based fluffy time arrangement and manages hesitation,
jumbling veracity, and falseness the different aspects of the fuzzy contexture and
outfits a superior and a more veracious outcome than the techniques that are true and
apparent. Frequency-based partitioning technique had been utilized as the segment
of talk and genuine creation as the significant talk. Fuzzy logical relationships of
differing degrees have been utilized to assess the fuzzification mechanism.
Fernandez-Ordoñez et al. (2017) objectified [13] the evaluation of crop and total
quantity of maize crop through the utilization of Spot-5 satellite pictures and practical
systems. This system scrutinized that (a) yield (Y) as a function of LAI and (b) yield as
a function of NDVI. It was realized that the LAI resultant forecast system overvalued
yield by 14%, while the NDVI obtained a precision rate of 97%. The LAI resultant
system performance was due to disparity in the gathering of farm data. This data was
collected in dissimilar time hours throughout the day.
Luminto and Harlili (2017) developed [14] a multiple linear regression model
for predicting the farming time of rice crop. This model provided utmost farmer
exchange rate of period 2016/2017 in two seasons. The proposed model was consid-
ered extremely appropriate technique for prediction. This approach was based on
multiple dependent variables. This technique could be implemented easily and was
quicker as compared to other mine learning algorithms. The tested outcomes depicted
that this technique was used to predict variables, and the results were not as satisfac-
tory as it was for some of the variables. The algorithm gives higher RMSE value and
produced a discrepancy rate value. It was seemed to generate comparatively larger
error in comparison with other factors’ integration.
Vijayabaskar et al. (2017) constructed [15] a system to test the productiveness
of earth. This testing gave an idea related to the plantation of crop on the basis of
values provided by sensor. This system predicted the harvest production and provided
area wise data about plant as graph. The proposed approach also recommended
compost. This fertilizer or compost could be mixed to the earth for increasing harvest
production. With the help of proposed model, cultivators can share their knowledge
regarding their production through farmer conversation.
3 Problem Formulation
The undesirable plants are known as weeds. There is no botanical classification

of weeds since they are not considered weed if they grow in a place where they
are required. For identifying the unwanted growth of weed within the plants, it is
important to study the research issues of weed plant detection within agricultural field.
It is very commonly found that when something is grown by farmers, the already
existing seeds grow additionally in the soil due to which the growth of planted plants
is affected. Thus, recognizing the area of weeds is important, so that the spray of
pesticides is least on the actually grown plants. Huge attention is being given to the
research on precision agriculture since the natural resources and land availability
is decreasing and the world population is increasing by each day. This problem is
solved mainly by applying the image processing techniques. Many techniques have
been proposed so far for the detection of unwanted plants from fields. To implement
the approach, technique of feature extraction and classification needs to be applied.
To improve the accuracy for weed classification, the KNN classifier is applied in this
research work.
The weed detection from fields has major issue and efficient weed detection, and
its removal increases the production of crops. The weed detection process has three
major phases which are described below:
a. Pre-processing: This is the first phase of weed detection. In this phase, the input
field images are transformed to gray scale for the analysis of features.
b. Region-based segmentation: Region-based classification approach is imple-
mented in the next stage which segment the input image into certain regions. The
number k value is selected as 3. The clusters are formed from the input image.
The clusters are formed based on the Euclidean distance. The pixels having same
space are clustered into solitary cluster while other pixels are clustered in second
clusters.
c. Feature extraction: In this phase, the features of input image will be analyzed
and accumulated in database. The extracted features are color features and the
texture features. When the features are analyzed, the technique of segmentation
will be applied which can differentiate between the normal plants and weeds.
The textual features which are analyzed are region, minor axis length, major axis
length, and DWT haar features on different angles.
d. Classification: The classification is the approach which can classify the input data
into certain classes. In this research work, the K-nearest neighbor (KNN) classi-
fier will be applied which can classify the weed plants on the basis of extracted
features. Learning by analogy is the basic conception of K-nearest neighbor clas-
sification model. N-dimensional arithmetic qualities represent training patterns.
Fig. 3 Proposed flowchart

START
Input the image for weed detection
Extract the textural features and apply Region

based segmentation approach
Apply KNN classifier for the classification of

weed and Sugar Beet plants
Analyze results in terms of accuracy and time.
STOP
A point in an n-dimensional space is represented by each sample. The larger

section of training samples is accumulated in an n-dimensional sample space
along these lines. In presence of an unidentified sample, a K-nearest neighbor
classification model searches sample space for K-training samples that are nearest
to unidentified pattern. Euclidean distance describes “closeness.” Similar weights
are assigned to every attribute in this approach different from decision tree induc-
tion and back propagation. The occurrence of various irrelevant attributes in data
can create confusion. Nearest neighbor classifiers can be utilized for forecasting
as well, i.e., returning of a real-valued forecasting for a specified unidentified
sample. In this situation, the average value of real-valued prediction related with
K-nearest neighbors of unidentified sample is returned by classifier. Amid all
machine learning algorithms, this algorithm is simplest. The complete flowchart
of the weed detection is described in Fig. 3.
The technique of weed detection is implemented on sugar beet plant in this research
work which is combination of textual feature analysis, morphological operation, and
masking of weed. Figure 4 and Table 1 report the results of the proposed research
work. The various implementation phases are represented in below images which
Fig. 4 Implementation phases. First row: the input image. Second row: the denoised image with
the median filter is illustrated, and in last row, the mask image is shown in which green color part
represents the sugar beet plant and red color part as Capsella Bursa-Pastoris weed
Table 1 Performance
Image no. Accuracy (%) Execution time (s)
analysis of accuracy and
execution time 1 91.65 0.22
2 92.64 0.23
3 91.57 0.22
4 93.39 0.22
include the segmentation, median filtering, and masking of input images. The perfor-
mance of the weed detection technique is analyzed in terms of accuracy and execution
time. The MATLAB is tool which is used to perform the simulation. The tool box
of computer vision and neural network is used for the simulation. The accuracy is
calculated with the formula given below
Number of points correctly classified

Accuracy = × 100
Total Number of points
6 Conclusion
In this paper, we introduced a way to deal with limit the human exertion to distinguish
between crop and weed from input field crop images. The KNN classification method
is applied which classify weed and plant from the image. The approach of weed
detection is implemented, and results of the implemented algorithm are analyzed in
terms of accuracy and execution time. After calculating the parameters, we deduced
that KNN is the best technique than linear interpolation [16]. In future, classification
model will be implemented for the weed detection to increase accuracy. The accuracy
for the weed detection is increased up to 8% with the proposed approach.
References
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database. In: 2007 IEEE/SEMI advanced semiconductor manufacturing conference, vol 4, no
3. IEEE, pp 120–140
2. Kumar G, Bhatia PK (2014) A detailed review of feature extraction in image processing
systems. In: 2014 fourth international conference on advanced computing & communication
technologies, vol 14, no 23. IEEE, pp 420–440
3. Everingham YL, Muchow RC, Stone RC, Coomans DH (2003) Using southern oscillation
index phases to forecast sugarcane yields: a case study for Northeastern Australia. Int J Climatol
23(10):1211–1218
4. Wang D, Cai X (2009) Irrigation scheduling—role of weather forecasting and farmers’
behavior. J Water Resources Plan Manag 135(5):364–372. 30(13):620–640
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I, Hoffman SJ, Wilhite DA (2006) Understanding farmers’ forecast use from their beliefs,
values, social norms, and perceived obstacles. J Appl Meteorol Climatol 45(9):1190–1201
6. Vadalia D, Vaity M, Tawate K, Kapse D (2017) Real time soil fertility analyzer and crop
prediction. IRJET 4(3):1290–1310
7. Junior CRG, Gomes PH, Mano LY, de Oliveira RB, de Carvalho ACP de LF, Faiçal BS (2017)
A machine learning-based approach for prediction of plant protection product deposition. In:
2017 Brazilian conference on intelligent systems (BRACIS), vol 24, no 13. IEEE, pp 130–140
8. Nagothu SK (2016) Weather based Smart watering system using soil sensor and GSM. In: 2016
world conference on futuristic trends in research and innovation for social welfare (startup
conclave), vol 28, no 3. IEEE, pp 230–240
9. Veenadhari S, Misra B, Singh CD (2014) Machine learning approach for forecasting crop yield
based on climatic parameters. In: 2014 International Conference on Computer Communication
and Informatics, vol 24, no 13. IEEE, pp 130–140
10. Pulido-Rojas CA, Molina-Villa MA, Solaque-Guzmán LE (2016) Machine vision system for
weed detection using image filtering in vegetables crops. Revista Facultad de Ingeniería,
Universidad de Antioquia 80:124–130
11. Aghighi H, Azadbakht M, Ashourloo D, Shahrabi HS, Radiom S (2018) Machine learning
regression techniques for the silage maize yield prediction using time-series images of Landsat
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prediction of rice yield. In: 2017 international conference on intelligent communication and
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vol 40, no 2. IEEE, pp 420–430
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for fast and accurate crop and weeds detection. In: 2017 IEEE/RSJ international conference on
intelligent robots and systems (IROS), pp 440–460
Analysis of Transition Metal
Dichalcogenide Materials Based
Nanotube
Prateek Kumar, Maneesha Gupta, and Kunwar Singh
Abstract In this work, transition metal dichalcogenide (TMDC) material-based

nanotube is developed and studied. HfO2 and SiO2 are used as the insulating mate-
rial, and various characteristics are compared. Different characteristics measured are
I on /I off ratio, average sub-threshold slope, I d –V gs curve, and total capacitance. After
comparison, MoS2 turned out as most promising material as it provides highest ON
state current but has own set of disadvantages as it has lower sub-threshold slope
and due to less tunneling width MoS2 suffers from poor total capacitance. Due to
reduced sub-threshold slope and higher I on /I off ratio, nanotubes can be considered
as possible candidate to replace field effect transistors in future.
Keywords Two-dimensional materials · Nanotube · I d –V gs characteristics · Total

capacitance · Band-to-band tunneling · Energy band diagram and FET
1 Introduction
Escalation in the short channel effects in Silicon (Si)-based field effect transis-
tors (FETs) has led to the conclusion that their end is in sight [1]. In past few
years, researchers are trying to find solution for setbacks faced by FETs. Due to
ballistic transport properties and small size, single-wall nanotubes can be consid-
ered as promising candidate for post-CMOS applications [2]. Along with aggressive
scaling, more controlled gate operation can be performed on a nanotube [3]. To maxi-
mize the electrostatic gate control, gate-all-around structure is preferred. Therefore, a
nanotube embedded with gate-all-around structure becomes natural choice to replace
P. Kumar · M. Gupta (B) · K. Singh

Department of ECE, NSIT, New Delhi, India
e-mail: maneeshapub@gmail.com
P. Kumar
e-mail: prateek.kumar9890@gmail.com
K. Singh
e-mail: kunwar.research@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_61
682 P. Kumar et al.
FETs [4, 5]. Dai et al. in their work showed a carbon nanotube (CNT)-based FET,
in which CNT was wrapped with dielectric coating in “” shape and the developed
device exhibited better electrostatics [6]. In gate-all-around technology, semicon-
ducting nanotube is completely wrapped by gate metal as well as dielectric. Along
with completely wrapped nanotubes, back-gate electrode technology can also be
used, but to implement it, high thickness gate dielectric is required for its implemen-
tation. To switch on the device with thicker dielectric, higher gate voltage will be
required. Z. Chen et al. for the first time fabricated a gate-all-around CNT-FET, in
which only the middle segment of the channel was wrapped. Segment of the CNT
wrapped with Al2 O3 (dielectric) and WN (gate metal) was kept intrinsic, and doping
is performed on the outer segment [7].
Theoretically, graphene is an ideal material to fabricate nanotubes, but previously
done research shows that graphene-based transistors show poor I on /I off ratio, and it is
due to the fact that graphene exhibits a zero bandgap model which leads to higher OFF
state current making it unsuitable for low power applications [8]. OFF state current
in graphene-based transistor can be resolved with use of high gate metal. Previously
done research shows that work function of graphene is directly proportional to the
work function of gate metal, but this will lead to trade OFF with mobility of charge
carriers [9].
Transition metal dichalcogenides (TMDC) are another form of two-dimensional
(2D) materials which can be used to replace graphene in nanotubes. TMDC materials
exhibit multilayer structure and tunable band gap. TMDC material-based transistors
suffer from poor mobility of charge carrier, but in case of TMDC materials, it can be
increased with use of high dielectric insulator.
In this work, gate-all-around nanotube structure is developed, and for first time,
different TMDC materials like MoS2 , MoSe2 , MoTe2 , WS2 , and WSe2 are embedded
as channel material. All the materials used are in monolayer configuration. First,
different characteristics are studied with SiO2 as insulator, and then, same charac-
teristics are studied with HfO2 . A comparison has been done between all the TMDC
materials.
2 Work Done
In this work, 200 nm long nanotube is used, and radius of nanotube is kept at 35 nm.
Thickness of dielectric material used is 4.5 nm. Different transport parameters used
for simulation are listed in Table 1.
For simulation, Silvaco Atlas 2D is used. TMDC materials are embedded as
channel material, and different characteristics are studied. Basic structure of the
nanotube used is shown in Fig. 1.
Analysis of Transition Metal Dichalcogenide Materials … 683
Table 1 Transport
Parameter Value
parameters of nanotube
P doping 1 × 1010 atoms/cm3
N doping 5 × 1019 atoms/cm3
Channel doping 1 × 1015 atoms/cm3
Gate metal work function 4.2 eV (aluminum)
Fig. 1 Basic structure of

nanotube
3 Results
3.1 Conduction and Valence Band Energy
In Fig. 2, band gap of different material with SiO2 as insulator is shown. In ON
Fig. 2 Band energy of different TMDC materials

684 P. Kumar et al.
Fig. 3 Energy bandgap comparison
state condition, all materials are perfectly aligned, and bandgap is narrowing which
increases the tunneling probability, however, in OFF state condition, bandgap is not
aligned which gives reduced OFF state current.
A comparison of energy bandgap for only MoS2 is depicted in Fig. 3. Remaining
of the materials are not considered because there is very minute change in bandgap
with HfO2 and SiO2 as dielectric.
3.2 Average Sub-threshold Slope (AVss )
AVss of different materials with SiO2 as insulator is given in Table 2.

Sub-threshold slope indicates the switching capabilities of the device, lower the
slope, better is the switching capacity of the device. With SiO2 , MoSe2 shows the
lowest slope, and MoTe2 shows highest. However, if we compare with MOSFET
Table 2 AVSS of different

Material AVss (mV/Dec)
TMDC materials with SiO2
MoS2 31.47
MoSe2 22.5
MoTe2 31.79
WS2 27.7
WSe2 29.1
Table 3 AVSS of different

Material AVss (mV/Dec)
TMDC materials with HfO2
MoS2 23.14
MoSe2 19.71
MoTe2 24.8
WS2 20.6
WSe2 22.1
(60 mV/Dec), then even MoTe2 based nanotube shows better switching capabilities.
Value of sub-threshold slope with HfO2 as insulator is given in Table 3.
HfO2 as insulator has led to decrease in average slope which is because of high
dielectric value of HfO2 as a result inversion layer will form earlier.
3.3 Id –Vgs Characteristic
I d –V gs characteristic of different TMDC materials with SiO2 as insulator is compared

in Fig. 4. MoS2 has best I on /I off ratio due to higher mobility and higher bandgap
(will lead to lower I off ) of MoS2 [10]. Highest I off is for MoTe2 , and it is due to
fact that MoTe2 possesses lowest work function and bandgap between all the TMDC
materials.
I d –V gs characteristic of different TMDC materials with HfO2 as insulator are
shown in Fig. 5. With HfO2 as insulator, slight improvement in current can be seen
Fig. 4 I d –V gs characteristics with SiO2

686 P. Kumar et al.
Fig. 5 I d –V gs characteristics with HfO2
as concluded in previous research indicating that HfO2 is better suited as insulating

material in nano regime [11].
On comparing MoS2 (Fig. 6) for both the cases, it is found that for SiO2 , there
Fig. 6 Comparison of I d –V gs characteristics for MoS2

Table 4 I on /I off ratio

Material HfO2 SiO2
comparison
MoS2 7.5 × 1012 2.23 × 1012
MoSe2 2.52 × 1012 5.7 × 108
MoTe2 1.93 × 108 1.7 × 106
WS2 9.38 × 108 3.57 × 107
WSe2 2.25 × 106 1.38 × 104
is slight reduction in ON state current and increment in OFF state current which
eventually leads to poor I on /I off ratio for SiO2 .
3.4 Ion /Ioff Ratio
Ratio of ON state current to OFF state current for different TMDC materials is
compared in Table 4.
3.5 Total Capacitance
Ratio of total capacitance with SiO2 as insulator is shown in Fig. 7. Total capacitance
Fig. 7 Total capacitance with SiO2

688 P. Kumar et al.
is combination of gate to source capacitance (C gs ) and gate to drain capacitance (C gd ).

Highest total capacitance shown is for MoS2 . It is due to the fact that because of
reduced tunneling barrier in MoS2 gate to drain capacitance increases significantly.
Total capacitance with HfO2 is shown in Fig. 8.
There is significant increase in total capacitance with HfO2 as insulator (Fig. 9).
Fig. 8 Total capacitance with HfO2
Fig. 9 Comparison of total capacitance for MoS2

4 Conclusion
With increase in short channel effects, MOSFETs have struggled in copping up with
required demand of VLSI circuits. Nanotube is an alternative to replace MOSFETs
in future. In this work, TMDC based nanotube is developed and analyzed. Effect of
HfO2 and SiO2 on the characteristics of nanotube is also studied. MoS2 dominates
in Ids as MoS2 has reduced tunneling width as compared to other TMDC materials.
Significant improvement in total capacitance and drain current is noticed with HfO2
as insulator, and it is because of high dielectric effects of HfO2 and better tunneling
probability, respectively.
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Automated CNC Programming
by the Restricted Boltzmann Machine
Algorithm
Neelima and Vivek Chawla
Abstract The computer numerical control (CNC) machine is efficiently used for
the mass production of jobs with high accuracy and precision. The CNC machines
perform the required machining operation according to the machining program devel-
oped by its user. In this paper, a machine learning algorithm namely restricted Boltz-
mann machines algorithm (RBM) and deep belief network (DBN) is used for the auto-
matic development of machining codes for machining operation on a CNC machine.
The DBN is known as unsupervised, layered greedy pre-training. The algorithm
captures the information for the required machining operation to be performed and
thereafter generate different options of machining program automatically on the basis
of the machine intelligence. The MATLAB platform is used to implement the algo-
rithm so as to determine the position and other parameters of machining operations
and generate the machining codes automatically. It is observed that the RBM can
be successfully used for the automatic development of CNC machining programs
for real-time machining of jobs on the CNC machining centers. The automatically
developed machining codes are tested on CNC simulator called CNC TRAIN.
Keywords Artificial intelligence · CNC programming · Machining data ·

Restricted Boltzmann machine
1 Introduction
In day-to-day life, there are certain limitations to dedicate resources for program-
ming of any embedded application. Instead of every time programming, it is always
profitable that the machine learns on its own and develops the programs and yield
solutions automatically according to the user requirements [1–5]. The artificial intelli-
gence (AI) works with machine learning techniques [6–8]. The artificial intelligence-
based machine learning algorithms are observed to evolve as a vital tool for yielding
efficient and accurate solutions for the different day to day real-time industrial issues
Neelima (B) · V. Chawla

Indira Gandhi Delhi Technical University for Women (IGDTUW), Delhi, India
e-mail: neelimasharma28@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_62
692 Neelima and V. Chawla
[9, 10]. With the application of AI-based machine learning algorithm, a machine
receives training and learning with some set of input data, and thereafter, it becomes
capable to propose solutions to the different real-time problems on the basis of its
training and learning.
A computer numeric control (CNC) machine is efficiently used for accurate and
precise machining of jobs. The CNC machine runs on a machining program which
is commonly developed using the G and M codes. The G code represents the motion
codes whether in a linear or circular motion and M codes are miscellaneous codes
generally used for controlling the certain machine tool operations, i.e., coolant on/off,
spindle start/stop. The T, F, S, and D are also used for coding the program in which
these are attributed for machine functions such as tool number, feed, speed, and
cutter diameter offset. Usually, a programmer develops a machining program, i.e.,
set of instructions required to run the CNC machines according to the surface and
dimensional requirement so as to shape and machine different jobs with the desired
standard of accuracy and precision.
The concept of artificial intelligence is quite old but it has gained its popularity
because earlier the amount of data was very small and that data is not enough to
predict the accurate result but now the enormous amount of data is available that can
be handled with advanced algorithms and high computing storage to predict more
accurate results. Like deep learning algorithm which is a subset of machine learning
requires a large amount of data for prediction of output. Prabhu et al. [11] developed
a system to interpret 2D CAD models and to extract the manufacturing features
from the CAD model. Enormous chunk of data is created every second. It is found
that 90% of the data has been generated in the past few years and observed that the
advances in the processing speeds of the computers can actually build a sense about
this collective information more rapidly because of this many applications are fusing
with artificial intelligence. The artificial intelligence is a technique which enables
a machine to act like a human being or in other words artificial intelligence is the
vast field of computer science that gives rise to machine look like they have human
intelligence. The machine with artificial intelligence can learn from the experience;
it just adds their responses based on their every day’s new input by doing human like
the asks. The artificial intelligence can be trained to accomplish the desired task by
processing huge amount of data. In this paper, a new way for the CNC machine to
work through machine learning by using the restricted Boltzmann machine (RBM)
algorithm is presented. RBM is an unsupervised learning algorithm, only use the
inputs for learning, and automatically extract meaningful features for the data.
2 Related Works
In the last few years, it is observed that the concept of automated programming
is developed rapidly. The machine learning algorithm-based approach used for
programming the CNC machine tools is increasing rapidly. Preiss and Kaplansky
[12] proposed a method which was based on writing a machine program for milling
Automated CNC Programming by the Restricted Boltzmann Machine … 693
operation automatically using artificial intelligence techniques. The input was taken
in the form of graphical representation, i.e., CAD models of the part drawing and
user-defined the tool details, type of material, and so on. Fortran 77 programming
language was used to write the part program for 3-axis milling. G code and M code
formats were used to write the part program. The machine program gives the optimal
tool path for part production. After specifying the optimal tool path, the machine
program was embedded in the Machine Intelligence for Numerical Control (MINC)
software structure unit. The entire structure comprises 25,000 lines of coding in
Fortran 77 grouped into files and modules. The written program gives the solution
to the problem of getting the objective state from the initial state by specifying the
machining movements and finally writes the part program.
The used MINC system unit in this study consists of a sequence of programs
DRAW-SOLID-PARAMETERS-TOOLPATH-POST-SIMULATE-SEND. The
draw was the program which was used to input a drawing of the part to be machined.
After that, the program will convert input drawing to a format which was suitable
for the part programming. The solid phase automatically predicts the part geometry
from the input drawing, using values of the Z-axis which was given by the user. The
parameter was used to depict the input data which was entered by the user namely
tool data such as radius, the material used, and required diameter.
Onwubolu and Clerc [13] purposed a methodology for minimizing the best-suited
pathway for automated drilling machining by using particle swarm optimization
(PSO). In order to find the best-suited path to be drilled is modeled by a traveling
salesman problem. Travelling Salesman Problem (TSP) traveled in n number of cities
which were assumed as several holes and with the movement of Travelling Salesman
(TS) in different cities was in contrast with the time taken to move from one hole to
the next. Therefore, the first step was to formulate TSP after that produces the drilling
evaluation matrix. Balic et al. [14] applied the genetic algorithm on CNC turning
operations with intelligent programming. Authors developed a genetic algorithm
(GA)-based programming structure for CNC tool sequences scheduling, selecting
the cutting tools and for optimized cutting. The designed system first recognized the
geometrical features of the part then classify the part. The genetic algorithm found
the cutting parameters and detailed tool sequence planning from the recognized
parameters. Then, GA was applied in the sequence such as reproduction–crossover–
mutation. This research was made specifically for the turning process of the revolving
part. Amaitik and Kiliç [15] developed a featured-based computer-aided process
planning (CAPP) system for prismatic parts with the combined techniques of AI
(neural networks, fuzzy logic, and rule-based techniques). Deb et al. [16] used a back-
propagation neural network-based approach for the selection of CAPP operations for
machining of rotationally symmetrical parts.
Kilickap et al. [17] optimized the drilling variables for surface roughness using
a genetic algorithm and response surface methodology (RSM). The test conditions
comprised of the drilling variables such as feed rate, cutting environment, and cutting
speed. In the first step, a predictive mathematical model of the surface roughness was
formulated by using the response surface methodology (RSM). It was observed that
the response surface methodology defines the limits to get the best results from the
model. The Box–Behnken design was used with response surface methodology to
get the desired experimental value. Tsagaris et al. [18] purposed an intelligent CAD-
based system for CNC machine which was controlled by using a genetic algorithm.
The features of the part were recognized and drawn from the CAD drawing. It was
observed that the time taken by the tool for its movement during the cutting process
was reduced. The proposed model considered some critical cutting process variables
so as to analyze the critical cutting forces. The programming language in visual C++
environment was used to recognize the part features and extracting them. The detailed
data was considered from the CAD software by using a DFX file. Thereafter, the
genetic algorithm is used for calculating the optimum path. Tiwari [19] used a multi-
objective genetic algorithm (MOGA) and analysis of variance (ANOVA) to optimize
the drilling variables by using the genetic algorithm for the drilling operation. The
genetic algorithm was used to determine the impact of drilling variables like speed,
the diameter of the drill, the thickness of the material, and feed rate on force and
torque produced during the drilling of mild steel work part. The author found that the
correlation between drilling variables, thrust force and torque produced by making
use of multiple clustering models. The author performed a sensitivity examination
to determine the modification in the output which comes out from making changes
in the variables of the GA model. The sensitivity examination determines how the
output and decision variables change with the changes in the weight of the objective
functions. It was observed that the solutions of an aggregating scheme were affected
by altering the value of weight. Therefore, if the weights were not properly assigned,
the GA possibly not yields the good quality of results. Hence, the proposed method
was not responsive to weight, so the assignment of inaccurate weights assignment
did not affect the outcome of MOGA. Authors used ANOVA for testing the purpose
of the validation and significance of the empirical correlation. Klancnik et al. [20]
research found to be based on the automatic generation of codes for CNC milling
operation. Authors implemented the proposed algorithm on the MATLAB application
which was further developed by evaluating and analyzing the geometric information
of the job. It was observed that the developed algorithm can shortly generate and
simulate the cutting profile of the part. Chitsaart et al. [21] used the particle swarm
optimization (PSO) algorithm for automatic programming of CNC milling operation.
The CAD model of a workpiece was used as an input to the proposed algorithm. The
MATLAB software was used for converting, calculating, and writing G codes for
CNC milling process. The sequence of steps used in MATLAB was input parameters
for calculating the data and converting the data.
Borkar et al. [22] described the automatically CNC part programming for through-
hole drilling from STEP data files. Authors created a model by using CAD software.
The geometrical information of the part created using CAD was converted into a
STEP file. Xu et al. [23] Extraction of data from the STEP file was carried out by
the program so as to extract the geometrical information of the part, and thereafter,
NC codes were generated from the extracted information. The parts were manufac-
tured by using generated NC codes, and finished parts were inspected by using a
coordinate measuring machine (CMM). The results were then compared with the
reference data which was extracted from the STEP data file. Sunil and Pande [24]
automatically recognized the features such as louvers, dimples, dents, holes, bends,
darts, and beads occurred on automotive sheet metal panels. Vankanti and Ganta [25]
research were based on the optimization of drilling parameters of glass fiber rein-
forced polymer composite by using the Taguchi design of experiments. The drilling
variables like feed rate, cutting speed, point angle, and chisel edge width of glass
fiber reinforced polymer composition were optimized by using the Taguchi design of
experiments. ANOVA method was used to determine the effect of torque and force
on the drilling variables like feed rate, speed of cutting, point angle, and width of
chisel edge. Initially, the Taguchi experimental technique was used in the following
sequence: Determine the optimized variable-identify the test conditions and noise
factors-identify the control factors-define the data for analysis-design the experi-
mental matrix-conduct the matrix experimentation-analyze the facts and determine
the optimum value of control variables-performance prediction. In the second step
selection of drilling, variables were taking place. Finally, ANOVA was applied to
determine the similarity between the chunk of data and identification of important
variables and their effect on other variables for the different characteristics. Abidin
et al. [26] reviewed path optimization for drilling operation (objective function,
drilling application, optimization algorithm) using soft computing approaches.
Kuang et al. [27] reviewed the algorithms used in deep learning and presented
various deep learning models namely, convolution neural network (CNN). Authors
explained it as a multilayer neural network structure which can be used for recogni-
tion of handwritten characters, image processing, and speech recognition. The CNN
training algorithm was divided into forwarding and backward propagation stages.
Another model of deep learning is deep belief network DBN, which can be explained
as in the form of acyclic graph consists of several random variables and it was based
on layer symmetry. Another type of deep learning model is DAE, deep auto-encoder
used for the complex part with unsupervised training. Wu and Chen [28] conduct
research on the deep learning algorithm and authors implemented it on the recog-
nition of handwritten character. Klancnik et al. [29] describe the programming of
the CNC milling tool using artificial intelligence. In their work, it was observed that
the user needs to upload the CAD model of the desired product. Authors used the
NSGA-II algorithm for multi-objective optimization. The proposed model comprised
of a prediction and evaluation module. In the last step, the best solution in the post-
processing module was transformed into a form suiting the machine tool control.
Balavignesh et al. [30] worked on machine learning and the CNC machine through a
hardware model. Authors developed a hardware model with a working principle on
the basis of mechanical contact in the form of the zeros and ones. It was observed that
during the contact position, the pulse generator generates the pulse of 1 and when
there was no contact, the pulse generator generated the pulse of 0. Rao et al. [31]
developed the automated NC part program for 2D drawing part for turning operation
by using a feature recognition algorithm. Zhou et al. [32] had given an application
of object detection with the deep learning algorithm Regions with Convolutional
Neural Network (R-CNN).
Duda and Pobozniak [33] studied the structural design of the CNC machine tool
programming system which was based on the identification of manufacturing features
and recognition of intermediary stages of the workpiece. Authors described the auto-
matic methods used for CNC programming which consists of manufacturing infor-
mation and others were recognition of the manufacturing feature. The graph-based
algorithms, volumetric decomposition techniques, and boundary representation were
the most widely used methods for recognition of intermediary stages of the work-
piece. Authors found the procedure for manufacturing process planning and executed
that in the predefined sequence of steps. In the initial stage, the selection was carried
out on the basis of geometrical features of the product and the manufacturing process.
In the next stage, feature selection and advancement were performed, and in the last
stage, documentation was carried out.
From the literature review, it is evident that the application of artificial intelli-
gence techniques has been used for the development of automatic CNC machining
programs. It is observed that the genetic algorithm and other artificial intelligence
techniques are extensively used but the application of restricted Boltzmann machine
(RBM) algorithm for machine learning is not found in the literature also no signifi-
cant research work is observed for the development of automatic CNC programme
for the real-time machining of workpieces by using the RBM algorithm. In view of
the above, a research gap to use RBM algorithm for automatic CNC programming
is clearly established. Therefore, in this paper, the artificial intelligence technique
namely RBM is used so as to develop different automatic CNC machining program
options for different size of workpieces. And thereafter the best CNC machining
program is to be selected by the user on the basis of real-time manufacturing scenario.
3 Methodology
3.1 Restricted Boltzmann Machines and Deep Belief Network
The RBM is one of the deep learning algorithms which are used for classification,
feature extraction, to reduce dimension, feature selection, and regression. RBM algo-
rithm works in two biases. The first bias is the hidden layer bias which helps the RBM
to produce the activation function in the forward bias. The second bias is the visible
layer bias which helps the RBM for reconstruction in the backward bias.
RBM is an undirected graphical model with the energy function and converts it into
probability distribution by taking the exponent of the negative energy and normalize
it. Larochelle et al. [34] RBM defines the distribution over S (visible layer) which
get involves some latent variables (hidden layer), to get the distribution first defines
an energy function.
E n (x, y) = −y T Gx − d T x − b T y (1)

En = − G j,k y j xk − dk xk − bj yj (2)
j k k j
where E n is the energy function. x and y are the binary units of visible layer and
hidden layer d and b are the biases in the visible and hidden layers.
Probability distribution
p(x, y) = exp(−E n (x, y))/Q (3)

p(y|x) = p(y j |x) (4)
j
1
p(y j = 1|x) = (5)
1 + exp(−(b j + G j · x))
= λ(b j + G j .x) (6)

p(x|y) = p(xk |y) (7)
k
1
p(xk = 1|y) = (8)
1 + exp(−(dk + y T G.k ))
= λ(dk + y T G.k ) (9)

p(x) = p(x, y) = exp(E n (x, y))/Q (10)
yε{0,1}Y yε{0,1}Y
⎛ ⎞

Y

= exp⎝d T x + log 1 + exp b j + G j .x ⎠ (11)
j=1
= exp(−F(x))/Q (12)
Xiaowei Guo et al. [35] performed training of two layers of the DBN at a time.
The two layers of DBN are considered as RBM. In the complete network of RBM,
the hidden layer of an RBM performs the function of the input layer to the adjacent
one. By this, initially, the training of RBM is performed and thereafter the output
of initial layer is used for training as an input for next layer of RBM, the steps are
repeated till the final output layer is yield. After completion of the training process,
the DBN becomes capable in recognizing the inherent patterns within the data.
Visible layer Hidden layer
S1
G +b =f
S2
G +b=f
S – Input
G – Weight
G +b=f F – Activation Function
Sn
Fig. 1 Working of the RBM
Stochastic gradient descent.

∂ − log p x (t) ∂ E x (t) , y (t) ∂ E(x, y)
= Ey |x − E x,y (13)
∂θ ∂θ ∂θ
3.2 Working of Restricted Boltzmann Machines
The input layer picks up the input signals and passes to the next layer and names the
inputs as S 1 , S 2 , …, S n . The next layer is the hidden layer which performs all kinds
of calculations and feature extraction task. The last layer is the output layer which
delivers the final result (Fig. 1).
In order to make a decision whether a neuron fires or not the weights namely G1 ,
G2 ,…, Gn is multiplied with the input features S 1 , S 2 , …, S n . The weights between
the two layers (visible layer and hidden layer) will always form a matrix where the
columns are equal to the output nodes and the rows are equal to the input nodes. The
main task is to predict and categorize the data point on the basis of a set of input
variables. The sum of the products of input values and the weights are again added
to the bias and the result is passed through the activation algorithm which produces
one output for each hidden node (Fig. 2).
3.3 Equations Involved in the Training
The two main training steps are:

1. Gibbs sampling
2. Contrastive divergence step
Start
Parameter ini aliza ons
Layer = 1
RBM trained using RBM learning rule
Save representaƟons of RBM

Layer = Layer+1
If r<= number
Classifica on: supervised
Fine-tuned parameters
End
Fig. 2 Flowchart of the RBM for the training of the DBN
Gibbs Sampling
The first part of the training is called Gibbs sampling. An input vector V, use p(H|V )
for predicting the hidden values of H. After knowing the hidden values, the p(V|H)
is used for predicting the new input values of V using Eqs. (14) and (15).
1
p(Vi = 1|h) = = θ ( fi + Hi G i j ) (14)
1+ e(−( fi +G i H j ))
Repeat the process for the k number of iterations and obtained the input vector
VK.
1
p(Hi = 1|V ) = = σ (b j + Vi G i j ) (15)
1 + e(−(b j +G j Vi ))
where V = Input vector, H = Hidden values.
Contrastive Divergence step

The revision of the weight matrix (G) is carried out during the contrastive divergence
step. Agarwalla et al. [36] in the contrastive divergence step, the values of V 0 and V k
are used to compute the probabilities for the hidden values of H 0 and H k by using
Eqs. (16) and (17)
1
p(Vi = 1|H ) = = θ ( fi + Hi G i j ) (16)
1 + e(−( fi +G i H j ))
Revised weight equation:
G = V0 ⊗ P(H0 |V0 ) − VK ⊗ P(HK |VK ) − VK ) (17)
The new weights can be calculated with gradient by using Eq. (18):
G new = G old + G (18)
4 Application
RBM can extract important features to reconstructs the inputs. RBM with DBN is
a solution for vanishing gradient problem. The time required for training is reduced
with DBN. The high performance of GPUs finishes the training task within a week.
GPUs are major and powerful tools required for training purpose. One of the impor-
tant roles of the DBN is that each RBM layer learns the entire input and the stack of
RBMs work as a single unit. DBN requires small labeled data set which is necessary
for real-time applications. The results of RBMs with DBN found very accurate as
compared to other techniques.
The methodology for the proposed work is to design and develop an algorithm
so as to determine the position, dimensions of the surface to be machined and also
to determine the tool path of the machine by using the machine learning algorithm.
The feed rate, cutting speed, and other dimensions, i.e. diameter, depth of the hole
are considered as some of the significant parameters. The minimum dimension of
the workpiece considered to be 100 × 100 × 10 mm and the maximum size of the
workpiece can be of 1500 × 1500 × 100 mm with the drilling tool of 4–20 mm
diameter. The maximum spindle speed is considered to be 2000 rpm. For the gener-
ated program, the coordinate is measured from the lower left corner with a clearance
of 2 mm in the cutting passes (Fig. 3).
Steps involved in the development of automatic CNC machining program are as
follows:
1. Generation of the CAD model.
2. Processing the CAD files.
3. Extraction of data from the CAD file.
Input CAD drawing files
Preprocessing CAD files
Prepare the training and

tesƟng data
Training dataset Testing dataset
Data Label
Training
DBN Processing Testing
Trained DBN
Fine tuning of
Labels Generates the G-Codes
No
Yes
Is training
done?
Fig. 3 Flow chart for the automatic CNC programming

4. Using DBN along with RBM to train the data set so as to find the exact position
for machining operation.
5. Development and running the machine learning algorithm in the MATLAB.
6. Development of CNC program.
7. Run the generated file using CNC simulator.
5 Results
The CAD model as shown in Fig. 4 is given as input to the algorithm. In the CAD
model, holes are to be machined by the CNC machining operation. The algorithm
has to find the position of holes that to be machined and yield an automatic CNC
machining program for the workpiece by simulation using MATLAB application.
The CAD model is created in the AUTOCAD application which is further exported
to DXF files. This DXF file is imported wherein features of the CAD model are
recognized by the algorithm iteration in the MATLAB application.
The DXF files are trained with DBN in MATLAB application, and after that, the
CNC machining program is developed automatically for the imported CAD file. The
Fig. 4 CAD model

performance and estimated time required for the automatic development of CNC
machining program in the MATLAB application is shown in Figs. 5 and 6 for each
execution.
The training accuracy with DBN is observed to be 99.967. The automatically
developed CNC program is shown in Fig. 7. The graphical representation of training
state, training performance graph, and training parameter is portrayed in Figs. 8, 9,
and 10, respectively.
Epoch number, performance, and remaining RBM training time are calculated for
each and every execution of code. Whenever the DBN training gets completed, it
generates the G code for the corresponding .dxf file. The results are compared with
the reference data extracted from the .dxf file.
Fig. 5 Screenshots of execution of code in MATLAB
Fig. 6 Screenshots of execution of code in MATLAB

Fig. 7 Automatic CNC machining program for the CAD model
Fig. 8 Graphical representation of training state
6 Conclusions
In this paper, a new method for automatic CNC programming for machining of
jobs by using RBM algorithm and DBN is presented. The proposed methodology
Fig. 9 Training performance graph
develops an automatic CNC program for machining of different workpieces on highly

précised and accurate CNC machines. The MATLAB application is used for the
implementation of the developed algorithm so as to determine the position and other
parameters of machining of holes in the given CAD data of the workpiece. The
deep belief neural network along with RBM algorithm is used to train the data
and generation of the codes for the machining operations. The training accuracy
with DBN is found to be 99.96% as also illustrated by the error histogram and
training performance graph in Fig. 11. The results are validated by comparing it
with data extracted from the CAD data. Future research work can be extended to
use different machine learning algorithms for the development of automatic CNC
programs for different machining centers and compare their performances under
different experimental conditions.
Fig. 10 Training parameter

Fig. 11 Error histogram and training performance graph
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Single Pass Wavy Channel Heat
Exchanger for Thermal Management
of Electric Vehicle Battery
Pack—A Numerical Study
Babu Rao Ponangi, Pramath H. Srikanth, and Pratyush V. Heblikar
Abstract This work involves the thermal management of 18650 Li-ion battery pack
using a single pass wavy channel heat exchanger, where the cells are arranged in a
staggered manner. Effect of various parameters like discharge of the battery, flow rate
of the coolant across the channels and coolant inlet temperature, on the temperature
of the battery pack and the pressure drop across the wavy channels is analyzed.
Results show that at a higher C-rate, a higher coolant inlet temperature, and a lower
flow rate of coolant, it resulted in higher overall temperatures of the battery pack. It
was found that the pumping power required to drive the coolant across the channels
decreased as the inlet coolant temperature was increased and as the flow rate of the
coolant decreased.
Keywords Thermal management · Wavy channel heat exchanger · Li-ion 18650

battery pack · Single pass heat exchanger · Active cooling
1 Introduction
Li-ion battery packs are used in electric vehicles as the main power source, of which
18650 Li-ion cells are the most widely used. The thermal management of these
battery packs is a major challenge as battery packs and cooling techniques account
for a major share of the costs involved in the production of these vehicles. Kim
et al. [1] studied the effect of temperature on the performance and life span of Li-ion
battery and the need for an effective cooling system. Various thermal management
techniques were classified into battery thermal management system, with a vapor
compression cycle that included cabin air cooling, second loop liquid cooling, and
direct refrigerant two-phase cooling. Pesaran et al. [2] reviewed issues and associated
solutions for battery thermal management and information needed for its proper
design. They made comparisons between active cooling and passive cooling, liquid
B. R. Ponangi (B) · P. H. Srikanth · P. V. Heblikar

Department of Mechanical Engineering, PES University, 100 Feet Ring Road, BSK III Stage,
Bangalore, Karnataka 560085, India
e-mail: baburaoponangi@pes.edu

https://doi.org/10.1007/978-981-15-5463-6_63
712 B. R. Ponangi et al.
cooling and air cooling. Han et al. [3] described the fundamental differences between
air cooling and liquid cooling applications in terms of basic flow and heat transfer
parameters for Li-ion battery packs in terms of inlet temperature difference. Saw
et al. [4] found that the temperature of the cells needed to be maintained within
its optimum operating temperature range to achieve maximum performance, safety,
and feasibility under various operating conditions. Performance of electric vehicles
was dependent on battery pack and operating temperature of the cells, was what
they found. The cells need to be operated within 25–45 °C, to achieve this cooling,
where liquid cooling system is effective, is what they concluded. Chowdhury et al.
[5] studied the effects of weather, drive range, and limited battery life of electric
vehicles (Fiat 200e). A refrigeration loop with coolant network was used to serve
three functions, heating and/or cooling of traction components, heating and cooling
of cabin and waste energy harvesting. The performance of electric vehicle is found
to be sensitive to operating temperature of the battery pack [6]. The temperature of
the battery pack largely depends on local heat generation, thermal resistance, current
distribution [7], internal resistance of the cell, the chemistry of the cell [8], and
current drawn from the battery. Battery degradation strongly depends on temperature
and effective thermal management strategies, which is necessary to extend battery
life [9]. Panchal et al. [10] elaborated on both electric and thermal performances
of Li-ion battery packs in real-life drive cycles, on 3 Li-ion battery packs with 20
battery modules in each pack. They implemented artificial neural network (ANN)
to develop the battery model and carried out validation in terms of voltage, state of
charge, and temperature profiles. Bharadwaj et al. [11], in their final year B.E Thesis,
did an analysis on thermal management of Li-ion battery packs varying the C-rate,
SOC for different thermal management solutions which included air cooling, liquid
cooling where it was found that liquid cooling produced optimum results. In order
to maintain optimum pack temperature, various thermal management solutions such
as ammonia boiling-based thermal management [12], phase change material (PCM)
are employed [13–15] as well as other methods like air cooling, liquid cooling, and
heat dissipation through heat pipes [16].
It was found that the current drawn by electric vehicles is not constant and varies
with the drive cycle used by the manufacturer and with varying current drawn, the
temperature of the battery pack is also not constant. The best cooling techniques
have been discussed, but optimization of the cooling technique has not been done.
Although liquid cooling has been explored by researchers, a thermal management
solution using a single pass wavy channel heat exchanger has not been explored.
This report considers various boundary conditions that simulate the real-life condi-
tions while implementing a single pass wavy channel heat exchanger, with different
coolant flow arrangements, for a battery pack in Tesla Model S and compares the
results obtained.
Single Pass Wavy-Channel Heat Exchanger for Thermal Management … 713
2 Methodology
Thermal management of Li-Ion batteries is necessary for safe and effective use in
automotive industry. The car chosen for the study was Tesla Model S which uses
Panasonic NCR18650B which had a capacity of 3200 mAh and nominal voltage of
3.6 V. Battery power rating was calculated to be 11.52 Wh. The pack was designed
to have a 14s5p arrangement, with the nominal voltage of the pack to be 50.4 V [17].
The same pack was modeled using SOLIDWORKS 2018® and was imported
into ANSYS FLUENT 19.2® . The battery pack was subjected to various boundary
conditions to check for the heat dissipation. A wavy channel heat exchanger, made
of Copper, was modeled for the batteries arranged in staggered formation, through
which active cooling was carried out with the help of liquid water used as coolant.
The results for the different cases were compared.
The C-rate of the batteries was varied from 0.25 to 1 in steps of 0.25 and from 1
to 6 in steps of 1. The inlet temperature of the coolant fluid, water in this case, was
varied from 15 to 45 °C in steps of 10 °C. The coolant flow rate was made to vary
from 1 LPM to 5 LPM in steps of 1 LPM. The battery pack was subjected to these
conditions of the wavy channel heat exchanger.
2.1 Geometric Modeling
Figure 1 is the model of the wavy channel heat exchanger with five columns of cells.
Fig. 1 Meshed model of the battery pack with wavy channel heat exchanger
Each cell was of 18 mm diameter and 65 mm height. The distance between each cell
diagonally was 3 mm. A wavy channel heat exchanger was modeled such that the
material thickness was 0.5 mm, with the material being copper. The wavy channel
was modeled in such a way that each cell was enclosed by it from both sides. The
wavy channel was equidistant from both the top and bottom face of the cells.
For the model, the height of the wavy channel was 45 mm and the normal surface
area of the coolant, which was water in this case, was 44 mm × 2 mm. The model
was subjected to the coolant entering all the channels from one side and the outlet
for the coolant on the other side.
2.2 Boundary Conditions
The cells were subjected to an internal heat generation of 1 W per cell. Given that
the dimensions of the cell were 18 mm diameter and 65 mm height (Tables 1 and 2),
Internal Heat Generation = 1/volume of the cell in W/m3 = 60,457 W/m3 .
Table 1 Material properties

S. No. Material properties Value
1 Cell density 3000 kg/m3
2 Specific heat of cell 850 J/kg K
3 Thermal conductivity of cell 5.8 W/m K
4 Density of copper 8978 kg/m3
5 Specific heat of copper 381 J/kg K
6 Thermal conductivity of copper 387.6 W/m K
Table 2 Boundary conditions

S. No. Parameter Value
1 Internal heat generation of cell 48,536 W/m3 at C-rate of 1
2 Heat transfer coefficient of air 3 W/m2 K
3 Free stream temperature 15, 25, 35, 45 °C
4 Inlet temperature of coolant 15, 25, 35, 45 °C
5 Flow rate of coolant 1 LPM, 2 LPM, 3 LPM, 4 LPM, 5 LPM
6 Density of water 999.1 kg/m3 at 15 °C 990.22 kg/m3 at 45 °C
7 Specific heat of water 4189 J kg−1 K−1 at 15 °C
4179 J kg−1 K−1 at 45 °C
8 Thermal conductivity of water 0.589 W m−1 K−1 at 15 °C
0.637 W m−1 K−1 at 45 °C
9 Dynamic viscosity of water 0.001138 Pa s at 15 °C
0.000596 Pa s at 45 °C
Current, I was 3.2 A and Resistance, R was 0.056 [15], for a C-rate of 1. With
the major and minor losses combined and the minor loss taken as 40% of major loss,
the heat generated was calculated in watts as
Q = I2R (1)
Therefore, Q = 0.802816 W. It was known that current and C-rate were directly
proportional. Hence, for different values of C-rate, the current value varied, thereby
changing the value of the heat generated. Given the dimensions of the cells being
18 mm diameter and 65 mm height,
Internal Heat Generation = Q/volume of the cell. Therefore, Internal Heat
Generation = 48,536 W/m3 .
3.1 Results for the Wavy Channel Heat Exchanger Model
Contours for the Wavy Channel Heat Exchanger Model Figure 2 shows the
temperature distribution in the battery pack, where the maximum temperature was
found to be 15.18 °C and minimum temperature was found to be 15 °C, when it
Fig. 2 Temperature distribution of battery pack with 0.25 C-rate, 1 LPM flow rate of coolant, 15 °C
inlet coolant temperature
was subjected to active cooling with the help of the wavy channel heat exchanger,
at 15 °C inlet coolant temperature, 1 LPM flow rate of the coolant and cells at 0.25
C-rate.
Figure 3 shows the temperature distribution in the battery pack when it was
subjected to active cooling with the help of the wavy channel heat exchanger, at
45 °C inlet coolant temperature, 5 LPM flow rate of the coolant and cells at 6 C-rate.
The maximum temperature was found to be 98.52 °C and the minimum temperature
was 45 °C. It was found that the cells at the center near the outlet of the coolant had
a greater temperature as compared to the cells near the inlet of the coolant.
Figure 4 shows the pressure drop across the coolant from inlet to outlet in the
battery pack, when it was subjected to active cooling with the help of the wavy
channel heat exchanger, at 15 °C inlet coolant temperature, 1 LPM flow rate of the
coolant and cells at 0.25 C-rate. The maximum pressure was at coolant inlet, with a
pressure of 54.67 Pa whereas it was set to 0 Pa at the outlet of the coolant; hence, it
was lowest there.
Figure 5 shows the pressure drop across the coolant from inlet to outlet in the
battery pack, when it was subjected to active cooling with the help of the wavy
channel heat exchanger, at 45 °C inlet coolant temperature, 5 LPM flow rate of the
coolant and cells at 6 C-rate. The maximum pressure was at coolant inlet, where it
Fig. 3 Temperature distribution of battery pack with 6 C-rate, 5 LPM flow rate of coolant, 45 °C
inlet coolant temperature
Fig. 4 Pressure distribution for coolant at 0.25 C-rate, 1 LPM flow rate of coolant, 15 °C inlet
coolant temperature
Fig. 5 Pressure distribution of 6 C-rate, 5 LPM flow rate of coolant, 45 °C inlet coolant temperature
Fig. 6 Effect of C-rate on maximum and minimum temperature cell temperatures of the battery
pack at inlet coolant temperature of 15 °C
was 204.72 Pa, whereas it was set to 0 Pa at the outlet of the coolant, hence it was
lowest there.
Effect of C-rate on Maximum and Minimum Temperatures of the Battery Pack

at different Inlet Coolant Temperatures On plotting a graph of maximum temper-
ature and minimum temperature in the battery pack against C-rate of the batteries,
for different coolant flow rates at a given inlet coolant temperature, a lot of results
were obtained. From Figs. 6, 7, 8, and 9, it was noted that both the maximum and
minimum temperatures in the battery pack increased as the C-rate was increased, for
a given flow rate and inlet coolant temperature.
It was also found that the maximum and minimum temperatures in the battery
pack reduced as the flow rate of the coolant was increased, for a given C-rate and
inlet coolant temperature.
Finally, it was noted that, as the inlet coolant temperature increased, the maximum
and minimum temperatures in the battery pack also increased, at a given C-rate and
flow rate.
Figure 6 shows the variation of battery pack temperature with C-rate. At C-rate
of 0.25, both the maximum temperature (15.142 °C) and the minimum temperature
(15.0084 °C) were nearly the same, for all flow rates. At a C-rate of 6, both the
maximum and minimum temperatures in the battery pack varied with coolant flow
rate. At 1 LPM, maximum battery pack temperature was 96.215 °C, and at 5 LPM, the
maximum battery pack temperature was 69.114 °C. Similarly, the minimum battery
pack temperature at 1 LPM was 21.1488 °C, and at 5 LPM, the minimum battery
pack temperature was found to be 19.8644 °C.
Figure 7 shows the variation of battery pack temperature with C-rate. At a C-rate
rate. At 1 LPM, maximum battery pack temperature was 106.149 °C, and at 5 LPM,
the maximum battery pack temperature was 78.935 °C. Similarly, the minimum
battery pack temperature at 1 LPM was 31.0677 °C, and at 5 LPM, the minimum
battery pack temperature was found to be 29.8031 °C.
rate. At 1 LPM, maximum battery pack temperature was 116.115 °C, and at 5 LPM,
rate. At 1 LPM, maximum battery pack temperature was 126.115 °C and at 5 LPM,
3.2 Effect of Flow Rate on Pumping Power
On plotting a graph of pumping power required against the flow rate of the coolant,
for different inlet coolant temperatures, a few conclusions could be drawn.
From Fig. 10, it can be concluded that the pumping power required for the coolant
increases as the flow rate is increased.
At a flow rate of 1 LPM and inlet coolant temperature of 15 °C, the pumping
power needed was 0.91 mW. Similarly, at 45 °C, the pumping power needed was
0.49 mW. At a higher flow rate of 5 LPM and inlet coolant temperature of 15 °C,
the pumping power needed was 5.34 mW. Similarly, at 45 °C, the pumping power
needed was 3.42 mW.
Fig. 10 Pumping power versus flow rate

4 Conclusions
From the above results, the major inference that can be drawn is that the maximum
temperature in a battery pack and the minimum temperature in a battery pack increase
as the C-rate of the battery is increased, coolant flow rate is decreased, and inlet
coolant temperature is increased.
A further conclusion that can be made is that the pressure drop across the coolant
increases as the flow rate increases. Therefore, the pumping power required for the
flow of the coolant also increases as the flow rate increases.
It was also found that the pumping power required to drive the coolant across the
channels decreased as the inlet coolant temperature was increased.
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Comparative Microstructural
Investigation of Aluminium Silicon
Carbide–Mg and Aluminium Boron
Carbide–Mg Particulate Metal Matrix
Composite Fabricated by Stir Casting
Paridhi Malhotra, R. K. Tyagi, Nishant K. Singh,

and Basant Singh Sikarwar
Abstract Teh primary objective of teh present work is to compare different

properties of reinforced Al7075. Boron carbide and silicon carbide (available in
powder form) were mixed to teh alloy in different percentages to check their TEMP-
effect along wif magnesium present in powdered form. Boron carbide (also non as
black diamond) was selected as it is highly robust and TEMPhas good shielding
properties against neutrons, me.e., it absorbs them well. It can stabilize teh ionizing
radiations and is teh third hardest non substance after diamond and cubic boron
nitride. Silicon carbide was selected as it TEMPhas high strength and hardness wif
good wear resistance properties. Magnesium is selected because it is teh lightest of
all teh metals and TEMPhas good heat dissipation and good damping capacity. Alloy
is lightweight and TEMPhas main applications in aircraft industry, automotive parts,
and defence applications. Graphite crucible was preheated (to remove teh moisture)
to a temperature of 200–300 °C and tan stir casted using stir casting set up. Samples
were tan poured in die and tan allowed to cool down. Samples were tan collected from
die and after dat mechanical properties were tested (tensile test and hardness test).
SEM/EDS and XRD analyses were conducted to briefly study teh microstructure and
phase of teh samples prepared.
Keywords Aluminum metal matrix composite · Stir casting · Reinforcement ·

Particulate
P. Malhotra (B)
Amity University, Noida, Uttar Pradesh 201313, India
e-mail: paridhimalhotra87@gmail.com
R. K. Tyagi · B. S. Sikarwar
Department of Mechanical Engineering, Amity University, Noida, Uttar Pradesh 201313, India
N. K. Singh
Department of Mechanical Engineering, Hindustan College of Science and Technology, Mathura,
India

https://doi.org/10.1007/978-981-15-5463-6_64
726 P. Malhotra et al.
1 Introduction
Excellent mechanical and tribological properties make Aluminium metal matrix

composite (AMMC) operated in various engineering applications fulfilling teh
growing needs of industrial requirements. Aluminium is one of teh most commonly
used metal matrix as it has low specific gravity compared to teh other metals and
is readily available in various alloy forms. For improvising teh properties of mate-
rials various reinforcement materials are added such as SiC, B4 C, Al2 O3, etc. Teh
reinforcement is supported and surrounded by teh matrix material preserving its rela-
tive motion [1]. Teh reinforcement is present in various forms such as particulates,
whiskers, and fibres [2]. In the modern era, more than one reinforcement is added to
obtain good properties of MMC. For fundamental and practical reasons, aluminium
composites have gained enormous attention. [3, 4] Evaluated that by enriching teh
reinforcement amount teh impact energy of teh composites also increases. In compar-
ison to single reinforced composites, composites wif more TEMPthan one rein-
forcement has better properties as they integrate teh advantages of their constituent
reinforcements [5]. Teh various grades of aluminium make it such a matrix which
retrieves teh huge type of nanoparticles by various methods and form metal matrix
coalesce [6]. Teh hybrid composites offer greater compressive strength TEMPthan
teh single massive alloy coz of teh inclusion of teh reinforcement particles which are
rigid in teh matrix alloy.
Zinc is one of teh major alloying elements present in teh metal matrix alloy of
Al7075. [7] Is an alloy having maximum strength nearly good fatigue strength and
relatively less resistance to corrosion. [8] Perceived that teh wear resistance increases
notably by enhancing teh wt% of boron carbide. All these properties can be improved
by adding reinforcement of various particles. Teh major advantage of MMC’s is its
ability to be acclimated. Out of teh numerous manufacturing methods stir casting for
manufacturing metal matrix composites is one of teh least expensive and commonly
used processes. Teh cost of teh stir casting process is one third as compared to other
manufacturing processes [9]. The present study aimed at evaluating the metal matrix
alloy of Al–SiC–Mg and Al–B4 C–Mg containing (5, 10wt%) of SiC and B4 C and 1
wt% of Mg keeping all other parameters constant prepared using the process of stir
casting, Mechanical properties such as hardness, tensile strength, and microstructure
using SEM images are analyzed. Present study aimed at producing wear-resistant
products using ultra-fine particulates and reducing the production cost.
Comparative Microstructural Investigation of Aluminium Silicon … 727
2 Experimental Work
2.1 Material
Aluminium alloy 7075 is selected as matrix material as it possesses high strength,

high toughness and it is preferable in many engineering sectors. When these compos-
ites are reinforced wif ceramic particles they are preferred for elevated temperature
applications.
Silicon carbide particulate of mean size of 29.2 microns and boron carbide is
opted as reinforcement for teh alloy. Teh wt% of reinforcement of SiC and B4C
wif metal matrix phase is 0, 5, 10. SiC particulate is heated beforehand at 800 °C
for 2 h to refine teh wet ability by abolishing teh absorbed hydroxide and other
gasses. Teh furnace temperature is raised to a temperature of about 1100 °C to
liquefy teh matrix completely. Magnesium is included to enhance teh wet ability.
Mechanical stirring was achieved for 30 min at 350 rpm average stirring speed. Teh
uniformity of teh composite is majorly affected by teh position of teh stirrer [10].
Teh specimen’s dimensions are 125 mm in length and 18 mm in diameter. Table 1
shows teh chemical composition of teh aluminium alloy 7075. Table 2 represents teh
properties of reinforcement.
Compositions of mixtures of each composite formed are as follows
1. Al7075 (100%) SiC (0%) Mg (0%)
2. Al7075–SiC (5%)–Mg (1%)
3. Al7075–SiC (10%)–Mg (1%)
4. Al7075–B4 C (5%)–Mg (1%)
5. Al7075–B4 C (10%)–Mg (1%).
Table 1 Teh chemical composition of Al7075

Elements Zn Cu Mn Mg Fe Cr Ti Si Al
Weight% 5.4 1.42 0.12 2.42 0.42 0.21 0.11 0.13 Remaining
Table 2 Teh properties of teh

Properties SiC B4 C
reinforcements
Density (g/cm3 ) 3.21 2.52
Elastic modulus (GPa) 430 450
Hardness 2480 2800
Compressive strength (MPa) 2800 3000
Thermal conductivity (W/mK) 132 29
Sp. Thermal conductivity 41.1 11.5
2.2 Mechanical Properties Evaluation
Teh proposed AL7075 + SiC/B4 C + Mg MMC was produced by a modified stir

casting process. AA7075 alloy was used as a matrix SiC/B4 C and Mg wif a size
of 29.2 microns was used as reinforcement during stir casting process. A batch of
218 grams of aluminium alloy was melted in clay graphite crucible. Further, it was
melted in a resistance Induction furnace to teh preferred temperature of 1100 °C.
Meanwhile, SiC/B4 C and Mg particulate of magnitude 29.2 microns were heated
in another crucible to a temperature of 800 °C to abolish moisture and teh die was
preheated to a temperature of 100 °C. Teh mixtures of preheated SiC/BC C and Mg
particulates were added at a constant feed rate into teh vortex. Teh mixture was
stirred uninterruptedly by operating manual hand stirring for 20–30 min at speed of
300 rpm. Melt temperature was preserved at 1125 °C throughout teh inclusion of teh
particulate. Teh molten metal was then gushed out into teh prior heated die to cast a
cylindrical bar of 125 mm × 18 mm size.
2.2.1 Hardness Test
Teh Vicker’s hardness or teh microhardness of teh samples was measured at distinct
positions at a load of 1 kg for a duration of 10 s. Teh hardness test was accomplished
using (Matsuzawa MMT-X) Vickers hardness machine. Optical measurement system
forms teh basis. Teh indentations are large enough to maximize teh measurement
resolution. Diamond indenter was used. Figure 1 shows the sample of the workpiece.
Table 3 shows teh result of teh hardness test. Figure 2 shows teh graph depicting teh
hardness level of teh given specimens.
2.2.2 Tensile Test
Tensile test specimens were prepared from teh samples manufactured by teh casting
process. Three samples were made from each specimen as per ASTM standards to
has high reliability. Figure 3 shows teh sample as per ASTM standard. Figure 4 shows
teh tensile test specimen wif all teh dimensions as used for conducting experiments.
Table 4 shows teh result of teh tensile test. Figure 5 shows teh graph depicting teh
tensile strength of teh given specimens.
2.2.3 Microstructure
Figure 6 shows teh SEM image of Al7075-5%B4 C-1%Mg. Splats can be observed
clearly, whitish part in teh image depicts that carbide particles has not been done
thoroughly even when stirring was used during casting.
Figure 7 shows teh microscopic view of Al7075-10%B4 C-1%Mg. Peaks are
Fig. 1 Sample of the workpiece
Table 3 Results of hardness

1. Al7075 (100%) SiC (0%) Mg (0%) 175
test
2. Al7075–SiC (5%)–Mg (1%) 183
3. Al7075–SiC (10%)–Mg (1%) 203
4. Al7075–B4C (5%)–Mg (1%) 130
5. Al7075–B4C (10%)–Mg (1%) 147
observed coz of improper cutting and grinding of a specimen. Dots are being observed
throughout the surface.
Figure 8 represents teh microscopic representation of Al7075-5%SiC-1%Mg. A
few whitish areas are visible due to carbide particles in layered form. Dots are their
due to teh formation of SiO2 .
Figure 9 depicts teh SEM image of Al7075-10%SiC-1%Mg. Mostly, layers are not
so visible in SEM but as magnification is low therefore layers of different materials
are observed which reveals teh presence of Fe, Sio2, and C.
Fig. 2 Graph depicting the hardness level of the given specimens
Fig. 3 Tensile Specimen wif all teh dimensions
3 Conclusion
Nano-sized SiC/B4 C granules were assimilated in liquefied pure aluminium wif the
assistance of the addition of Mg as a wetting agent to produce aluminium matrix
composite. The conclusion drawn from the research is as follows:
1. Least possible time for stirring is obligatory for teh granules to be properly mixed
wif teh liquefied melt and form a vigorous alliance.
2. Development of Al4 C3 helps in creating a stronger Al/SiC bond.
Fig. 4 Sample as per ASTM standard
Table 4 Results of tensile

1 Al7075 (100%) SiC (0%) Mg (0%) 220
strength
2 Al7075–SiC (5%)–Mg (1%) 231.2
3 Al7075–SiC (10%)–Mg (1%) 243.4
4 Al7075–B4C (5%)–Mg (1%) 212.5
5 Al7075–B4C (10%)–Mg (1%) 221.5
Fig. 5 Graph depicting teh tensile strength of teh given specimens

Fig. 6 SEM image of Al7075-(5%)B4 C-(1%)Mg
Fig. 7 Microscopic view of Al7075-(10%)B4 C-(1%)Mg
3. Elevated temperature of stirring will further lead to better union of teh Particulate
and melt with teh improvised dispensation.
4. Cluster of SiC particulate is seen throughout the samples, me.e., the stirring time,
temperature and viscosity do not influence the mixture.
5. Gas pores, coagulation shrinkage, and air space are seen between teh clus-
tered particulate after stir casting, and porosities can be altered by amending
teh temperature and time of stirring.
6. In some areas of the matrix, disengagement of the ceramic granules is seen when
the stirring is not done for appropriate time period. During solidification the
composite is cooled at a very high rate.
Fig. 8 Microscopic representation of Al7075-(5%)SiC-(1%)Mg
Fig. 9 SEM image of Al7075-(10%)SiC-(1%)Mg
7. Hardness test for a load of 50 g, it was observed that a sample wif a large amount
of ceramic particulate is much harder TEMPthan teh rest of teh samples, whereas
teh tensile strength and ductility are found out to be determined by teh alliance
of Al/SiC and Al/B4 C.
References
1. Roy S et al (2017) Review on fabrication of aluminium 7075 + B4C composites. Int J Adv
Res Sci Eng 6(02): ISSN: 2319–8354
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carbide—coconut shell fly ash reinforced hybrid metal matrix composites. China Foundry
15:449–456. https://doi.org/10.1007/s41230-018-8105-3
3. Ali Z et al (2019) Characterization of aluminium-7075 Reinforced wif boron carbide (B4C)

synthesized by stir casting. Int J Eng Res Technol 08(06)
4. Kumar GA et al (2016) Properties of Al7075-B4C composite prepared by powder metallurgy
route. Int Res J Eng Technol 03(07)
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carbide (B4C). In: National conference on emerging technologies for sustainable engineering
& management ISSN: 2395–1303
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based metal matrix composites. Am J Aeros Eng 5(1):24–29. https://doi.org/10.11648/j.ajae.
20180501.14
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376/1/012057
8. Nagabhyrava R et al (2017) Investigation of mechanical properties of al 7075/sic/gr hybrid
metal matrix composites. Int J Mech Eng Technol 8(5):265–269
9. Mohal S (2017) Microstructural investigation of aluminium-silicon carbide particulate metal
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A Review on IoT-Based Hybrid
Navigation System for Mid-sized
Autonomous Vehicles
Ajay K. S. Singholi, Mamta Mittal, and Ankur Bhargava
Abstract Internet of things (IoT) widens the existing notion of the Internet and
is considered as the most illustrious modern research technology that associates
physical objects to the digital sphere. In industrial scenario, multidimensional appli-
cations are developed based on Internet like the Internet of nano-things (IoNT),
Internet of everything (IoE), machine to machine (M2M), Web of things (WoT),
ubiquitous sensor network (USN), and wireless sensor network (WSN); all these
respective fields are closely related to each other. Industrial automation uses IoT
solutions that can drive new assets. For solving problems, increasing productivity,
and enhancing operations, IoT helps to create new technology. IoT-enabled systems
are streamlined and create various system architectures that is responsive, effec-
tive, and affordable. Automation in respect of the transport of materials and goods
within industry or manufacturing unit is improved with an advance in technology
demands a fast, reliable and efficient transport with onboard sensing for better time
management and enhanced accuracy the industrial systems recently inclined towards
the latest technology based means of automation. The world changes with various
online and offline channels and services customer preferences have evolved forcing
companies to reduce order to delivery time. The sheer number and blend of orders
mean that warehouses are under increasing pressure to deliver the items as soon as
possible. Here, all conventional rigid warehouse automation fails to meet respective
field needs. Flexible automation is the single appropriate solution for storehouses
to precede a competing convenience. This paper explores the existing state of IoT-
enabled technologies and their multifaceted strength in the field of factory automation
and mainly focuses on the concept of hybrid navigation in automated guided vehicles
(AGV’s)/mid-sized autonomous vehicles.
Keywords IoT · Internet of Everything (IoE) · Internet of nano-things (IoNT) ·

Ubiquitous sensor network (USN) · Hybrid navigation · Automated guided
vehicles (AGV’s)
A. K. S. Singholi · M. Mittal · A. Bhargava (B)

G.B. Pant Government Engineering College, Delhi, India
e-mail: iamankurbhargava@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_65
736 A. K. S. Singholi et al.
1 Introduction
Factory mechanization and computerization is the current inclination designed for

manufacturing a variety of products and mass production. It is very difficult and costly
to change in the current state of manufacturing process. The industries of the future
must have smart machines that can easily adapt to changes. This radical develop-
ment in machines will require refurbishment in engineering and technology with the
progress of an IoT-based hybrid navigation module for medium-sized autonomous
vehicles (employed in bigger manufacturing plants such as automotive manufac-
turing facilities, petroleum refining units, and warehouses) for factory automation.
Autonomous vehicles can deliver materials from the supply area to technician auto-
matically faster and efficiently. They can also be termed as the driverless vehicles or
automated guided vehicles. In the current time, existing transportation models are
available in the research state or based on off-line or fixed feed-paths. In the existing
models, IoT has not been implemented and is yet not feasible for the real-time
dynamic environment which is possible if IoT is considered. The development of
an IoT-based hybrid navigation module for autonomous vehicles is a true revelation
that has the potential to legitimately change the world .
The basic requirement for an autonomous vehicle is to self-maneuver through
tough and unknowns waypoints in a real-time or dynamic situation using several
sensors such as LIDAR, GPS, vision, sonar, IR, or radar sensors. Such vehicles
comprise an advanced or intelligent control system which is competent of inter-
preting sensor information, to identify navigation paths or obstacles which are very
advantageous in path planning to the desired target or station. It needs software and
hardware development using several electrical and mechanical components and a
communication network both in the close and distant neighborhood in order to avoid
collision and manage congestion. It must adhere to good performance under envi-
ronmental uncertainties over the duration and must be able to recoup for system
failures without any internal and external intervention. An autonomous vehicle must
be competent to characterize its environment by gather information from its sensors
which are available in a full spectrum of price, complexity, and output format. The
mid-sized autonomous vehicle is a self-guided medium-sized autonomous system
which uses various kinds of technologies that can be built with sensing intelligence,
machine learning, computer vision, and artificial neural network concepts to help
with navigation.
This paper is established in the following way. Section 2 describes a brief back-
ground and motivation to highlight the research gaps and objective of the present
study. Section 3 gives the descriptions of the IoT. Section 4 underlines about hybrid
navigation and its applications. Finally, conclusions are presented in Sect. 5.
A Review on IoT-Based Hybrid Navigation System for Mid-sized … 737
2 Background and Motivation
Barrett Electronics Corporation introduced AGVs for industrial applications in the

1950s [7] and is today a commonly applied transportation technology. Autonomous
mobile robots complete a variety of functions with amazing speed and safety with
accuracy. In the past, much work has been done in the field mobile robots or trans-
portation or guided vehicles for navigation and path planning through dynamic and
static environments. Work in the field of driverless cars initiated in the year 1983 by
Carnegie Mellon University [17]. Chevy vans has developed by them with the desig-
nation Navlab 1 (in 1986) over 11, for changeable intent like as off-road inspection,
automated highways, run-off-road, collision avoidance, and driver for maneuvering
in huddled environments. The vehicles were mainly semi-autonomous and suffered
from software constraints. Mercedes and Bundeswehr University in 1987 launched a
joint project titled Eureka Prometheus Project for the development of an autonomous
Mercedes van. Its purpose was to act as a master for the autonomously driven trucks
or vehicles following it, to reproduce drivers in monotonous long driving situations,
along with a function to address drivers of inimical situations. The project required
software reliability as disproportionate use of heuristics created false alarms of road
surface discontinuities, thus disrupting the normal operation; also, vehicles lacked
reliability in traveling a long distance and changing guide path. Lei et al. [5] used
the applications of 3D scanning laser rangefinder which executes the horizontal and
vertical scan for controlling velocities and angles so that the system is able to control
scanning speed and scanning range under low-speed running, high-speed cruise, and
many different situations. Driving environments are sensed via video camera for
autonomous driving, and laser rangefinders measure the path and distance of the
obstacle. Tesla also gave an electric autonomous car model that worked on autopilot
mode [25]. It was capable of the vehicle automation up to level 2–3; i.e., a vehicle
can act individually but feel necessity for the full consideration of the driver, who
must be willing to take supervision at a moment notice.
Advancement in driverless cars came in the last decade as the level of autonomous
was enhanced and more dynamic conditions were taken into account. Shihavuddin
et al. [8] proposed an autonomous vehicle control system for path map formation of an
unexplored environment using trapezoidal approximation (TA) for road boundary. A
blind map of the anonymous environment was developed initially whose image was
apprehended by the wagon and directed to the computer by using the RF transmitter
module. Then, an image was handled to detect road boundaries using TA avoiding the
obstacles. The concern with the approach was the need of the camera tilt angle. Preme-
bida et al. [6] integrated a camera and light detection and ranging (LIDAR) sensor,
to bring repetition and integral characteristics for a pedestrian detection system,
for developing the system’s accuracy and reliability. The limitation of Premebida
et al. [6] was that they employed only one sensor which makes the application of an
autonomous mobile robot less robust and unsafe. Butdee and Suebsomran [1] devel-
oped an AGV’s control using image-based processing in order to benefit AGV from
losing the path when guideline is missing but they did not take into account of the fact
if there was an obstacle in the path then how the AGV will function. Their approach
was not based on intelligent and expert systems. Stein and Santos [9] proposed an
approach to figure out the drive of an automatic robot and navigate in road-like
surroundings. The suggested structure used ANNs to gain behavior-based illustra-
tions from human operators, replicating and sometimes even developing human-like
behaviors. One of the concerns in this work is the impracticability of justifying
network training without testing it with the robot. Yaghoubi et al. [14] demonstrated
the constraint of individual AGVs is that they are originally blind. With a few excep-
tions, new systems depend on precise and accurate arranging of loads because the
structure cannot resolve when the loads are incorrectly positioned. These vehicles
cannot be capable to accord with loads placed by human-operated vehicles because
humans do not commonly situated loads with the appropriate precision. Souza et al.
[10] suggested a vision and GPS-based autonomous navigation approach for urban
situations named Intelligent Robotic Car for Autonomous Navigation. A particular
monocular camera for data acquisition from the environment is used by the system, a
GPS (localization), and a compass (orientation) to obtain the crucial information for
vehicle to reach the station through an intact path. The major limitation of the above
research proposal was their lack of application in actual life environment because
of less durability, freedom issues, and lack of knowledge for difficult situations like
humans.
Miljkovic et al. [15] presented a detailed study of a hybrid vision-based control
approach for AGV’s, two distinctive control loops image based visual serving and
position based control enables the robot to accurately steering toward loading and
unloading point. Some of the illustrations of driverless vehicles that were imple-
mented for commercial use and are in testing and validation stages are discussed
below. Villagra and Pérez [13] addressed the path apprehend problem of industrial
guidance systems used by vehicles in load transfer operations. One of the major affairs
of this issue is related to the important weight variation of AGVs when transporting
a load, which generates slipping and skidding effects. Besides, the localization error
of the guidance system should be taken into account because position estimation is
typically performed at a small sample rate.
Hubinský Petal [16] developed PLC SIMATIC ET200S CPU controller to control
AGV via LAD, FBD, and STL languages. An algorithm has been designed to control
the motion and set up communication between AGV and HMI. Internet service
provider, Google started work on self-driving cars in 2010 which was developed and
designed completely by 2016 and now is under testing and validation stages since
over 8 months [20]. The limitation encountered till date with the car, a model is that
it relies mainly on programmed route data, does not accept temporary traffic lights
and, in a few cases, revert to a moderate extra alert mode in convoluted unexplored
intersections. The vehicle has trouble in determining when articles, like as trash and
light detritus, are inoffensive, causing the vehicle to deviate unessentially. Few more
applications include [4] proposed navigation system for bus driver which is IoT-
enabled, implemented in Madrid. UBN (Urban Bus Navigator) presents information
account for vehicle user’s crowd-aware and micro-navigation route recommendation.
A mobile smartphone app is used to detect the presence of passengers on buses and
provide continuous real-time navigation over the complete course of a bus journey.
Daksh is a remote- and battery-operated robot [18] on wheels refined by Defense
Research and Development Organization; its primary role is to recover bombs. It can
navigate companionway, mediate sharp ramps, navigate slender corridors, and tow
vehicles to grasp unsafe materials.
Its limitation is that it may only be remotely guarded over an area of 500 m vision.
Gandhi and Rao [2] developed a prototype using a RFID, sensor circuit, and IoT to
curb the major issue of car parking in urban areas. RFID is used to find the car
particulars; IR sensor detects the presence of the car; and all details are accessed
from remotely over IoT by given parking free space data. The advantage of this
prototype was less human interaction, increased flexibility, and security.
Hi-Tech Robotic System Ltd., Pune, [21] is a leading company and supplier of
a high-performance range of industrial automation and vision system-based AGV.
They design and manufacture autonomous vehicles with superior performance,
robust construction, and more service life. Driverless tractor [19] uses global posi-
tioning system and mobile technologies to navigate without the requirement of a
driver. They moved commonly with the cooperation of an inspector monitoring the
growth at a control location. A remote connection is set up between the two tractors
to exchange and share information. The tractor (guide) regulates speed and direction
which is then transferred to the driverless tractor to emulate. The coModule electric
bicycle [23] is fully governable via smartphone; customers are able to accelerate,
turn, and break the bike by swaying their device. The bike can also drive completely
automatically in a closed environment. Automated guided vehicle developed by SSI
Schaefer [24] is the new approach which can transport boxes or a collection of other
goods through premises flexibly and easily without a conventional carrying system.
It directs around all transport tasks—goods are transported to the contracted destina-
tion safely and without access restrictions. Vignesh et al. [7] proposed an intelligent
AGV based on visual servoing which uses the concept of machine learning; AGV
can detect the directional signs present in the respective path using image processing
techniques which can be used in the industrial environment for material handling. In
Novus-Drive, [22] the first driverless transporter in the country, 14 people can seat and
autonomously navigate on its own with its high fidelity sensors and potent algorithms
for navigation and path planning. The vehicle is endemic completed at THRSL’s
Gurgaon facility. Its safety features include autonomous emergency braking. It uses
stereo vision cameras, 3D LIDARs, GPS/INS for its external world perception based
on stored maps or pathways.
Robot technology along with the IoT is an emerging field and has wide appli-
cation for various robotic systems. Mittal et al. [12] proposed a system based on
multi-sensors and visual interpretation of data with IoT capability and provided
various sensing parameters. A cloud server was developed which records the values
of sensors with the location and controls the robot in a respective manner. Garg et al.
[3] proposed a scheduling algorithm termed as the reliability and energy-efficient
workflow scheduling algorithm which collectively optimizes lifetime accuracy of
application and energy consumption. The suggested algorithm has four different
phases and Gaussian elimination task graphs, and randomly generated task graphs
show the simulation results. Singh et al. [11, 12] used the concept of signal processing
and artificial intelligence in IoT-based intelligent electronic devices (IED) and its
smart automation to manage energy losses and insistence on energy conservation;
this paper also focuses on smart energy monitoring devices.
3 The Internet of Things
The Internet of things (IoT) is about better productivity and innovative functionality
by uninterrupted connecting devices and simply defines as the Internet for inter-
connected things. We have endeavored into the stage of the Internet of things (IoT)
as computing devices become, ubiquitous, and smarter, and smaller computing has
initiated to inlay into our environments by attaching to physical things or objects.
Many industrial environments like plants, warehouses, and manufacturing units have
a propensity toward every possible mechanism or medium of automation.
Presently, integrating intelligence in devices emerged as an essential need. IoT is
providing ease and comfort toward this trend. Various manufacturers and technology-
based organizations are highly involved in the development of smart devices using
IoT, and smart vehicles based on IoT would be a breakthrough in this research
field. Presently, in industries deployment of smart unmanned automated vehicles for
navigation is required for loading and unloading. If the vehicle is able to overlap
potholes in the path, regenerate path, and navigate according to the feed path in
real-time chaotic traffic, it can improve the efficiency of industries in loading and
unloading of products, work-handling. Also, it can be scalable in other sectors.
IoT uses cloud authority for connecting the networks. For associating the things
to the net, we desire Internet protocols; it is used for Internet connection; it is using
an dispatch pattern for any data supply on Internet. Every object can be simply
described and obtainable with the help of IoT. IoT is a consolidation of identifica-
tion, sensing, communication, estimation, and services. Identification approach are
known to describe the objects, multiple sensors provides the data and it is directed
to the directory after that data is analyzed to take definite actions, communication
obligations like ZigBee or Wi-Fi used for IoT communication, distinct hardware are
used for expand various applications and are utilized for definite services like smart
cities, healthcare systems, industries, etc. IoT being influenced area in the Internet
is used to approach the data remotely. In present, each one uses smartphones and
Internet, so networked updating of path feed or online solution to emergency situa-
tions will predict flexible automation in industries, as we can send data through the
Internet.
Research ends after simply inventing technology and proving that it works, but
development ends once something is demonstrated to work in every kind of envi-
ronment it could be implemented in. There is every possibility that the IoT-based
navigation module once developed and validated has a high potential for market
acceptance especially in the private industry and start-ups as it would provide them
with a tool that would ensure timely interventions, reduce costs, avoid unnecessary
procedures and thus have a high potential to be patented. It would be of great interest
to departments of research and development in India, private industries, start-ups and
ports for loading and unloading, quality testing and surveillance operation, etc.
4 Hybrid Navigation
Certain industries and factories work in 24 × 7 schedule requiring vehicles on the

shop floor for material loading/unloading, inspection, testing, surveillance, etc., to
move throughout the functioning of the production or assembly plant, thus emulating
wear and tear of components; also it physically and mentally affects test drivers
or engineers. Automating such factories requires the implementation of automated
guided vehicles (autonomous vehicles) in real-time dynamic situations which is
possibly using the Internet of things sensors. These intelligent and smart automated
vehicles would be flexible enough to readily adjust to traffic changes/conditions and
would surpass the physical as well as mental fatigue faced by test drivers and engi-
neers. Thus, the effort is more toward the study of an IoT-based hybrid navigation
module which can be applied to any medium-sized autonomous vehicle so as to
maneuver independently through the shop floor. Self-sufficient or autonomy of vehi-
cles is to be supported by this hybrid navigation module which is the core deliverable
from.
Presently, integrating intelligence in devices emerged as an essential need. IoT is
providing ease and comfort toward this trend. Various manufacturers and technology-
based organizations are highly involved in the development of smart devices using
IoT, and smart vehicles based on IoT would be a breakthrough in this research
field. Presently, in industries deployment of smart unmanned automated vehicles for
navigation is required for loading and unloading. If the vehicle is able to overlap
potholes in the path, regenerate path, and navigate according to the feed path in
real-time chaotic traffic, it can improve the efficiency of industries in loading and
unloading of products, work-handling. Also, it can be scalable in other sectors.
Navigation is the most important and challenging aspect of an autonomous mobile
robot. Four building blocks of navigation are as follows: the first one is perception
which means the robot must depict its sensors to extract essential data; the second
one is localization, i.e., the requisite robot determines its relative position in the
environment; the third one is cognition that means the robot determines how to act
to attain its goals; and the fourth one is movement control that means the robot
must inflect its motor outputs to achieve the respective path. Localization has gained
much attention in the last decade. When more than one navigation system is used
for location determination, by using multiple systems and sensors in a single time
the accuracy of the system to navigate increases and is termed as hybrid navigation.
IoT-based hybrid navigation module will be able to move the autonomous vehicle
from start position to the desired destination without human navigation assistance to
detect objects of interest, to avoid obstacles, and to collect the information about the
far and near neighborhood situation within the industrial environment. Previously,
navigation system used to be based on wired and guided tape type which had several
disadvantages as they were inflexible for a customized type of manufacturing; in
addition, they were blind. Laser-guided and vision-based navigation system is based
on new technology as they are flexible, they provide vision to guided vehicles to run
autonomously, and they can be programmed to communicate with other robots.
5 Conclusion
This paper summarizes the present state of IoT-enabled technologies and their abil-
ities in the field of factory automation and mainly focuses on the concept of hybrid
navigation in automated guided vehicles (AGV’s)/midsized automatic vehicles. The
purpose of the study was to improve the execution of existing systems to make
the vehicle more intelligent and autonomous. The development of Chevy vans by
Carnegie Mellon University and autonomous Mercedes van by Ernst Dickmanns
introduced a new approach and paradigm shift for the development of autonomous
cars. The development of automated vehicles reflects a great concept and beholds
a vivid future. Theoretical and practical work has a significant amount of differ-
ence which can be optimized by adopting the different methodology. It is concluded
that system performance can be improved by the introduction of intelligent sensors
onboard on the AGV’s. IoT emerged as an important industry in the field of auto-
motive. Also, various tools and technologies for automotives are present such as
connected cars, artificial intelligence, autonomous driving systems, cloud computing,
and various host technologies, but IoT has access and integration of all. IoT turns
into the IoE where anything at all can be associated to any network, anywhere,
and anytime. IoT would integrate various emerging technologies, such as IoT-based
cloud service, various sensors (such as vision sensors, proximity sensors, range
sensors, accelerometers, gyroscope, and GPS) and mechanical components such
as drives, motors, mechanical structure, chassis, and gears, to change the way manu-
facturers utilize modern innovations to extract information from sensors and giving
instructions to the prototype. In the future, it is intended to develop IoT-based hybrid
navigation module for mid-sized autonomous vehicles and utilized its performance
parameters to achieve the industrial objectives.
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and prevention with visual data manipulating. Int J Tomogr Simul 32(1):89–99
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of an AGV. IEEE Trans Control Syst Technol 20(4):1116–1123
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Website links
17. Carnegie Mellon University’s Navlab The Robotics Institute (2016, December 28) Retrieved
from http://www.ri.cmu.edu/research_lab_group_detail.html?lab_id=28
18. Daksh electrically powered and remotely controlled robot (2016, December 10) Retrieved from
https://www.revolvy.com/main/index.php?s=DRDO%20Daksh
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less_tractorr
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25. Tesla Electric Car Model on Autopilot mode (2017, January 17) Retrieved from https://www.
tesla.com/models
Development and Modelling of a Novel
Wheelchair with Staircase Climbing
Ability
Gaurav Kesari
Abstract This paper presents a modified form of the wheelchair with an ability
of stair-climbing to help people who are unable to climb stairs or have problems
in mobility independently, i.e., old people, people with physically discouraged or
paralysed. The wheelchair consists of a frame, chair seat, suspensions, clustered
triple-wheel, and a type of linear actuator (leadscrew). The special newly designed
wheelchair with specific mechanisms helps the user to climb and descend the stairs,
to move in the organized and unorganized environment, and to overcome the curbs
and uneven terrains more efficiently and comfortably. This wheelchair has a compact
and lightweight structure and will remain stable throughout the whole ride path.
Keywords Stair-climbing · Smooth and noiseless motion · Stable · Ergonomic ·

Triple-wheel
1 Introduction
It is estimated that approximately 131 million or 1.85% of people require wheelchairs

in the world and out of which, 110 million or 84% of people do not have any
wheelchair for their mobility [1]. Approximately half of the wheelchair users must
use steps to enter and exit their homes in the USA [2].
Tracked wheelchair with stair-climbing ability consumes too much energy than
another type of electric wheelchair [3]. This type of wheelchair is cumbersome and
has a possibility of slippage in case of the staircase. RHex [4] is a type of leg robot
whose structure is based on the locomotion of cockroach having six curved legs. This
robot can move on various kinds of surfaces and climb a staircase. But leg robots do
not traverse smoothly on flat surfaces.
Electric powered wheelchairs without any suspension lead the user to the
damaging shocks and vibrations from outdoor terrain and curbs [5]. Vibration and
traumas caused by the mobility of wheelchair hurt human body. The head and lower
G. Kesari (B)
Mechanical Engineering Department, Harcourt Butler Technical University, Kanpur, India
e-mail: gauravkesari2016@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_66
746 G. Kesari
part of the back of the human body are suffered most regarding forces. Based on
the magnitude of the vibrations, the remaining of organs may also lead to pain and
fatigue [6].
In order to improve power transmission of triple-wheel, a type of double helical
gear, i.e., herringbone gear is used in the clustered triple-wheel system. For enhancing
the comfortability and the ride quality during stair-climbing, two suspensions are
fitted at the back structure of wheelchair frame. To improve the stability of wheelchair,
two leadscrews (a type of linear actuator) are installed at the back, near the middle
portion of chassis of wheelchair which facilitates the seat of the wheelchair to remain
in horizontal position so that the user continues in stable posture without any discom-
fort on the wheelchair. The concepts illustrated in this paper are theoretical and based
upon mathematical calculations. In this paper, each part of the wheelchair is designed
and assembled to make a final product with detailed dimensions in SolidWorks 2018.
This paper is arranged as follows: The second section introduces about the
designing of a wheelchair, the third section describes mechanical design and opera-
tion of a clustered triple-wheel unit, the fourth section explains the mechanical design
and working of suspension, and the last part is a conclusion.
2 Wheelchair Design
Fully assembled wheelchair while moving on a flat surface and climbing staircase
is shown in Fig. 1. The wheelchair is mainly comprised of three modules, viz. chair
seat, frame, and a linear actuator. Designing of each part of the wheelchair and its
assembly is done in the SolidWorks software.
Fig. 1 a Design of wheelchair, b wheelchair while climbing on the staircase

Development and Modelling of a Novel Wheelchair with Staircase … 747
Fig. 2 Chair seat
2.1 Chair Seat
The seat of the wheelchair is designed by focusing on the ergonomic aspect of a user
so that a person gets a proper posture based on the shape of a human body and does
not slide from the base of the seat. Design of chair seat is made according to the
comfort of a person (Fig. 2).
The seat will always remain in a horizontal position for the safety of passenger
sitting on it. This mechanism is done by the use of linear actuators on its leg which
increase or decrease the length of two back legs of the seat according to the inclination
made by the chassis of the wheelchair.
2.2 Frame
The frame comprises chassis, two suspensions, two actuators, a supporting bar, and
a battery. The framework provides the stable seat base, and it is very lightweighted.
The chair seat is supported by two legs at the front and by supporting bar structure
at the back. Two geared dc motors are fitted vertically on the inner-middle area of
chassis as a part of the leadscrew. A supporting bar is used above the leadscrew which
fits suspension at its two ends, shown in Fig. 3. This mechanical structure is given to
the frame to facilitate the feature of the simple, compact, and lightweighted design.
The chassis is designed to provide a platform which contains six dc gear motors and
a battery.
748 G. Kesari
Fig. 3 Mechanics of
leadscrew while calculating
raising torque
2.3 Linear Actuator
A leadscrew transmits power by converting turning motion into linear motion [7]. In
raising and lowering the seat at the backside, square threads are used in the leadscrew
because of its following advantages over other types of thread-
• Most efficient
• Least friction, hence decreasing wearing of the screw
• Capability of carrying the large load
• No radial pressure on the nut, thus increasing the nut life.
Mechanics
The thread angle for a square thread is zero. The raising torque (shown in Fig. 3)
and lowering torque can be calculated by unfolding one revolution of a thread. The
unfolded thread forms a right angle triangle. In case of lowering torque, the direction
of axial force and friction force will be reversed in the Fig. 3.
Balancing the forces acting on the screw, the following torque can be calculated
as follows:

Fd l + π μd
Raising Torque =
2 π d − μl

Fd π μd − l
Lowering Torque =
2 π d + μl
where,
F Total load of seat and person
D Mean diameter
Fig. 4 Mode of the linear actuator on a flat surface, and b staircase
μ Coefficient of friction
l Lead.
Working
A supporting bar is attached above the leadscrew which is finally connected to
the back half-legs of the wheelchair. At the time of mobility of wheelchair on the
flat surface, lead screw will be at its normal position shown in Fig. 4a. When the
wheelchair starts to climb the staircase, the leadscrew will go down to lower the seat
at the backside with the help of the supporting bar, shown in Fig. 4b. After climbing
the staircase, leadscrew will raise the chair seat from the backside back at the normal
position, when it comes to the flat surface. The leadscrew can be manually controlled
to get the desired inclination of chair seat based on the disposition of staircase.
3 Mechanical Design of Clustered Triple-Wheel System
The wheelchair is designed to move on flat, rough, inclined surfaces, to overcome

uneven terrains, obstacles and to climb and descend the staircase. These features
are facilitated by designing a clustered triple-wheel system which is based on the
epicyclic gear system. It has two degrees of freedom [8]
1. Wheel rotation
2. Planet carrier rotation
From Fig. 5a, it can be seen that this system consists of geared-motor, sun-gear, first
planet gear, second planet gear, planet carrier, wheel, and shaft.
The type of gear used in this system is herringbone gear (double helical gear)
shown in Fig. 5b. This gear has the following advantages over another type of gears
• Smooth movement of gears
• Power transmission capacity is more
• Noiseless movement.
750 G. Kesari
Fig. 5 a Structure of clustered triple-wheel, b herringbone gears
3.1 Mathematical Calculations
This clustered triple-wheel is designed for traversing on staircases by taking the

optimum dimension of a staircase which is provided as the riser (a) = 18.3 cm and
tread (b) = 28.0 cm [9].
The radius of the planet carrier and regular wheel of a triple-wheel is designed by
calculations [10] shown below.
Radius of planet carrier (R)

a 2 + b2
R=
3
R = 19.31 cm
Minimum radius of regular wheel (r min )

√
6Rt + a 3b − 3a
rmin = √ √
3− 3 a+ 3+ 3 b
rmin = 6.89 cm
Maximum radius of regular wheel (r max )

√
a 2 + b2
rmax =
2
rmax = 16.72 cm
rmean = 11.8 cm
Maximum height of stair (amax )

amax = a 2 + b2 − r 2 = 3R 2 − r 2
amax = 31.3 cm
3.2 Working and Operation
Two modes of clustered wheel system are used for the mobility of wheelchair, i.e.,
(a)—Flat surface mode, and (b)—Stair-climbing mode. For the movement on the
flat surface, small curbs, and uneven terrains, the flat surface mode will be active in
the wheelchair. Use of wheel of larger dimension helps the wheelchair to cope with
small obstacles when it is flat surface mode. The mode will automatically switch to
the stair-climbing mode when staircase or any barrier of more considerable height
will come on the path. This switching of the mode is due to increase in the local and
dynamic friction force on the regular wheel.
4 Suspension
The suspensions, shown in Fig. 6, are fitted in the two back legs of the wheelchair
at the upper part. The use of suspensions improves the ride quality and provides
Fig. 6 Suspension
752 G. Kesari
the comforts by keeping the user isolated from the rough path noise, curbs, bumps,
vibrations, in climbing and descending the stairs. Whenever the wheelchair descends
from the stair or strikes any bumps on the flat surface, the spring will compress
quickly. This compressed loaded spring attempt to return to its normal position. But
spring will expand beyond the normal position. Again, this extended spring will
attempt to restore its normal position. This process will repeat until the motion of up
and down stops.
4.1 Operation
Shock absorber will absorb damp shock impulses by converting kinetic energy into
heat energy which is then dissipated into the atmosphere. The moving wheelchair will
stop by shock absorber with no further rebound, and it does not transmit potentially
any damage to the user sitting on the wheelchair. It comprises a piston, mounting
plate, coil spring, and cylinder.
5 Conclusion
This paper involves the design of ergonomic electric wheelchair for people who
cannot walk and climb the staircase independently. The functionality of shock
absorbing, the stability of wheelchair seat, smooth and noiseless movement was the
main focus in designing and mechanism of the wheelchair. Clustered triple-wheels
are designed and developed through mathematical calculations based upon the stan-
dard dimensions of the staircase. The wheelchair frame is designed with the focus
of compact structure, lightweight, and user’s comfortability. A demonstration of the
whole process of a climbing staircase is shown in Fig. 7. Designing of individual parts
was developed in SolidWorks software and assembled to form the final product. It is
concluded that the climbing staircase independently with this wheelchair is a feasible
solution due to its compact structure, lightweight, flexibility, and comfortability.
Fig. 7 Process of stair-climbing
References
1. Wheelchair Foundation, Wheelchair needs in the world, https://www.wheelchairfoundation.

org/programs/from-the-heart-schools-program/materials-and-supplies/analysis-of-wheelc
hair-need/
2. Kaye HS, Kang T, LaPlante MP (2000) Mobility device use in the united states. disability
statistics report, (14). U.S. Department of Education, National Institute on Disability and
Rehabilitation Research, Washington, D.C.
3. Rau HG (2003) Personal mobility vehicle, U.S. Patent 2003/0121705, 3 July 2003
4. Moore EZ, Campbell D, Grimminger F, Buehler M (2002) Reliable stair climbing in the simple
hexapod ‘RHex’. In: Proceedings of the 2002 IEEE international conference on robotics &
automation
5. Seidel H, Heide R (1986) Long-term effects of whole-body vibration: a critical review of the
literature. Int Arch Occup Environ Health 58(1):1–26
6. Mohammad AS, Walaa A, Hani ES, Mohammad O, Mohammed BY, Stephen AG (2016) Effect
of mechanical vibrations on human body. World J Mech 6(9):32 (Article ID: 70778)
7. Bhandari VB (2007) Design of machine elements. Tata McGraw-Hill. ISBN 978–0-07-061141-
2
8. Quaglia G, Franco W, Oderio R, Wheelchair Q (2011) Motorized wheelchair with stair climbing
ability. Mechanism Machine Theor 46(11):1601–1609
9. Irvine CH, Snook SH, Sparshatt JH (1990) Stairway risers and treads: acceptable and preferred
dimensions. Appl Ergon 21(3):215–225
10. Shriwaskar S, Choudhary SK (2013) Synthesis, modeling & simulation of stair climbing
mechanism. Int J Eng Res Technol (IJERT) 2(8). ISSN 2278-0181
Design and Fabrication of Low-Cost
Detachable Power Unit for a Wheelchair
Issac Thomas, M. I. John, Robinson Lal, Jobi Lukose, and J. Sanjog
Abstract Manually operated wheelchairs play a very crucial role in the life of phys-
ically disabled people. Movement over a good distance on manual wheelchairs is
burdensome. Electric wheelchairs are recommended for people who experience prob-
lems in utilizing a manual wheelchair due to impairing physical conditions. Elec-
tric wheelchairs are suitable for indoor use, open-air use, or even both. However,
commercially available electric wheelchairs are very costly and cannot be afforded
by majority of people in economically developing countries. Therefore, a need was
felt to envisage a rudimentary low-cost detachable power unit for a commercially
available manual wheelchair. Computer-aided design was used to achieve suitable
design visualizations. Methods for fabricating the power unit involved attaching a
frame to a wheel and a steering handle. Batteries were taken as the source of power
for the speed-controlled hub motor connected to the wheel. The low-cost detachable
power unit can be attached and detached to the commercially available basic manual
wheelchair. However, in order to keep the cost low, the design was kept simple and
locally available materials were selected without compromising on safety, function-
ality, and operational features of the wheelchair. It was evident that the designed
and fabricated cost effective detachable power unit can be afforded by most of the
people in developing countries like India. There is ample scope for further improve-
ment in the design based on engineering analysis and incorporating human-centered
ergonomics design concepts without increasing the overall cost of the detachable
power unit.
Keywords Battery operated · Low-cost detachable power unit · Wheelchair
I. Thomas · M. I. John · R. Lal · J. Lukose · J. Sanjog (B)

Department of Mechanical Engineering, Vaugh Institute of Agricultural Engineering and
Technology (VIAET), Sam Higginbottom University of Agriculture, Technology and Sciences
(SHUATS), Prayagraj (Allahabad), Uttar Pradesh 211007, India
e-mail: sanjog.j@shuats.edu.in

https://doi.org/10.1007/978-981-15-5463-6_67
756 I. Thomas et al.
1 Introduction
Numerous individuals are enduring impermanent or permanent incapacities because

of sicknesses or mishaps. About 10% of the worldwide populace, for example around
650 million individuals have handicaps [1]. In the year 2003, it was assessed that
20 million of the population requiring a wheelchair for versatility did not have one.
There are signs that just a minority of those needing wheelchairs have wheelchair
and many do not use a proper wheelchair [1]. Wheelchairs are used by people of
different age groups for transportation of disabled people and others with numerous
other different types of medical conditions [2–4].
A wheelchair is a seat with wheels to help individuals move around, and the user
moves the wheelchair by pushing with his/her hands roundabout bars outwardly
of the expansive wheels, known as the hand-edge or push rings [1]. Improved
wheelchair portability could be a significant factor in acknowledging the expanded
freedom for patients unfit to walk and improved wheelchair portability endeavors
to reestablish human capacities [1]. There are many types of wheelchairs desig-
nated as basic wheelchair, manual wheelchair, attendant propelled wheelchair,
rigid frame wheelchair, powered wheelchair, motorized wheelchairs, manual self-
propelled wheelchairs, leaning back and tilting wheelchairs, off-road wheelchairs,
etc. Powered wheelchairs are further classified based on their position of drive wheels
as front wheel drive, mid wheel drive, back wheel drive, etc.
Using manual wheelchair on a regular basis demands for increased physical power
during mobility and results in wrist, shoulder, and hand injuries [5]. Conventional
wheelchairs are gradually being replaced by electric wheelchairs as an assistive
tool for people having disabilities in developed countries [6]. Low-cost wheelchair
improved health and quality of life among disabled users in the context of selected
developing countries [7]. Powered wheelchairs have had a constructive influence on
the quality of life of users suffering from stroke [8]. There are evidences that mobility
devices enhance user’s (people with mobility limitations) activity and participa-
tion besides increasing their mobility [9]. There are many variants of commercially
available powered wheelchairs.
In order to increase the comfort of the user, most of the companies tend to manufac-
ture wheelchairs with lots of high-end features (high-tech control systems, adjustable
height setting mechanisms, control mechanisms for maneuvering, lightweight mate-
rials, increased aesthetics and styling etc.) which lead to high cost of the end
product. Cost is one of the significant factors which is considered while purchasing a
wheelchair. Most of the people in economically developing countries like India may
not be able to afford expensive powered wheelchair. Therefore, a need was felt to
envisage and design a rudimentary low-cost detachable power unit for a commercially
available manual wheelchair with minimal design features without compromising
on safety, functionality, and operational features of the wheelchair. Subsequently,
an attempt was made to design and fabricate a low-cost detachable power unit and
attach it to an existing commercially available wheelchair.
Design and Fabrication of Low-Cost Detachable Power Unit … 757
Fig. 1 Procedure adopted for the design and fabrication of the low-cost detachable power unit for
a commercially available wheelchair
2 Methodology Adopted
The procedure adopted for designing and fabricating the low-cost detachable power
unit for a commercially available wheelchair is shown in Fig. 1.
The computer-aided design (CAD) drawings of the various selected conceptual

designs are shown in Fig. 2. Figure 2a illustrates the attachment of the power unit and
the wheelchair in front of the wheelchair to make it easy for the user to attach and
detach. Figure 2b depicts the attachment of the power unit to the right wheel of the
wheelchair; the power unit has two wheels (similar to the wheelchair) consisting of
batteries in between them. However, it was felt that the width of the final end product
would be increased if we attach the power unit to the wheelchair and problems like
Fig. 2 CAD diagram of different conceptual designs
lack of good balance (leading to destabilization may occur) may occur. The user can
attach or detach the power unit on its own and does not need any assistance. Figure 2c
shows the power unit apart from wheelchair with a hand rest for controls and four
smaller wheels at the base for portability. This power unit has to be attached from
the back of the wheelchair. The main disadvantage of this concept (Fig. 2c) is that
the user might need an assistant or helper to attach or detach the power unit as it
can only be attached from the backside even though the design is easy to construct
and appears to be more stable. Figure 2d represents the power unit in form of a box
having four small wheels at each corner of the base; the box has the height as that
of the wheelchair and is simplistic in design. After further thought, it was evident
that the battery and motor cannot be placed on top of each other as it may cause
too much heat in the power unit besides the weight of the motor and battery will
be acting on the backside of wheelchair which may further cause lack of proper
balance while movement. The power unit appears to be a compact unit. Figure 2e
depicts the compact power unit with bigger wheels, which can be connected to the
wheelchair from the back. The power unit is in the shape of a rectangle and has
simplistic design for the placement of batteries and other components. After due
consideration, it was felt that the power unit will not have proper ground clearance in
some instances. Inconvenience for attaching and detaching the power unit was found
to exist. Figure 2f depicts the connection of the power unit with both the wheels of the
wheelchair beneath the seat. This power unit is compact but may prove to be costly,
and there is a need of an attendant for attaching the power unit to the wheelchair as
the user cannot attach after sitting on the wheelchair. Also there is a possibility of
less ground clearance.
The detachable power unit obviously should be designed in such a way that the
physically disabled user may easily attach or detach it without the help of any other
human assistant/assistance. In order to make the user self-dependent, the conceptual
design as shown in Fig. 2a was selected as the final design as it may be attached in
the wheelchair from the front side by easily maneuvering it and placing it near the
footrest.
After finalizing the design (Fig. 2a), a literature search was made and it was
observed that small variations of the selected conceptual design are commercially
available. However, it was decided to proceed with the fabrication of the selected
design to check for its cost effectiveness in the context of economically developing
countries like India. CAD designs of the selected conceptual design (Fig. 2a) were
made as shown in Fig. 3 for easy visualization. Figure 3a shows the detachable power
unit separately from the wheelchair, while Fig. 3b–d shows the detachable power unit
attached with the wheelchair.
The process of fabrication started with the selection of the basic frame for the
power unit. The basic frame made of stainless steel was selected from the frame
of an old bicycle. Stainless steel has good mechanical properties [10] and is easily
available. Stainless steel is recommended for use in the construction of recreational
wheelchairs [11] because of its many beneficial properties. The hub motor (350 W
Rated Power) along with the electronic speed control unit was purchased along with
the batteries and suitably assembled to make the detachable power unit. The weight
of the metallic frame was 13.7 kg. The weight of the hub motor was 3 kg. The weight
of the wheel attached to the frame was found to be approximately 2 kg. The weight
of a single battery was 2.2 kg. Six batteries were used and their combined weight
Fig. 3 CAD of selected conceptual design in different views

was 13.2 kg. Therefore, the overall weight of the detachable unit was about 31.9 kg.
The cost of purchasing the necessary components and fabricating the detachable
power unit (excluding the wheelchair) was INR 17,207. The various steps in the
fabrication of the detachable power unit are shown in Fig. 4. The final fabricated
low-cost detachable powered unit attached with a commercially available wheelchair
is shown in Fig. 5.
The frame of the detachable power unit was found to be simple and reliable. The
power unit is portable, compact and can be easily kept at any place when not in
use. The controls provided in the wheelchair are easy to handle. A meter indicates
the charge of the battery and gives an option to control the motor speed at different
modes such as low, medium and high. The base of the frame where the batteries
are kept is made flat so that the user can easily lift it up and attach the power unit
to the wheelchair on his own without the help of any assistant. The selected design
appeared to be simplistic. The ground clearance of the power unit is such that the
user may not face any problem while riding. The total length of the conceptual model
was kept as minimal as possible so that the final model may not occupy a large space.
The distance of the wheel of the power unit from the wheelchair was such that it does
not collide with the legs of the user. The different views of the power unit equipped
with the batteries (enclosed in a suitable cover) attached to the frame is shown in
Fig. 5.
The batteries were placed in such a way that they may not create problems for
the user during riding. Figure 6 shows the low-cost detachable power unit frame
equipped with batteries and attached to the wheelchair. Such a simplistic design and
control of the low-cost detachable power unit makes it a good option for the users who
cannot afford high cost powered wheelchair and require no-frills low-cost powered
wheelchairs.
4 Conclusion
Commercially available electric wheelchair(s) were found to be costly in developing

countries like India, though some of them have advanced features. It was evident that
there is a need to envisage a low-cost powered wheelchair for increased affordability
of the targeted end users. A separate low-cost detachable power unit which can be
attached and detached with the manual wheelchair was conceptualized and fabricated.
It is apparent that this detachable power unit, which is powered with the help of a hub
motor and batteries, is cost effective. The detachable power unit can be afforded by
most of the people in India as well as in economically developing countries. During
the trials, it was found that the front wheel was spinning marginally sometimes during
initial forward movement of the wheelchair. Proper application of ergonomics design
principles considering the needs and capabilities of the targeted user population
should be taken into consideration for further design modifications leading to design
Fig. 4 Selected steps in the fabrication of the low-cost detachable power unit
Fig. 5 Different views of the low-cost detachable power unit
improvement. Design of a suitable charging mechanism is also needed for charging

the detachable power unit. This will help the users to charge the power unit when they
do not need powered mobility and use the power unit when needed. The detachable
low-cost power unit may be a commercially viable business model if it is lent on a
rental basis as per user needs. Thus, it is highly evident that such low-cost detachable
power unit for wheelchairs can be designed and fabricated using minimalistic design
principles without compromising on safety and functionality for the benefit of the
economically weaker wheelchair users in developing countries.
Fig. 6 Various views of the low-cost detachable power unit attached to a wheelchair
Declaration The authors wish to declare that there is no objection to publishing the image in Fig. 4,
where human beings are shown.
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5,634,650
Computation of Rupture Strain
from Macroscopic Criteria
Appurva Jain and Abhishek Mishra
Abstract In this paper, analytical studies of unit cube with different macroscopic
rupture criteria have shown that stress triaxiality is a key parameter on which the
magnitude of rupture strain depends. Numerical simulations of tensile test were
performed using commercial finite element code ABAQUS on unit cube element.
Post-process data of the simulation of tensile test of unit cube element was taken for
computation of rupture strain and stress triaxiality. The relation between the strains
at rupture versus the stress triaxiality was quantified.
Keywords Rupture strain · Stress triaxiality · Macroscopic rupture criteria
1 Introduction
Rupture in a material is a term associated with initiation of crack in material when load
is applied. In the present paper, work is done on post-process data for computation
of unit cube and rupture strain is essential by Ayada [1], Brozzo [2], Oh [3] and
Rice–Tracey [4] macroscopic criteria as represented by equation (1), (2), (3) and (4)
respectively. Stress triaxiality represents state of stress; for calculation, it is defined
as ratio of hydrostatic pressure and deviatoric stress. Stress triaxiality is important
to calculate because material’s strain and rupture strongly depend on the existing
state of stress in individual areas of the material being strained. The limit strains
of element are determined by substituting stress and strain histories obtained from
the finite element simulation of the tensile test into the rupture criteria. Further, this
output data is called as post-process data and used to estimate strain at rupture and
triaxiality. The purpose of this study is to explore the possible applications of the
macroscopic rupture criteria for the prediction of strain at rupture and the suitable
criteria for prediction.
A. Jain · A. Mishra (B)

Department of Mechanical Engineering, National Institute of Technology Delhi, Sector A7,
Narela, Delhi, New Delhi 110040, India
e-mail: abhishekmishra@nitdelhi.ac.in

https://doi.org/10.1007/978-981-15-5463-6_68
766 A. Jain and A. Mishra
2 Macroscopic Criteria
For computation of rupture strain and triaxiality; Ayada [1], Brozzo [2], Oh [3], and
Rice–Tracey [4] four macroscopic criteria were used. McClintock [7] and Rice and
Tracey [4] have shown that fractures of ductile metals are strongly dependent on
hydrostatic stress by studying development of long cylindrical voids and spherical
voids, correspondingly. Atkins [8, 9] also pointed out that the criteria for fracture
commencement should depend on hydrostatic stress. This conclusion has been inde-
pendently inwards at by empirical routes [10–12], by porous plasticity or void growth
mechanics modeling, by continuum damage mechanics [10], and by connecting
initiation and propagation toughness mechanics [11–14]. Bao and Wierzbicki [15]
among others [16–19] have also observed that the mechanism of fracture is different
depending on the amount of triaxiality.
∈ f
σh
DA = d∈ (1)
σeq
o
∈ f
2 σ1
DB = d∈ (2)
3 σ1 − σh
o
∈ f
σ1
Do = d∈ (3)
σeq
o
∈ f
σh
DR = exp 1.5 d∈ (4)
σeq
o
Fracture ductility is comprehended as the capacity of a material to acknowledge a

huge amount of deformation without fracture. Equivalent strain to fracture is a good
measurement of fracture ductility.
3 Rupture Strain
σ1 2 1 + α/2
=√ √ (5)
σeq 3 1 + α + α2
σh 1 1+α
=√ √ (6)
σeq 3 1 + α + α2
Computation of Rupture Strain from Macroscopic Criteria 767
Table 1 Strain at rupture

Criteria Expression for strain at rupture
based on criterion
√ √ 2
Oh ∈¯ Of = 3 1+α+α
2+α Doc
Brozzo ∈¯ Bf = 3 c
2(2+α) D B
√ √
2
Ayada ∈¯ Af = 3 1+α+α
1+α D cA
√
Rice and Tracey ∈¯ Rf = exp(− 2
3 √ 1+α
)D cR
1+α+α 2
In Eq. 5, σ1 is the maximum principal stress. From Eqs. 5 and 6, by using simpli-
fication, obtain values of σ1 , σeq and σh in terms of α [5, 6], and these values are
used for substituting in Eq. 1, 2, 3 and 4; the following relation is derived (Table 1).
The analytical expression developed by Lee [5] by taking assumption of isotropic
hardening and isotropic yield criterion, for planar stress using Eqs. 1 and 2, where
ε2 and ε1 are the minor and major principal strains, respectively. These above
expressions are used to estimate stress triaxiality for unit cube element. Further,
these expressions are used to obtain analytical relationships for macroscopic rupture
criteria. Calculation of α is done with help of minor and major strain value using
Eq. 7 [6]; further obtained values are used to plot strain at rupture for unit cube
element in tension.
2
∈eq = √ 1 + α + α 2 ∈1 (7)
3
4 Stress Triaxiality vs Rupture Strain
Equations (1) to (4) are used to plot curves in Fig. 1. To plot strain at rupture for
the tension test of unit cube element, α was calculated using major and minor strain
values at rupture which was calculated using Eq. (7). The strain at rupture was plotted
corresponding to the triaxiality ratio of tension test. For the tension test, normal
triaxiality ratio is rather not the same for the certain criteria, in the range from 0.16
to 0.24. It can be seen that Ayada, Oh, and Brozzo criterion has good expectation
of the equivalent strain at rupture compare to Rice–Tracey criterion. The maximum
equivalent plastic strain output from the numerical simulation of the tensile test is
in worthy agreement with the curves. It can be decided that rupture in tension can
be impartially well anticipated using Ayada, Oh, and Brozzo macroscopic rupture
criterion.
Lee [5] has described the equivalent plastic strain as function of α and principal
strain ∈1 , given by Eq. (7). The minor strain ∈2 is derived by the relation ∈2 = α
∈1 with the help of these relations; the graph of ∈1 versus ∈2 at the rupture has
been plotted (cf. Fig. 2). Within the triaxiality ratio 0.2–0.4, the graph defines the
relation between the major and minor strain for the different macroscopic rupture
768 A. Jain and A. Mishra
2
1.8
1.6
Strain at Rupture εf
1.4
1.2 OH
1
BROZZO
0.8
0.6 AYADA
0.4 RICE TRACEY
0.2
0
0 0.2 0.4 0.6 0.8
Triaxiality Tm
Fig. 1 Strain at rupture and stress triaxiality
0.5
0
-0.5 0 0.5 1 1.5 2
-0.5 OH
ϵMajor
BROZZO
-1 AYADA
RICE TRACEY
-1.5
-2
ϵMinor
Fig. 2 Rupture limits predicted using macroscopic rupture criteria
criterion. For tension test Ayada, Oh, and Brozzo criterion has better agreement
with simulated values rather than Rice–Tracey criterion which overestimates ∈major .
Overall, it represents that Ayada, Oh, and Brozzo criterion predicts the closest values
for ∈major and ∈minor for tension test.
Computation of Rupture Strain from Macroscopic Criteria 769
5 Conclusions
Post-process data of unit cube simulation for tensile test is used to plot strain value
at rupture with stress triaxiality, which is done by using finite element simulation
with Ayada [1], Brozzo [2], Oh [3] and Rice–Tracey [4] macroscopic criteria. In this
work, the rupture ductility was found strongly dependent on the stress triaxiality.
Tensile test simulation was done on unit cube element, which provides dependency
of rupture ductility of stress triaxiality in a wide range of parameter.
References
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Trans-Am Soc Mech Eng J Eng Mater Technol 126:314–324
16. Kobayashi S, Oh SI, Altan T (1989) Metal Forming and the Finite-Element Method. Oxford
University Press
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18. El-Magd E et al (2001) Fracture criteria for automobile crashworthiness simulation of
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32(9):712–724
19. Wierzbicki T, Muragishi O (1999) Calibration of ductile fracture from compression and tension
tests. Report 21
Biosignal Analysis Using Independent
Components with Intelligent Systems
Suhani Pandey and Mohammad Sarfraz
Abstract This paper proposes early detection of myocardial infarct and heart
arrhythmias from the characteristic pattern of the ECG waveform, and signal
processing techniques for analysis of the biosignals along with the feature extraction
and classification technique. Independent component analysis (ICA) is considered as
a new technique suitable for the separation and removal of assorted noises indepen-
dent of ECG signals. ECG Feature Extraction plays a major role in analyzing most
of the cardiac diseases. This scheme determines the intervals and amplitudes in the
ECG signal for succeeding analysis. The amplitudes and intervals value of P-QRS-T
segment defines the functioning of the human heart. Artificial intelligence improves
the biosignals’ monitoring efficiency and helps serious caretakers to get a faster
prior diagnosis. In our current work, we incorporated machine learning and different
architecture of artificial neural network (ANN). The annotated standard samples
from MIT-BIH arrhythmia database are used for experiments. Results attained using
the proposed algorithm using MIT-BIH and PTB database illustrates that the neural
network classifiers demonstrate high classification accuracies of over 98.96% should
help cardiologist for early diagnostic of arrhythmias.
Keywords Cardiovascular diseases (CVDS) · Electrocardiography (ECG) ·

Artificial neural networks (ANN) · Independent component analysis (ICA)
1 Introduction
According to world health organization cardiovascular diseases (CVDS) are respon-

sible for the death of about 17.9 million people every year that is 31% of global
deaths in the world [1]. Also, According to a 2013 study, the estimated number of
individuals suffering from Atrial Fibrillation worldwide in 2010 was 33.5 million,
which is about 0.5 percent of the world’s population [2, 3]. In India, CVD epidemic
attributes to a quarter of all mortality. Ischemic heart disease and stroke are the
S. Pandey (B) · M. Sarfraz

Department of Electrical Engineering, ZHCET, Aligarh Muslim University, Aligarh, India
e-mail: suhanipandey.zhcet@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_69
772 S. Pandey and M. Sarfraz
prime causes and are accountable for >80% of CVD deaths in India [4]. Therefore,
there is an essential need to accurately detect those diseases from Electrocardiog-
raphy (ECG). With the exponential growth in computational processing power, it’s
now possible to develop automated algorithms, to analyze the signals for precise
diagnosis by physicians [5]. Within the scope of biomedical signals and sensors, a
biosignal can be explained as a depiction of a physiological phenomenon, Regardless
of the nature of this depiction [6]. In the past few years, a huge part of the research has
been concentrated on the biomedical signal. Daily clinical practices create an ample
amount of biosignals for monitoring patient’s conditions. The physicians routinely
have to decide the patients’ state of health. For that reason, the automatic processing
system is mostly being used in medical data analysis. New methods can simplify
and speed up processing the large volume of data [7]. Arrhythmia is a collective
term for a heterogeneous group of conditions in which there would be an abnormal
electrical activity. There are numerous cause for arrhythmias, most of which are
associated with CVDS [8]. Arrhythmia like ventricular fibrillation and flutter are
deadly medical emergencies that may result in cardiac arrest and unexpected cardiac
death. Biomedical signals pose a challenge to researchers who may have to separate
weak signals obtained from multiple sources mixed with artefacts and noise. ECG is
a record of electrical activity generated by heartbeats. ECG signal processing proves
to be helpful in predetermining unexpected heart diseases such as arrhythmias, Heart
Attack (myocardial infarction), Acute Coronary Syndrome, and others. Special elec-
trodes are used to measure these electrical signals from the surface of the body [9].
ECG contains noisy signals due to body motion, unpredictable contact of electrodes,
and interferences from other biosignals disrupt the correct recognition of clinically
considerable conditions, limiting the reliability of these automated systems. These
signal obtained, contains many components from different and hypothetically inde-
pendent sources, the combined effect is a linear combination of them presented at
the ECG electrodes As a general clinical diagnostic tool, ECG has extended its
applications for onsite and longstanding monitoring of many cardiac conditions and
diseases. Quick diagnosis, timely treatment, and long-term monitoring can help in
preventing an unexpected heart attack or other forms of heart failure. Automated
ECG analysis is majorly a signal processing and pattern recognition problem studied
by many researchers and the developed systems used broadly in clinical settings
over the past few decades. A typical computer-based ECG analysis system includes
signal pre-processing, beat detection, and feature extraction stages followed by clas-
sification. Noise and artefact removal is the first and foremost step for ECG signal
processing [9]. Using ICA for biomedical signal processing is an area of research in
which many groups are now actively engaged to explore the potential of blind signal
separation and signal discretization to acknowledge new information about the brain
and body. 98 leads and 72 leads ECG data and by using ICA separating ECG features
like P wave, QRS and T wave can be recovered [10–12]. Thus, high-resolution data
can be used in comprehensive diagnosis [10]. ICA has shown promising result in
removing breathing artefacts from ECG signal which has further encouraged to apply
ICA for more noise separation [13]. Earlier, an approach using neural networks for
determining the features of ECG signal is presented using an integrated system for
Biosignal Analysis Using Independent Components … 773
ECG diagnosis. The system consisted of a cepstrum coefficient method to extract

features from long-term ECG signals and artificial neural network (ANN) models for
the classification [14]. Some work was to calculate the classification performance of
an automatic classifier of the electrocardiogram (ECG) for the detection of abnormal
beats with a new concept of feature extraction stage [15]. The classification of ECG
aims to classify various CVDS conditions and diagnose associated diseases. Algo-
rithms are designed to classify different types of irregularities in heartbeats, e.g.,
tachycardia and premature ventricular contractions (PVC). Others are for diagnosis
of CVDS such as myocardial infarction (MI), right and left bundle branch block. It
is known that feature selection plays a vital role in the success of pattern recognition
[16]. This paper examines the use of ICA to obtain key features of arrhythmia to
allow more precise and computationally efficient pattern recognition. Along with
the feature extraction and ANN as a classification technique.
2 Heart and ECG Review
The human heart is a muscular organ nearly the size of a hand, located just behind
and somewhat left of the breastbone. The heart pumps blood through the network
of arteries and veins collectively known as the cardiovascular system. In order to
measure heart activity electrodes are placed on the surface of the body at several
prescribed locations and connecting the electrodes in different configurations to
voltage amplifiers and a recorder. Three-lead ECG is the most common and basic
configuration, among many other possible configurations. It is based on the Einthoven
triangle [17], as shown in (Fig. 1). It uses only three leads for measurements to give
a general profile of electrical activities of the heart. The two-lead ECG configura-
tion is regularly used in the Holter monitoring that allows the recording of the heart
activity of the patient constantly over a long period of time with portable devices
[18]. Electrode in left leg acts as a ground and the potential difference of the other
Fig. 1 Einthoven’s triangle and lead positions

two electrodes are measured in reference with ground electrode therefore only two of
these three leads are independent [18]. Data from lead II obtained from MIT-BIH [16,
19, 20]. The foundation of the ECGs included in the MIT-BIH arrhythmia database is
a set of over 4000 long-term Holter recordings that were obtained by the Beth Israel
Hospital. It is widely being used as a standard or reference dataset in ECG analysis
and pattern recognition work [16].
2.1 ECG Wave Form Description
ECG wave has several peaks and dips, useful in the diagnosis of one cardiac cycle in
an ECG signal consisting of the P-QRS-T waves [21] as shown in (Fig. 2) (Table 1).
Fig. 2 ECG waveform

Table 1 Detail description of different features of ECG signal

Features Represents Interval (ms)
P wave A wave of depolarization that spreads from the SA node all 60–80
through the atria
PR interval Time in electrical impulse travel from the sinus node through the 120–200
AV node enters the ventricles
PR segment Time between the ends of atrial depolarization to the start of 150–120
ventricular depolarization
QRS complex Ventricular depolarization 60–100
Q wave the normal left-to-right depolarization of the interventricular 90–100
septum
R wave Early ventricular depolarization 80-120
S wave late depolarization of the ventricles –
S-T segment the time at which the entire ventricle is depolarized and roughly 100–120
resembles the plateau phase of the ventricular action potential
Q-T interval time for both ventricular depolarization and repolarization to 360–440
occur
T wave ventricular repolarization and is longer in duration than 120–160
depolarization
R-R interval time elapsed between two successive R-waves of the QRS signal 600–1200
3 Techniques Used
3.1 Independent Component Analysis
ICA is a statistical method that is used to identify fundamental factors or component

which are statistically independent. It is a signal processing tool used for the removal
of hidden layers of noise in the ECG signal. Basically, the special feature of ICA is
to separate the signal mixture to the source. ICA is used for considering these hidden
signals are non-Gaussian in nature.
A classical example to demonstrate ICA based Blind Source Separation (BSS)
is a Cocktail party problem as shown in (Fig. 3). Let us suppose, Two Speakers are
heard by two listeners (or heard over microphones), due to distance inconsistency
each listener hears a different linear mixture of the two sources [22].
In order to separate the individual voices from the linear mixture with no informa-
tion about the sources and mixing parameters available, the following mathematical
equations are as follows:
x(t) = A ∗ s(t) (1)

Fig. 3 Schematic representation of a signal mixing process Cocktail party problem
Here in the Eq. (1), vector x (t) represents the signals received, s (t) represent the
original source signals, and A represents the mixing matrix. Given the conditions of
the same number of sources as there are receivers.
x1 (t) = a11 (t)s1 (t) + a12 (t)s2 (t)
x2 (t) = a21 (t)s1 (t) + a22 (t)s2 (t) (3)
where x 1 and x 2 are the signals received by the microphone, the presence of sources
s1 and s2 in x 1 and x 2 is determined by the mixing parameters a11 , a12 , a21, and a22 . It
is postulated that parasitic noise found in ECG signals are statistically independent
of the ECG. Also, it is supposed that all noise sources can be considered as a single
lumped source; hence ICA can be applied to separate out the noise from actual ECG
signals.
There are many ICA algorithms, each of which has its own application areas. Few
among them are widely used and also they are fundamental for other algorithms.
Popular ones are: Fast ICA, Jade ICA, Kernel ICA, constrained ICA, and extended
ICA. Our work is concentrated on FastICA [12].
FastICA Algorithm. FastICA attempts to separate fundamental sources from the
given measurement set based on their non-Gaussianity. The basic principle behind the
FastICA is that the fast fixed-point iterative algorithm undertakes to find projections
that maximize the non-Gaussianity of components by their kurtosis (the fourth-order
cumulant given to a random variable). In simpler terms, as kurtosis is identically
zero for Gaussian distributed signals, the objective is to maximize the magnitude of
the kurtosis to make the estimated sources as non-Gaussian (i.e., as independent) as
possible. The kurtosis is given by:
2
Kurt(y) = E y 4 − 3 E y 2 (4)
For a zero-mean random variable x. In this paper ICA algorithm is used in an

uncommon way. Instead of performing blind source separation, it is used to deter-
mine the fundamental features or independent components (ICs) of different ECG
arrhythmias that are statistically independent to one another [12].
3.2 Artificial Neural Network
ANN is used as a feature extracting technique for obtaining information, patterns

from data that are either complex, inaccurate, or complicated that they cannot be
recognized either by humans or other computer techniques using machine intelli-
gence. ANN process information in the same way as the human brain does. Among
advantages of neural networks belong to adaptive learning, self-organization, real-
time operations, and fault tolerance. With the help of data acquired in a training
process or any previous experience, neural networks can organize themselves and
accordingly represent information acquired in the preceding, training period.
A typical ANN is made up of a hierarchy of layers, consisting of neurons in the
networks. The neuron calculates the weighted sum of the input signals and compares
the result with a threshold value, θ. There are various types of activation functions
(θ ) that are used for example a hard limiting threshold function (a sign function),
a linear or semi-linear function, most frequently used smoothly limiting threshold
sinusoid function, as written below.

Y j = f α j = (1)/ 1 + e−α j (5)
where α j is the weighted input plus a bias.

Multilayer neural networks use back-propagation learning algorithm as shown in
Fig. 4, out various available learning algorithms.
Fig. 4 Artificial neural network model

A back-propagation neural network, the structure is more or less like feed-forward

neural network consisting of input, hidden, and output layer. First, a training input
pattern is fed to the network input layer. The network then propagates the input pattern
from layer to layer until the output pattern is generated by the output layer. If this
pattern deviates from the desired output, an error is then calculated and propagated
backward through the network from the output layer to the input layer. The weights
are updated as the error is propagated. Multilayer neural networks trained with the
back-propagation algorithm are used for pattern recognition problems [23]. In this
paper, ANN is also used as a pattern recognition tool. Pattern recognition systems
help to identify patterns and are used in data classification.
4 Methodology
The block diagram (Fig. 5) depicts the process of ECG beats classification using
ANN. ECG data is obtained from the MIT-BIH arrhythmias database since most of
the diagnostic information of the ECG signal lies around R peak, i.e., QRS segment,
which is about 0.06–0.10 s. So the designated portion on both sides of R peak is
preferred. In this study 200 data points in each sample which is nearly 0.0556 s of
ECG signals are selected. The sampling frequency of this signal is 360 Hz [20]. The
extracted sample of 200 data points has all the necessary information of ECG pulse
including P and T wave as well, which gives us complete information contained in a
single pulse including the cases of noise presence along with the original signal. ICA
is used to eradicate noise in the obtainable ECG Sample and also to extract feature
(R-R interval). Classification is then done using back-propagation neural network
Fig. 5 Block diagram of the

proposed feature extraction ECG Signal
and classification system
Beat Sampling
Pre-Processing (Normalization)
ICA based features Extraction
Feature Vector (R-R Interval)
Classification using ANN
Performance Comparison
Table 2 Record and number

Types of beat No. of samples MIT-BIH patients
of ECG for small dataset
record
Atrial premature beat 100 209
(APB)
Left bundle branch 100 109
block (LBBB)
Normal 100 100
Paced beat (PB) 100 102
Premature ventricular 100 106
contraction (PVC)
Right branch bundle 100 231
block
(ANN). All of the above processes are implemented in MATLAB software. In this
paper, Multilayer neural networks using back-propagation learning algorithm has
three layers, Input layer contains feature extracted (here R-R Interval) by ICA with
one hidden layer, output layer consists of six neurons for classes, with a learning rate
of 0.1. It took nearly about 1.5 s in the MATLAB computing environment.
Two datasets are prepared with 600 and 12,000 sample segments attributing six-
beat types. The six-beat types used in the study are Normal beats (NORM), Premature
Ventricular contractions (PVC), Atrial Premature Beat (APB), Left bundle branch
block (LBBB), Right bundle branch block (RBBB) and Paced beat (PB).Using ANN
pattern recognition tool, a random selection of 70% of this data is used for training,
15% for testing and 15% for validation. The reason behind the preparation of two
datasets is to analyze the performance of the classifier. Sometimes a classifier perfor-
mance is appreciable on a smaller dataset but fail to give good accuracy on larger
dataset (Tables 2, and 3).
Table 3 Record and number

Types of beat No. of samples MIT-BIH patients
of ECG for big dataset
record
Atrial premature beat 2000 209, 220, 222, 223,
(APB) 232
Left bundle branch 2000 109, 111, 207, 214
block (LBBB)
Normal 2000 100, 101, 103, 105
Paced beat (PB) 2000 102, 104,107,217
Premature ventricular 2000 106, 116, 119, 201,
contraction (PVC) 203, 200
Right branch bundle 2000 231, 212, 124, 118
block
5 Results
5.1 Reading Confusion Matrix
The number written in the box of particular row and column shows the no. of the
beats of the output class identified as the target class. For instance, box (2, 2)on all
confusion matrix of (Figs. 6 and 7) shows that the 99 sample beats of class 2 are
correctly identified as class 2. Similarly, box (1, 2) of (Figs. 6 and 8) shows 1 sample
beat of class1 incorrectly identified as class2. This interpretation goes with the other
boxes of confusion matrix too.
The FN, TN.TP, and FP are calculated as follows:
n
For j th class FP is calculated as: FP j = ai j − a j j
i=1
n
For j th class FN is calculated as: FN j = ai j − aii
i=1
Fig. 6 Confusion matrix showing the classification result when ICA is used on smaller dataset
Fig. 7 Confusion matrix showing the classification result when ICA is used on larger dataset

n
For j th class TN is calculated as: TN = a j j − aii
i=1
For j th class TP is calculated as: TP j = aii
5.2 Reading Receiver Operating Characteristics (ROC) Plot
ROC plot shown in (Figs. 8 and 9) illustrates the performance of classification with
True positive on Y-axis, and false-positive on X-axis. The thumb rule in reading
ROC is that, the closer the ROC curve is to the upper left corner, the higher is overall
accuracy of the test. While a random guess is represented by a straight line “y = x”.
Fig. 8 ROC of the above classification when ICA is used on smaller data set
Precisely, The point, i.e., (0, 0) depicts the strategy of never issuing a positive
classification. The point (1, 1) represents the opposite strategy of unconditionally
issuing positive classification. The point (0, 1) represents perfect classification.
5.3 MATLAB Results
The detailed results are presented in Tables 4 and 5.

Fig. 9 ROC of the above classification when ICA is used on larger dataset
Table 4 Performance indices calculated from Fig. 6

Arrhythmias TP TN FP FN Acc. (%) Sen. (%) Spe. (%) PPr. (%)
APB 99 496 1 3 99.33 97.06 99.80 99.00
LBBB 99 496 1 0 99.83 100.00 99.80 99.00
Normal 99 496 1 0 99.83 100.00 99.80 99.00
PB 99 496 1 0 99.83 100.00 99.80 99.00
PVC 100 495 0 0 100.00 100.00 100.00 100.00
RBBB 99 496 1 0 99.83 100.00 99.80 99.00
Table 5 Performance indices calculated from Fig. 8

Arrhythmias TP TN FP FN Acc. (%) Sen. (%) Spe. (%) PPr. (%)
APB 1979 9816 21 44 99.45 97.83 99.79 98.95
LBBB 1969 9826 31 93 98.96 95.49 99.69 98.45
Normal 1990 9805 10 25 99.70 98.76 99.90 99.50
PB 1979 9816 21 13 99.71 99.35 99.79 98.95
PVC 1899 9896 101 17 99.01 99.11 98.99 94.95
RBB 1979 9816 21 13 99.71 99.35 99.79 98.95
6 Conclusion
This paper emphases on ECG signal processing using independent component anal-
ysis (ICA), as a signal conditioning and feature extraction technique along with ANN
as a pattern-based recognition classifier used to perform final classification in order
to measure the performance of ICA extracted features. FastICA algorithm is used
to obtain ICs. Order of the ICs cannot be well established, thus random selection
of ICs is made. With different numbers of independent components, performance
is checked out. Even the component selection is random, the performance indices
are very much acceptable. In the case of PVC accuracy and sensitivity is 100% for
small data. Neural network classifiers established high classification accuracies of
over 98.96% with a relatively small number of ICs. It also proves that selecting
significant features from the feature set could enhance the recognition performance
making it a strong feature set for ECG arrhythmia classification. Finally, all the goals
formulated were successfully met of high accuracy, sensitivity, specificity, and posi-
tive predictivity. Results prove the importance of ICA in ECG signal processing.
We can say this intelligent system has the potential to help physicians in the prior
detection of the patient’s heart condition.
References
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burden of cardiovascular diseases among US states, 1990–2016. JAMA cardiology 3(5):375–
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mental health care costs in patients with atrial fibrillation in The United States. Circ Cardiovasc
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133:1605–1620
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cardiogram (ECG) signal feature extraction using discrete wavelet transforms (DWT). CSPA
1112–1117
6. Kaniusas E (2012) Fundamentals of biosignals. Biomedical signals and sensors I. Springer,
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on medical wards: an integrative review. Int J Nurs Stud 52(6):1107–1120
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10. Shayan A, Zhang W, Duann J-R, Zhu Y, Jung T-P, Makeig S, Chen TL, Cheng C-K (2008)
Analyzing high-density ECG signals using ICA. IEEE Trans Biomed Eng 55:2528–2537
11. Huang HF, Hu GS, Zhu L (2012) Sparse representation-based heartbeat classification using
independent component analysis. J Med Syst 36:1235–1247
12. Sarfraz M, Khan AA, Li F (2014) The ICA Based Soft-Computing Algorithms for Signal
Cleaning and Feature Selection in (for) Automated ECG Pattern Recognition. Int J Emerg
Technol Adv Eng 4:470–476
13. Wisbeck JO, Barros AK, Yy AKB, Ojeda RG (1998) Application of ICA in the separation of
breathing artifacts in ECG signals
14. Karpagachelvi S, Arthanari M, Sivakumar M (2010) ECG feature extraction techniques-a
survey approach. arXiv preprint https://arxiv.org/abs/1005.0957
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purpose of heartbeat classification. In: Proceedings of 6th international conference on computer
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space for reliable ECG Arrhythmia classification. In: IEEE international conference on
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Modeling of Multiple Jointed Kinematic
Chains Using the Polynomial Coefficients
Derived from the Interactive Weighted
Matrices of Kinematic Graphs
Vipin Kaushik and Aas Mohammad
Abstract The paper proposes a novel approach to detect the Isomorphism in the
family of 8 Link Multiple Jointed, 1-Degree of Freedom Multiple Jointed Kine-
matic Chains using the Kinematic Graphs. An Interactive Weighted Adjacency [WA]
is developed. Using MATLAB software, the Summation of Characteristic Polyno-
mial Coefficients of these respective chains and their corresponding mechanisms are
enumerated and observed to detect the presence of Isomorphism and to ascertain the
number of distinct kinematic chains.
Keywords Matrix · Isomorphism · Distinct mechanisms · Polynomial coefficients
1 Introduction
Kinematic chains play a vital role in development of mechanisms especially in the

field of Robotics and Manufacturing machinery. The study of kinematic chains is
thus very important in order to develop newer and better mechanisms [1]. Among
the vast field of study of kinematic chain, Isomorphism existing in kinematic chains
becomes an important topic for study [2, 6]. By fixing one link in the kinematic chain,
a kind of constrained motion is obtained by moving other links and also on fixing
some other link other than the first link the same motion is obtained then it is known
as isomorphism of the kinematic chains or identical chains [3]. Since the number
of different chains that can be developed with any number of links are tremendous,
therefore scholars and researchers have been looking for methods which are not only
efficient but easy as well to determine the isomorphism existing in the family of
kinematic chains as it will save time and also help in developing much more efficient
machines [4, 5]. In present work the method of polynomials is studied and its validity
is examined for 8 link base kinematic chains. The kinematic chain structure provides
vital information such as what are the connecting links and this information can be
V. Kaushik (B) · A. Mohammad

Islamia, Delhi, New Delhi 110025, India
e-mail: vipukaushik@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_70
788 V. Kaushik and A. Mohammad
used to form a matrix for the kinematic chain using basic computer algorithms in
MatLab [7, 8]. The main motive of present work is to identify the efficacy of the
method of finding polynomial values and also to prove if it is valid for 8 link base
kinematic chains or not along with trying to understand how efficient is it for analysis
of chains of higher number of links and the time consumed in order to analyze them.
2 Methodology
The novel method is applied on 8 link, 1-D.O.F Base kinematic chains. These 8-link
Single D.O.F kinematic chains can be classified into 16 base kinematic chains, that
were tested for isomorphism using the polynomial approach. Two structural invari-
ents namely Absolute summation of characteristic polynomial coefficients (SPMC)
and Maximum value of the characteristic polynomial coefficients (MPMC). The
calculated structural invarients will be different for non-isomorphic chains [9]. The
methodology is applied on the 16 base kinematic chains which are non-isomorphic.
If the structural invarients holds correct for these base kinematic chains, then the
same approach can be used for multiple jointed kinematic chains of higher order.
These 16 base kinematic chains have further assortments which may also be tested
for possibility of isomorphism [10].
Degree of Links d(l i ): Depending upon the type of link, degree d (l i ) is as follows:
d (li ) = 2, for a binary link
d (li ) = 3, for a ternary link
d (li ) = n, for n-nary link
Degree Vector (v): It represents the degree corresponding to individual link in chain
and represented as:
v = [d(11 ), d(12 ), d(13 ), . . . d(1n)]
Modified Adjacency Matrix [MA]:

This matrix is used to represent the Multiple Jointed kinematic chain. We may use
the graph of a multiple Jointed Kinematic Chain to represent [MA] Matrix.
{d ij } = Joint value between adjacent ith link & jth link.
• If ith link and jth link are adjacent, then joint value will be equal to the value as
calculated by using the graph of the kinematic chain.
• If ith link and jth link are not adjacent to each other, then,
• d ij = 0
• The Diagonal elements of the [MA] Matrix, i.e. when i = j (d ii or d jj ), represent
the Degree of Links.
Modeling of Multiple Jointed Kinematic Chains Using … 789

[MA] = di j n×n
Mutual Interactive Effect of Relative Weights (W ij ):

Mutual interactive effect of Relative weights of the links connected together by a
joint is directly related with the relative importance of the degree of the links [11,
12]. It is calculated as below:

Wi j = wi j + w ji 2

Wi j = 1/2 d(li ) d l j + d l j d(li )
Weighted Adjacency Matrix [WA]:

Weighted Adjacency Matrix incorporates both, the influence of Modified Adjacency
Matrix [MA] and Mutual effect of weights (W ij ), thus we got the resulting square
matrix of size nxn and represented as,

[WA] = gi j n × n
where;

gi j = di j ∗ Wi j
Characteristic Polynomial of [WA] Matrix:

With the help of weighted adjacency matrix, the characteristic polynomial is calcu-
lated. Proposed [WA] matrix provides further information related to different links
corresponding to a kinematic chain taking into account of the effect of mutual inter-
active weights, thus the characteristic polynomial and hence Absolute sum of char-
acteristic polynomial coeffiecients (SPMC) and Maximum value of the character-
istic polynomial coefficients (MPMC) will clearly identity the kinematic graphs and
kinematic chains and Mechanisms.
The characteristic Polynomial equation of [WA] matrix is given as:

WA−λ j = 0
= λn + a1 λn−1 + a2 λn−2 + · · · + an−1 λ + an
3 Illustrative Example
Consider the following 8 link, 10 Jointed, Single Degree of Freedom base kinematic
chain as shown in the Fig. 1.
Degree Vector (V)
The degree vector is written as follows:
V = [3, 3, 3, 3, 2, 2, 2, 2]
Modified Adjacency Matrix [MA]:

Using the graph of kinematic chain, modified adjacency matrix is written as follows:
⎛ ⎞
3 0 1 0 1 1 0 0
⎜0 3 0 1 1 0 0 1⎟
⎜ ⎟
⎜1 1⎟
⎜ 0 3 0 0 0 1 ⎟
⎜ ⎟
⎜0 1 0 3 0 1 1 0⎟
[MA] = ⎜ ⎟
⎜1 1 0 0 2 0 0 0⎟
⎜ ⎟
⎜1 0 0 1 0 2 0 0⎟
⎜ ⎟
⎝0 0 1 1 0 0 2 0⎠
0 1 1 0 0 0 0 2
Weighted Adjacency matrix [WA]

⎛ ⎞
3 0 1 0 1.083 1.083 0 0
⎜0 3 0 1 1.083 0 0 1.083 ⎟
⎜ ⎟
⎜1 1.083 ⎟
⎜ 0 3 0 0 0 1.083 ⎟
⎜ ⎟
⎜0 1 0 3 0 1.083 1.083 0 ⎟
[WA] = ⎜ ⎟
⎜ 1.083 1.083 0 0 0 2 0 0 ⎟
⎜ ⎟
⎜ 1.083 0 0 1.083 1.083 0 0 0 ⎟
⎜ ⎟
⎝0 0 1.083 1.083 1.083 0 2 0 ⎠
0 1.083 1.083 0 0 0 0 2
Fig. 1 Kinematic chain

Polynomial Coefficients (Say, P) of Base [WA] Matrix
P = 1 −20 162.61 691.25 1.6443 −2180.73 1538.42 −535.93 72.72
Absolute Sum of Characteristic polynomial coefficients (SPMC) = 9.1908

Maximum value of the characteristic polynomial coefficients (MPMC) = 1.6443.
4 Results
Table 1 Structural Invariants derived From 8-Link, 10-Joint Base Kinematic Chains
KC No. Kinematic chain SCPC MCPC Type
1. 9.1908 1.6443 Distinct kinematic chain
3. 0.4996 −1.8867 Distinct kinematic chain
(continued)
Table 1 (continued)
10. 2.0448 1.4466 Distinct Kinematic Chain
(continued)
Table 1 (continued)
5 Conclusion
The test for isomorphism for 8 link 10 jointed multiple joint base kinematic chains
of single degree of freedom has been performed satisfactorily and depicted in the
results in a tabular form. Since it is theoretically known that 16 base kinematic chains
cannot be isomorphic and as per the result obtained, it can be established that the
method is valid and stands on the proof. This method is also very easy to perform
and since the code is to be run on MATLab, it stated to be efficient as it founds to be
less time consuming. The efficacy of the method can further be tested by applying it
the chains of higher order. It gives us a scope for further evolution of the method and
find whether any further changes need to be made in any of the steps of methodology.
As for far, the steps are pretty easy to understand and the test can be performed with
ease.
References
1. Mruthyunjya T.S, Raghvan MR (1979) Structural analysis of kinematic chains and mechanisms
based on representation. Trans ASME J Des 101:488–518
2. Mruthyunjya TS, Raghvan MR (1984) Computer aided analysis of the structure of kinematic
chains. Mech Mach Theory 19(3):357–368
3. Rao AC (1988) Kinematic chains, isomorphism, inversions, and type of freedom using the
concept of hamming distances. Indian J Tech 26:105–109
4. Uicker JJ, Raicu A (1975) A method for the identification and recognition of equivalence of
Kinematic Chains. Mech Mach Theory 10:375–383
5. Nageswara Rao C, Rao AC (1996) Selection of best frame, input and output links for function
generators modeled as probabilistic. Syst Mech Mach Theory 31:973–983
6. Mohammad A, Agrawal VP (1999) Identification and isomorphism of kinematic chains and
mechanisms. In: 11th ISME conference, pp 197–202
7. Ambekar AG, Agrawal VP, (1985) Identification and classification of kinematic chains and
mechanisms using identification code. In: The fourth international symposium on linkage and
computer aided design methods Bucharest, Romania vol 1, issue no 3, pp 545–552
8. Mruthyunjaya TS, Raghavan MR (1979) Structural analysis of kinematic chains and mecha-
nisms based on matrix representation. Trans ASME J Mech Des 101:488–518
9. Ambekar AG, Agrawal VP (1987) Identification of kinematic generator using Min Codes.
Mech Mach Theory 22(5):463–471
10. Mohammad A, Shoeb M (2010) Some studies on the modelling of kinematic chains by using
the concept of multiple jointing and interactive weighted distance matrix. Int J Appl Eng Res.
2127–2142
11. Mohammad A, Khan IA, Lohumi MK (2008) Interactive weighted distance approach for
Identification of distance mechanism derived from the kinematic chain. Int J Appl Eng Res
3:1217-1226. ISSN 0973 -4562
12. Mohammad A, Khan RA, Agrawal VP (2006) Identification of kinematic chians and distinct
mechanisms using extended adjacency matrix. IMeche 221, 81–88
Application of Wavelet Analysis
in Condition Monitoring of Induction
Motors
Amandeep Sharma, Pankaj Verma, Anurag Choudhary, Lini Mathew,

and Shantanu Chatterji
Abstract In the era of globalization, manufacturing industries are facing intense

pressure to prevent unexpected breakdowns, lower maintenance costs and improve
machine availability. Due to the increasing trend of Condition Monitoring (CM),
numerous sensors deployed on industrial apparatus around the world and several
monitoring techniques available for fault diagnosis of induction motors are growing
at a rapid pace. This article provides a state-of-art review of past and recent develop-
ments taking place in wavelet analysis-based CM and failure diagnosis in three-phase
induction motors. The utilization of different CM techniques in data processing and
application of wavelet-based automatic failure prediction in induction motors for
timely scheduling of the maintenance holds great research potential in the future.
Keyword Condition monitoring (CM) · Fault detection · Wavelet analysis ·

rotating machines
1 Introduction
Due to the ever-changing nature of working environment, it is the dire need of today’s
world to put into practice an effective e-maintenance strategy for evolving proper
usage of existing assets, reliability and safety [1–3]. Induction motors are the majority
of the prime movers in industrial application. The demand of three phase induction
motor has highly expanded in the recent decades due to their simplicity and reliability
A. Sharma (B) · L. Mathew · S. Chatterji

Department of Electrical Engineering, National Institute of Technical Teachers Training and
Research, Sector 26, Chandigarh 160019, India
e-mail: amandeep.elect@nitttrchd.ac.in
P. Verma
Department of Electrical Engineering, T. R. Abhilashi Memorial Institute of Engineering and
Technology, Mandi, Himachal Pradesh 175002, India
A. Choudhary
Computational Instrumentation Division, CSIR—Central Scientific Instruments Organization,
Sector 30, Chandigarh 160030, India

https://doi.org/10.1007/978-981-15-5463-6_71
796 A. Sharma et al.
of construction [4]. The induction motor offers a extensive variety of engineering

applications in the fields such as railway, mining, automotive, chemical and paper
industry, etc. Single phase induction motors are most useful in domestic application,
i.e., centrifugal pumps, fans, and industrial machines, due to their high reliability and
efficiency [5, 6]. A conventional maintenance technique in the industry has primarily
taken two forms, either based on fixed time interval, i.e., scheduled maintenance or
the failure of plant as and when it happens, i.e., run-to-failure maintenance. However,
for improving the Condition Monitoring (CM) of induction motors, nowadays the
advantage of today’s technological advancements in the field of improved sensor, data
acquisition and signal processing has been utilized. The key elements of this new tech-
nique are condition-based maintenance or predictive safeguarding of motors using
CM, depending on the condition of the plant [7, 8]. The condition-based maintenance
is employed for improving the operation of the induction motor, increasing service
life and reducing the internal and external damages encountered during operation
[9]. Recent advances in the enhancement of wireless network technology, the uses
of internet-connected devices viz. smart phones and laptops have made realization
of smart sensor in combination with signal processing circuitry possibility.
The field of CM of induction motors often encounters analysis of non-stationary
signal. These signals cannot be analyzed using conventional time domain or
frequency domain methods and requires time-frequency domain investigation such
as Short Time Fourier Transform (STFT), Wigner-Ville distribution (WVD) and
wavelet transform based examination. In [3], a review of development and use of
wavelet transform has been provided in CM and flaw detection of rotary machines
over the past few years.
Wavelet transform is however a highly popular technique in non-stationary oper-
ating conditions, owing to its adaptive and multi-resolution capability. Therefore, it
is required to apply the wavelet analysis which can recognize and deal with different
types of failures within a machine for CM aiding timely maintenance decisions [10,
11]. CM of induction motor is the procedure of consistently observing or monitoring
the status of machine health for increasing efficiency and reducing maintenance costs,
productivity and enhancing machine availability [12]. Manufacturing imperfections
and tolerance, installation, operating condition and calendar of maintenance are the
main considerations responsible for failures in induction machines [13].
In this paper, an overview of different wavelet transform based techniques used
for diagnosis of faults in rotary machines has been explained, elaborating the state-of
the art and most recent developments.
2 Wavelet Transform Based Signal Processing Techniques
Most of the earlier monitoring techniques were based on transformation of time

domain signal into frequency domain before extracting the useful information from
them. The suitability of the analysis technique relies on characteristics of the acquired
signatures and the desired accuracy to be obtained [14]. Need of low cost and high
Application of Wavelet Analysis in Condition Monitoring of … 797
quality product leads to change in maintenance strategies of machine in indus-

tries. Today condition-based maintenance; real-time flaw detection and diagnosis are
required for smooth run of industrial processes [15]. Occurrence of fault may tend
machine to breakdown, which will result in financial as well as life losses sometimes
[16]. The transient signals in machines regarded as short period of time signals in a
wide frequency range contains important information about system, thus efforts have
continued to extract these information’s from system with suitable signal processing
technologies. Globally, a growth in theory and applied wavelet transforms has been
witnessed over the years and many publications designates improvement of wavelet-
based techniques and their useful applications in industrial and medical science.
Different capabilities of wavelet transform established it as a principal mathematical
tool in diagnosis of industrial motors. The usage of wavelets in condition-based main-
tenance and flaw detection, is using different viewpoints including the simultaneous
time and frequency domain examination of motor signatures, the fault coefficient
extraction, the peculiarity location for signals, the de-noising and extraction of low
power signals [17]. These techniques have been adopted by various researchers glob-
ally, and new progress in field of wavelet transforms is being advanced from various
new born and traditional technologies.
2.1 Wavelet Transform Analysis
Wavelet transform is basically a mathematical tool generally used for signal inves-
tigation. It is one of other tools like Fourier transform nonetheless; its capability
makes it special. A wavelet function is a wave like structure generally called ‘mother
wavelet,’ concentrating its whole energy in a small timespan and uses it for wavelet
transform. Where as in Fourier transform signal is divided in terms of sinusoidal
functions, signal decomposition in wavelet is shifted and scaled form of the mother
wavelet [18–21].
2.2 Continuous Wavelet Transformation (CWT) Analysis
Consider a time dependent signal represented as x(t), the CWT of signal x(t) is
defined as convolution of the signal x(t) with complex conjugate of continuous-time
function of family of wavelet. It can be expressed as given in Eq. (1):

1 t −τ
CWT(s, τ ) = √ x(t)ψ ∗ dt (1)
s s
where, τ and s are representing the translational and scale parameters, Ψ * =

Complex conjugate of the function Ψ . In wavelet transform, the signal is projected
in 2-dimensional time-scale as compared to one in case of Fourier transform. The
equivalent of Eq. (1) in frequency domain is,

1 ∗ t −τ
CWT(s, f ) = F{cwt(s, τ )} = √ x(t)ψ dt e− j2π f τ dτ (2)
2π s s
where, operator F{} represents FT operation, x( f ) = Fourier transform of x(t), *(sf )

= FT of *(). Equation (2) can be converted back into time domain by taking F −1 .
√
CWT(s, t) ≡ F −1 {cwt(s, f )} = s F −1 x( f )ψ ∗ (s f ) (3)
where, F −1 {} represents inverse Fourier transformation operator.
2.3 Discrete Wavelet Transform (DWT) Analysis
Wavelet transform described above has three properties that make it difficult to use.
On application of CWT to a signal, it would change in value of τ (redundancy
parameter) continuously; however, redundancy is beneficial in some of the applica-
tions for de-noising where performance is preferred over computational time [22].
Even without the repetition of the CWT there is endless number of wavelets and
we might want to see this number decreased to a more reasonable check. For most
utilities the wavelets do not have analytical solutions and we can ascertain them just
numerically or by using analog computer. Some different applications may need to
feature computational effectiveness and dyadic scale (i.e., s = 2, τ = k2 j ) can realize
such constraint. After discretization DWT can be explained as:

1 t − k2 j
dwt( j, k) = √ x(t)ψ ∗ dt (4)
2j 2j
Practically, DWT is employed by a couple of high pass and low pass filters repre-
sented by g(k) and h(k) where, g(k)= (−1)k * h(1 − k). These filters are selected
from mother wavelet ψ(t) and equivalent scaling function, i.e., Φ(t).
⎧ √
⎨ Φ(t) = 2 h(k)(2t − k)
√
k
(5)
⎩ ψ(t) = 2 g(k)(2t − k)
k
√
the, k h(k)= 2 and k g(k) is equal to zero. This signal is again divided into
conventional high and low frequency components given by [12]:

a j,k = h(2k − m)am, j−1
k (6)
d j,k = g(2k − m)am j − 1
The approximation coefficient is represented by aj,k and detailed coefficient, by

d j,k , which is signifying low and high frequency elements respectively. Approxi-
mation and detailed coefficient for wavelet scale 2j are made by convolution of
approximation coefficient for prior level (j − 1) using the filters for low pass and
high pass correspondingly.
2.4 Wavelet Packet Transform (WPT) Analysis
WPT is generally called the wavelet sub-band tree transformation or packet trans-
formation [23]. In WPT the detailed signal is again decomposed in high frequency
band. To obtain WPT for a signal at convinced level, the function of Eq. (5) can be
written as:
√
U2n (t) = √2 h(k)u n (2t − k)
(7)
U2n+1 (t) = 2 g(k)u n (2t − k)
with, u0 (t)= Φ(t), and u1 (t)=(t). Consequently, signal decomposition is given by

[5]:
⎧
⎨ d j+1,2n = h(m − 2k)d j,n
m
(8)
⎩ d j+1,2n+1 = g(m − 2k)d j,n
m
where, j stand for level and n for sub-band of wavelet coefficients; m signifies the
number of wavelet quantities.
2.5 Second-Generation Wavelet Transform (SGWT) Analysis
SGWT serves as a substitute to the traditional DWT. It contains three operating steps
which are splitting, prediction and updating. The x(t) signal is first split in subsets
as even and odds by means of sampling operation. Here, x(t) represents the original
signal, where value of t varies as (t = 1, 2, 3 …., 2n); with n depicting a natural
number. The signal x(t) can be written as [24]:

X even = {X (2t)}
(9)
X odd = {X (2t − 1)}
Afterward first (splitting) operation is finished, samples (odd and even) are sub-
sampled by a factor 2 and then prediction action is executed as:
X odd = P(X even) (10)

Here, P depicts a prediction operator; with d representing the change among

predicted and odd sample, called as detailed coefficient given by:

d = X odd − X odd = X odd − P(X even ) (11)
3 Wavelet Transform Based Condition Monitoring

of Induction Motor
The usage of wavelet transform techniques has been witnessed in different application
areas like image processing, biomedical instrumentation, manufacturing processes
and mechanical engineering and in many more [25]. However, our interest here
is to review the usage of wavelet transforms in field of fault diagnosis of rotating
machineries which are considered as the backbone of any modern industry.
3.1 CWT
When CWT is applied to the signal, the signal is transformed from time domain
representation to time-frequency domain for the next stage in which features are
extracted and selected. With change in value of the base function, CWT has been
broadly utilized with rotating machine fault determination. Initially the combination
of CWT and traditional neural network system has been utilized to find the flaws in
helicopter gearbox [26, 27]. The authors in [28], introduced an arrangement for error
recognition in machine condition monitoring in addition to presenting an unusual
time–frequency-based feature recognition arrangement for gear fault analysis and
achieved some results confirming the usefulness of the algorithm proposed.
An energy-based methodology has been exhibited to deal with defect analysis in
rotating machines and their constituents, which upgraded the capability of the contin-
uous wavelet to extract coefficient from vibration signals [29]. After experimentation
on two ball bearings, the authors concluded that the energy-based feature extraction
is better than the other traditional methods. It has also been inferred that the Morlet
wavelet is the utmost suitable wavelet basis for dissecting bearing deformity impelled
vibrations. This technique has also been employed to prepare the acoustic signals of
progressing bearing faults for various deformities, where the outcome have proven
that Acoustic Emission (AE) estimation and examination strategy is favorable in
comparison with the vibration test in the condition monitoring and defect analysis
for moving machines [30]. The authors have also concluded that Morlet continuous
wavelet is very effective in background noise elimination in case of AE signals. It
is also evident that scalogram of CWT contains more data of bearing deformity as
compared to the recurrence range. The outcomes determine that the proposed strategy
is helpful and productive and proves to be a stronger tool for early bearing defor-
mities identification of rotating machines. In [31], a continuous wavelet transform
was taken as the bearing signal pre-processor and the disintegration procedure was
utilized for fault coefficient extraction to recognize abnormalities in the bearing.
A method of parameter extraction (to get the information about the fault) by
wavelet coefficient of CWT has been used to diagnose the wellbeing of the machine.
The method can extract the symptom of vibration in addition to acquire information
from scalogram for analyzing the process of development of fault with increasing
speed. By integrating the information of time and frequency, the method can suitably
characterize the fault better as compared to FFT technique. The occurrence of a
pit fault in gear could not be shown clearly only by time and only by frequency
domain illustrations except when the fault exactness is high. The scalogram can
however, detect existence of pitting faults as well as its evolution even if the fault
severity is significantly smaller [32, 33]. A fault development parameter has been
utilized to assess gear fault progression quantitatively. These parameters are obtuse
to erratic load and were observed that they can suitably indicate early gear fault.
It was concluded that these fault evolution constraints are sensitive to fluctuating
loads and can identify initial stage gear defects. A special peculiarity based fault
coefficient component in vibration signals gathered under various machine working
conditions has been displayed that indicates diverse examples of singularities which
can be measured by the Lipschitz exponents [34]. A WT based condition monitoring
algorithm have been developed which recovers WT accessibility and decreases O&M
cost. This algorithm utilizes CWT-based filtering approach for tracking the vitality
in the defect associated recurrence group in power signal [35, 36]. This algorithm
reduces the calculation time even at varying speed. A novel technique for rolling
element fault detection have been proposed utilizing auto correlation function of
wavelet transform for identification when a de-noised vibration signal was applied.
Wavelet shape parameters have been streamlined in this technique using extreme
kurtosis criteria and outcome of both the reproduced and the actual bearing vibration
signals have demonstrated adequacy of used method to deal with and to concentrate
on moving bearing issues [37, 38].
3.2 DWT
Dealing with non-stationary signals, DWT is suitable for fault detection in rotational
machines because of its multi-resolution capability. A new technique to identify the
bearing’s faults in machines has been projected utilizing DWT coefficients shrinkage
methods and FFT [28]. The classification of faults conditions in electric motors has
been explained by various techniques. The investigators in [29] demonstrated a filter
bank approach and online fault identification framework for recognizing the DWT
coefficients of the rotor removal signals. The new system for rolling bearing fault
diagnosis contains DWT and hidden Markov models [30]. This model acquires good
fault identification rate as high as 99%. A novel strategy to determine the failure
of rotor bar in rotating machines has been explained utilizing the stator current and
DWT [39, 40]. The numerical model of induction motor have been utilized to point
out that the impacts of a bar breakage by maintaining a strategic distance from the
impact of other interference are not related with the fault. A component recurrence
system utilizing DWT for breaking down the rigging deficiencies of wind turbine
has been proposed in [41], wherein discrete wavelet was utilized for investigating
the vibration speeding up signal, combined with examination of energy distribution
in various recurrence bands [42]. A comparison with traditional method has been
made it was found that the technique can easily identify the gear faults. It has been
explained in [43–46] that the suggested fault recognition system can be engaged as a
dependable method for detection of rotor bar faults. A novel procedure for evaluation
of faults in case of broken rotor bars of induction motors has been presented. The
technique contains sensor as well as sensor-less control using Luenberger observer
and illustration of the non-stationary current signals was provided by DWT. A new
innovative technique combining wavelet and Power-Spectral-Density (PSD) tech-
niques with Fourier transform for motor fault detection has been framed by many
researchers [47]. This scheme has been employed for finding rotor bar breakage,
shorted turns and condition monitoring in variable load-torque induction motor oper-
ation. The spectrogram demonstrates disturbances closest to fundamental frequency
for subtle element, resulting from rotor bar breakage and the more distant ones,
resulting from air-gap eccentricity [38]. For the most part, gap peculiarity because of
change in relativity results in breakage in the rotor bars. A methodology containing
advantages of DWT and Fourier transform examination for frequency domain fault
coefficients extraction has been introduced in [48] which uses the Adaptive Neural
Fuzzy Inference System (ANFIS) for fault diagnosis. The technique has incredible
possibility to be viable and effective process to recognize the order of bearing flaws
for a variety of bearing conditions and fault severity. It gives an exceptionally precise
characterization with 97% accuracy.
3.3 Wavelet Packet Decomposition (WPD)
The researcher explicates that it is critical to find out WPD layers directed by signal
sampling frequency and WPD strategy [49]. The innovative component determina-
tion proposed a class in contrast with the wavelet packet node energy. The separated
dimensional vector were then utilized as a contribution to neural system classifier
and decrease the long training time which was regularly connected with the neural
system classifier with enhancing its speculation ability [45]. A technique to select the
WPT premise for fault analysis of machines has been proposed in [46]. The selection
procedure had created by aiming the localization and the discovery of faults. The
Coifman and Wickerhauser’s algorithm was utilized to choose the premise. The two
bases then offers plot to the representation of the processed signals. This premise
was adjusted to the arrangement of signal and locates the attributes of the harmonics.
A technique which allows one to do pitting flaw detection combining the WPT and
Support Vector Machine (SVM) has been presented in [50]. WPT has the advantage
to analyze the non-stationary signals and SVM can estimate, classify and forecast
in small-sample case. Another new technique to detect defects in rolling element of
bearings are presented in [51] which contain Improved Wavelet Packet Transform
(IWPT), used as distance assessment method and SVM. This method uses Adaboost
algorithm for identify abnormalities in the system. A WPT calculation for the persis-
tent operational reliability of three-phase induction motor has been presented in [52,
53]. The proposed strategy effectively distinguishes disturbing impacts precisely and
created a trip signal nearly at the moment or inside one cycle of the fault event. This
shows that the WPT-based detection strategy is quick, exact, and easy to imple-
ment to achieve desired goals to distinguish and give right conclusion of different
stator current coming out because of various transient production in induction motor.
Another multidimensional strategy to distinguish diverse classifications and levels
of gear damage faults was demonstrated at which faulty coefficient data was assem-
bled by WPT, Hilbert transformation technique and Empirical Mode Decomposition
(EMD) [54]. Multidimensional capabilities such as time, frequency and both time–
frequency domain-based elements can provide gear health conditions. The symp-
tomatic procedure for recognizing broken rotor bars in velocity sensor-less three
phases induction motor drive framework has been explained in [55]. The procedure
contains WPT and Adaptive Neuro Fuzzy Inference System (ANFIS), which was
exceptionally precise and a computationally productive device that has been utilized
for on-line fault finding. Wavelet transform used for current signature and observer
system was directly used in ANFIS.
3.4 SGWT
The SGWT along with spline-based local mean decomposition was utilized to read
inner race fault coefficients of bearing (6205-2RS-JEM), at 12,000 sample rate for
a single-point driving end defect monitoring [56]. Bearing dimensions were as per
the following: the faulty distance across was 177.8 µm (0.007 inch); the estimated
speed was 1797 r/min; at no load; the Ball-pass Frequency Inner race (BPFI) of
internal ring was 5.4152 Hz. The determined internal characteristic fault frequency
was 162.2 Hz. Approaches based on mechanical flaw analysis relying on Redundant
Second-Generation Wavelet Package Transform (RSGWPT), Neighborhood Rough
Set (NRS) as well as SVM are proposed [57]. This system utilizes the RSGWPT
to separate defective component elements from the measurable qualities of WPT
coefficients in order to make coefficient vectors, and to make the feature reduction
through NRS technique for obtaining the key elements. These features have been
exceptional capability which is crucial to classify, so it is more powerful to include
the key elements.
4 Conclusion
The wavelet analysis has significantly attracted the consideration of investigators

throughout the past couple of years. With the progresses in equipment monitoring
and fault detection and diagnosis, a lot of sensors are expected to be attached to
all the items around us, so that these can interact with each other with minimal
human mediation. In this paper, the state-of-the-art review on the advances and
the recent approaches in the condition monitoring and fault estimation of induction
motor with the application of wavelet analysis to several monitoring techniques
available are discussed. Besides new trends, Discrete Time CWT (DT-CWT), wavelet
design and wavelet selection which aid to develop the effectiveness of the process of
diagnosis in industrial machines, have also been discussed. With lot of improvements
in transform, there are still a lots of challenges in using wavelet for fault diagnosis,
as constructing a new wavelet function that adaptively relate with defect signal is a
tedious task and it needs further study. However, wavelet becoming more popular and
it is believed that it will be continuing to most dominating technique for fault detection
in machines. There is a huge potential for seamless exploitation of wavelet-based
condition monitoring for taking a critical view of failure and maintenance aspects of
machines.
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Optimization of Halon 1301 Discharge
Through Fire Extinguisher Cylinder
for IFSS
Reetik Kaushik, Yasham Raj Jaiswal, Vishal Dwivedi,

and Ranganath M. Singari
Abstract The following research paper aims to study the discharge of Halon 1301
through a fire extinguishing cylinder of capacity 3.6 L and perform analysis for
optimization of discharge. Halon 1301 is an effective fire extinguishing agent. Being
of low toxicity, odourless, and colourless, it is extensively used in armoured cars and
spacecraft applications. Major disadvantages are that it causes depletion of ozone
layer and has a limit to human exposure concentration of 7% and below 15 min as
concentration greater than 7–10% causes mild central nervous system effect such
as dizziness, which limits its use to military purposes or in any other kind of major
purposes. The following study uses the ANSYS software for analysis and simulation
purpose and SolidWorks software for designing and 3D modelling of cylinder for
determining optimal pressure for discharge. Similar simulation can also be done for
Halon alternatives such as Hepta-Fluropropane, developed by the Indian Institute of
Chemical Technology, Hyderabad.
Keywords Halon · IFSS · Lightweight · Fire extinguisher · Fire · Suppress ·

Instant-detection
1 Introduction
With the current rise in military activities in all the realms of the security forces, the
demand for higher and more innovative safety standards has increased substantially
over the past decade in India. As a result of this, a system was required to be developed
that could instantly and effectively suppress and cut-off the most fatal cause in the
battlefield, that is fire. Hence, a system was developed for the same cause named
instant Fire detection and Suppression system. In this study, we have discussed
R. Kaushik (B) · Y. R. Jaiswal · R. M. Singari

Department of Mechanical Engineering, Delhi Technological University, New Delhi 110042, India
e-mail: reetik_bt2k16@dtu.ac.in
V. Dwivedi
Scientist ‘E’, DRDO, New Delhi 110054, India

https://doi.org/10.1007/978-981-15-5463-6_72
810 R. Kaushik et al.
possible methods to increase the efficiency of the system by further decreasing the
release time to find further application in other combat vehicles (especially aircrafts)
besides tanks.
Halon 1301 is known as bromotrifluoromethane which is having chemical formula
CBrF3 , it is an organic halide used for fire suppression and refrigeration in various
technological prone areas. Halon 1301 is used widely because of its low level of
toxicity and low concentration of toxic compounds which is safer to use below 7–
10% concentration. This compound is also famous for ozone layer depletion causing
greenhouse effect in the atmosphere. For this reason, its use is very limited in many
sectors and it has applications only in fire suppression. Halon 1301 has character-
istics of an invisible and limited range of discharge due to this reason it is used in
paramilitary forces vehicles and aircraft. As seen in the case of carbon dioxide device
there is no white smoke in the case of Halon which makes it better to use and it can
help in large scale fire extinguishing. It finds a variety of values but cannot be used
freely due to its toxic effects thus a critical concentration is determined for combat
vehicles [1, 2].
IFSS or instant Fire detection and Suppression system is an automatic fire extin-
guishing system in which the fire detection part is based on microcontroller and
suppression system for vehicles and tanks. This system detects the fire through its
sensors and suppression of fire is done through the discharge of fire suppressing agent
automatically or manually by overriding switch in the engine and crew compartment
of the tank [3].
The existing fire extinguisher cylinder used in IFSS is made up of Si–Mn steel
32G2SF1 and has a tare weight of 6.41 kg. these cylinders contain 3.5 kg of Halon
gas. So after charging the cylinder, the total weight of the cylinder becomes 12–13 kg
(including weight of assembly valves).
Thus our objective is to determine the optimal pressure for the given range of
discharge time (in this case under 50 m s) for which the cylinder can be designed
under the constraint of weight reduction primarily when used in aircraft.
Automatic Fire Extinguishing Systems (AFES) are used in armoured vehicles to
protect the crew from hazards such as improvised explosive device (IED) threats and
fuel explosions [4]. They preserve the cabin and engine compartment of the vehicle
with the help of sensors, which detects and suppresses fire using extinguishing agents.
Major fire extinguishing agent used is Halon 1301 because of its effectiveness in
suppressing fire and leaves no residue. It’s safe for human exposure at low concen-
tration (up to 5–7%), beyond which it causes dizziness and other nervous system
effects (Fig. 1).
Several degrees of sustainability can be considered. For some materials recy-
cling simply is not an option (e.g., some composites can only be broken down by
combustion). For other materials, a distinction will be made between cradle and grave
recyclability, where the material is degraded every time it is recycled, and cradle to
cradle recyclability where materials can be recycled without degrading. Steel alloys
often allow the cradle to cradle recycling, which gives them an inherent advantage
compared to other materials.
Optimization of Halon 1301 Discharge … 811
Fig. 1 Schematic of current design
The challenge is to design the device as such, that it complies with both regula-
tions and satisfies as much of the previously mentioned desirable characteristics as
possible.
2 Statement of Problem
While switching from Halon to its alternatives such as agents like HFC-227 two
main challenges are usually encountered that is the ease of fire suppressing agent in
flooding the compartment, gaseous discharge flood the compartment more quickly
and easily than a liquid agent, thus preventing any reflex fire. It is essential that nozzles
are designed for a particular agent and is located where fuel might be collected.
Furthermore, liquid agents have larger density than a gaseous agent, thus nozzle
must be put in a place that the discharge is not directed toward the crew, additionally,
it leads to larger liquid fraction in the extinguisher discharge. Due to these chal-
lenges, we try to optimize the current Halon 1301 being used in fire extinguisher
cylinder by determining the ideal filling pressure. Thus, for designing a cylinder
for storage of Halon 1301 and nitrogen at high pressure, certain parameters need to
pre-determine such as working pressure, factor of safety, etc. working pressure or
filling pressure depends upon the required discharge time [5]. For a particular filling
pressure thickness of cylinder is determined and is designed considering the factor
of safety. Larger thickness corresponds to an increase in overall weight which is not
desired, especially in the case when this system is being used in aircraft, where added
weight increases the amount of fuel consumption and reduces its flight time.
Thus optimal initial pressure is determined by the:

• Discharge time
• Overall weight of system.
3 Experimental Setup
The cylinder capacity is taken to be 3.6 L, whereas volume of protected space is

taken to be 10 m3 . To calculate the mass of Halon, the protected volume is multiplied
by the mass flooding factor in pounds per cubic foot is calculated from the specific
volume of Halon vapour at a given temperature. The necessary quantity of Halon is
calculated as follows:

V C
W = ∗ (1)
S 100 − C
where
W Weight of Halon in lbs.
V Volume of protected space f t 3 .
C Halon 1301 concentration % by volume.
S Specific volume of the Halon 1301 vapour.
The value is calculated with the following formulae:
S = 2.2062 + 0.005046T (2)
where
T Design temperature (F).
For a concentration of 6% Halon in a protected space of 10 m3 the required amount
of Halon is 3.6 L. Two phases exist in the cylinder one consist of dry nitrogen and
the other consist of Halon 1301.
3.1 Simulation
ANSYS Fluent v.16.0 was used to simulate the discharge of Halon through a cylinder.
It is important to apply the appropriate and uniform mesh to the computational
domain. To obtain satisfactory mesh, different fluid regions should be meshed consid-
ering parts of a single body. As can be seen in the region of intersecting bodies.
Besides the construction is axisymmetric, the computational domain is shown in
Fig. 2.
Fig. 2 Geometry of cylinder in ANSYS
3.2 Geometry
The part is divided into two bodies, the upper body and lower body, former represents
nitrogen while later represents halon.
The dimension of cylinder is taken as follows:
• Inner radius: 6.57 cm
• Length of cylindrical part: 18.4 cm
• Outlet diameter: 3 cm
• Outlet nose length: 1 cm
• Volume of Nitrogen: 1434.7 cm3
• Volume of Halon: 2267.3 cm3 .
3.3 Meshing
Meshing of the cylinder is done by applying both bodies are part of single body, this
ensures uniform meshing at the interface of two bodies (Fig. 3).
• Statistics:
Nodes: 304,291
Elements: 301,048
Size of elements: 0.005–0.3 cm
Fig. 3 Mesh diagram
3.4 Governing Equation and Boundary Condition
In this study, a three-dimensional model was created and analysis was made using
ANSYS FLUENT software to investigate or study the flow of Halon 1301 in the
fire extinguisher cylinder of AFES. When the AFES system stars to operate after
detection of fire through its sensor, the outlet at the cylinder is opened and Halon
1301 which is pressurized through nitrogen starts to flow out through nozzle and
moves along the tube. As the flow continues, nitrogen gas starts to enter the nozzle
after the almost complete discharge of Halon 1301, and thus two-phase flow occurs
in the tube. The given model was simulated under the Volume of Flow (VOF) model
[6, 7]was used to analyze the interface between the two phases. The mathematical
model used was based on the 3D solution of coupled partial differential equations,
which describes the conservation of mass and momentum. The equation of continuity
is given as
∂ρ ∂(ρu i )
+ =0 (3)
∂t ∂ xi
The momentum equation is written as
∂ρu j ∂ρu i u j
+ =0 (4)
∂t ∂ xi
3.5 VOF Method—Tracking of Interface
In two-phase system tracking of both the phases can be done with the help VOF
model which tracks the interface between two phases. In this method there is a
sharp distinction between the phases, there is sharp transition between the phases.
Thus, which provide easier tracking of interface by equation of continuity for volume
fraction in any one of phases. For any qth phase, the equation of volume fraction can
be written as:
∂αq ∂αq
+ ui = Sαq (5)
∂t ∂ xi
The volume fraction of qth fluid in the given region or cell is denoted as αq , which
can attain any of the given values given below:
• αq = 0 The cell does not contain qth fluid
• αq = 1 The cell contains only qth fluid
• 0 < αq < 1 The cell contains the interface between the fluids.
The appropriate values of local variables of each control volume are assigned
corresponding to each local value αq . The VOF model is a flexible approach for
two-phase simulation with free surfaces, where the surface tension effects are not
dominants. One of the challenges related to VOF model is the accuracy of numerical
scheme in order to ensure mesh alignment bias and sharp distinction of interface [8].
3.6 Modelling Assumptions
The nitrogen and Halon 1301 do not mix with each other.
Halon 1301 is ejected initially then followed by the nitrogen from the cylinder.
The wall of cylinder is considered to be adiabatic since the discharge takes in a
few milliseconds there is hardly any time for interaction of heat flow.
The outlet of cylinder is considered to be at constant pressure of 1 bar with constant
temperature at 300 K.
Nitrogen phase is kept at high pressure at initial condition (t = 0).
3.7 Setup
The analysis is done assuming gravity in the direction of nozzle, using (Fig. 4):
(1) Solver
• Type—Pressure based
• Velocity formulation—Absolute
Fig. 4 Initial setup
• Time—Transient.
(2) Models
• Multiphase—Volume of fluid
• Energy Equation
• Viscous realizable k-e scalable real wall function.
(3) Operating condition
• Pressure—101,325 Pa
• Temperature—300 K
• Specified operating density—0 (assumed)
• Outer surface of cylinder is defined as wall with thickness of 0.42 cm
• Nitrogen is assumed to be an ideal gas stored at 5,201,325 Pa in upper body
of cylinder whereas the lower body is filled with Halon 1301.
Here, the discharge time is taken when nitrogen phase just comes in contact with
the nozzle as beyond this point the volume fraction of Halon in the discharge is less
than 0.2. There are some traces of Halon still left in the cylinder in its hemispherical
portion that can be seen in Fig. 5.
Fig. 5 Phase concentration at end of discharge
Figure 5 shows the boundary surface between the nitrogen gas (red; volume
fraction-1) and the Halon (blue; volume fraction-1) in the cylinder after the nitrogen
phase comes in contact with the nozzle of 3.8 cm in diameter (Figs. 6 and 7).
As the discharge or flow goes on the interface goes downward toward the outlet,
nozzle at the end of the cylinder, the interface surface change into the downward
convex surface after this moment both the phases Halon and nitrogen simultaneously
enter the nozzle and then into the tube and thus two-phase flow initiates in the tube.
The amount of Halon left in the cylinder while the nitrogen phase starts to enter the
tube depends upon the geometry of the cylinder.
After finding out the variation of initial pressure via discharge time various sets
of observations were made, furthermore, a plot of filling pressure versus discharge
Fig. 6 3D view of pressure distribution

Fig. 7 3D view of temperature distribution
time was plotted to get optimum filling pressure for various conditions (Figs. 8 and
9).
Velocity of Halon reaches maximum in a few milliseconds and then decreases
due to the expansion of nitrogen stored above. There is a sudden plunge in velocity
occurs when the nitrogen phase comes in contact with the outlet (Fig. 10).
Temperature at outlet remains constant for a while till Halon is discharged, at the
instant when nitrogen makes contact with the outlet temperature falls rapidly due to
its prior expansion.
Fig. 8 Variation of initial pressure versus discharge time

500
450
400
350
Velocity
300
250
200
150
100
50
0
0 0.01 0.02 0.03 0.04 0.05
Time [s]
Fig. 9 velocity of phase
350
300
Temperature [K]
250
200
150
100
50
0
0 0.01 0.02 0.03 0.04 0.05
Time [s]
Fig. 10 Temperature of phase
5 Conclusion
From the given graph above the initial pressure can be chosen that corresponds to a
particular discharge time, which further helps in designing of cylinder with the help
of determined thickness. For IFSS, discharge time is preferred to be less than 50 m s
which corresponds to the pressure above 40 bar.
Since Halon 1301 is a very good fire suppressor but due to its harmful effects
on the environment, it’s not popularly used, thus is limited to military sector. This
simulation can also be used for the determination of optimal initial pressure for
Halon alternatives. For further reduction in discharge time following methods can
be adopted:
• Increase in pressure of Nitrogen
• Increase in volume of nitrogen at particular pressure
• Increase in outlet diameter.
Following constrained also had to be maintained:

• Concentration of Halon should not exceed safety limit
• Sound of discharge should be lower than 50 db
• Variation of pressure inside the tank should be kept within safety range.
Various physical parameters had been analyzed for Halon discharge for nitrogen
stored at 52 bar pressure, and the parameter is well within the safety range.
References
1. Rajput S, Saikia PP (2018) Fire extinguishing agents: sort and comparison. IJRASET 6:557–567
2. Prendeville S, O’Connor F (2013) Material selection and design for sustainable material
innovation. In: 10th European academy of design conference—crafting the future 2013, pp
1–12
3. Hodges SE et al (2001) Automatic fire and explosion suppression systems for ground vehi-
cles—past, present, and future. In: Proceedings of the 12th annual ground vehicle survivability
symposium (GVSS), annual meeting (Monterey), TARDEC, Detroit, MI
4. Hodges SE, Di Raimo L (2004) Automatic fire protection system (AFES) alternate agent inte-
gration challenges. In: Proceedings of the 15th annual ground vehicle survivability symposium
(GVSS), annual meeting (Monterey), TARDEC, Detroit, MI
5. Peterson E (2001) Standards and codes of practice to eliminate dependency on Halons, UNEP,
pp 1–74
6. Jin J-M, An F-L, Shou Y, Pan R-M, Xuan Y, Li Q-W (2017) In: 8th international conference on
fire science and fire protection engineering, vol 211, pp 755–761
7. Coward RN, Hillaext JA Analytical methods for modeling discharge characteristics of Halon
1301 fire protection systems, NIST.GOV
8. Hodges SE (2006) Challenges in integrating Halon-alternate agents into automatic fire extin-
guishing systems (AFES). In: Halon options technical working conference, 16th Proceedings,
HOTWC
Barriers to the Use of Robots in Indian
Industries
Ravindra Kumar
Abstract With the rapid change in the socioeconomic status and global competi-
tiveness, the means are devised to ease the work of human beings and also to take
care of safety issues. Use of robot is not only limited to manufacturing but found
equally important in other applications as well. The use of robots in manufacturing
and service-based industries has increased exponentially. Robots have been used
since long back in large enterprises even in developing countries like India but its
use is limited in the case of Small and Medium Enterprises (SMEs). In large enter-
prises also, the use of robots in India has not matched with that of other countries.
The acceptance of robotics in Indian industries is slow-paced due to one or the other
reason. There are a large number of factors that affect the use of robots in Indian
industries. This paper focuses on the barriers which limit the use of robots in Indian
industries.
Keywords Robots · Indian industries · Barriers
1 Introduction
The term robotics was used in 1941 which refers to the study and use of robots
for different applications. With the expansion of automotive industry during the late
1950s and early 1960s, robot became more popular. During this period, robots helped
the industrial workers to make their task easy and also increase productivity. Initially,
one of the reasons for using the robot was to perform the task in a dangerous and
unhealthy environment.
Robot has no definition which could be agreed upon by all the firms involved
directly or indirectly either in its manufacturing or using for their organization. Craig
[1] defined the robot as “if a mechanical device can be programmed to perform a
wide variety of applications, it is probably an industrial robot”.
R. Kumar (B)
HMR Institute of Technology and Management, Delhi, New Delhi, India
e-mail: ravi3000@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_73
822 R. Kumar
Being a developing country, India still has limited use of modern technologies such
as robotics. However, in advanced manufacturing systems, the use of an industrial
robot is increasing exponentially. Japan is still a leader in robot production and
industrial use. It has exported some $1.6 billion worth of industrial robots in 2016,
i.e., more than the next five biggest exporters (Germany, France, Italy, United States,
South Korea) combined [2]. The major reasons for this are labor shortage in Japan
and strong investment by industry and the government. The other reasons are shorter
production lines, lower capital cost per unit product, more flexibility and save the
labor costs.
Some of the manufacturing industries are reluctant to accept the use of robot
and still facing difficulties in recognizing the potential of robot for one or the other
reason. In manufacturing industries, an industrial robot plays vital role in material
handling, welding, and painting which is increasing for some other unstructured
tasks performed in the industries such as robotic machining [3]. Industrial robots
have proved to be cost-effective and provided flexible alternatives for certain tasks
in the advanced manufacturing industries. Compared to industrial robots, machine
tools are costlier and less flexible. It is well known that poor accuracy, less stiffness,
and re-programming are the most important limiting factors in robotic machining [4,
5]. The use of robots in military battlefield and disasters may drastically reduce the
time and cost needed as compared to the traditional approach.
Robots can be used at home to help the disabled, the elderly, and anyone that
requires practical assistance in daily life. The robots that developed to perform useful
tasks for untrained human users in a non-industrial setting are termed as personal
service robots [6]. The robotics has also entered the field of construction for automa-
tion, unmanned operation and other tasks and systems have been developed and tried
in Japan [7].
The aim of this research is to ascertain and explain the barriers to robotics in
Indian manufacturing industries.
2 Literature Review
There are many factors that adversely affect the implementation of robotics in manu-
facturing, known as barriers. These barriers can be internal and external types.
Internal barriers are from the organization itself and related to its culture and struc-
ture, etc. These are controlled by the top management of the organization. External
barriers are outside the immediate control of the organization.
Robots can perform some processes with objective results and high efficiency
for those time consuming and repetitive tasks. They can also improve safety by
performing the task in dangerous or unsafe environments instead of being done
manually [8].
Figure 1 shows the data relating to the number of robots used by a country per
10,000 numbers of employees in manufacturing. The data shows that South Korea is
well ahead of other countries in the use of robots and uses 631 robots per ten thousand
Barriers to the Use of Robots in Indian Industries 823
700
Robot
631
600
488
500
400
309
303
300
223
211
189
Robot
185
184
177
200
160
153
145
144
138
135
132
128
101
83
100
74
71
68
58
57
51
49
45
34
32
31
31
28
23
18
17
15
11
10
6
5
3
3
3
0
Italy
Spain
Germany
Japan
Sweden
Denmark
Israel
Turkey
Greece
Belgium
Taiwan
Canada
Austria
France
Brazil
Singapore
Finland
Slovenia
Russia
India
Australia
China
Norway
Malaysia
Portugal
Hungary
Poland
Mexico
Romania
Estonia
South Korea
Thailand
United States
Netherlands
Switzerland
New Zealand
South Africa
CroaƟa
Indonesia
Philippines
World Average
Czech Republic
United Kingdom
ArgenƟna
Fig. 1 Industrial robots per ten thousand employees in 2016. Source International Federation of
Robotics, World Robotics 2017
workers in manufacturing. Opposite to it, India has the minimum number of robots
in manufacturing industries with a mere three robots per ten thousand workers.
According to the International Federation of Robotics, robot density in any country
is an excellent standard for comparison of automation degree of the manufacturing
industry. Asian countries have shown remarkable growth in the volume of robot
installations in recent years. Between 2010 and 2016, the average annual growth rate
of robot density in Asia, Americas, and Europe was 9, 7, and 5%, respectively.
3 Robotics Barriers
There are a number of issues involved with the use of robots in manufacturing
industry. Use of robots in Indian industries has not grown in proportion to that of
the world. India’s manufacturing industries in respect of uses of robots are lagging
much behind from the other countries.
With the development of new technologies, manufacturing organizations are
investing in robotics and automation to enhance their processing capabilities, ensure
the safety of workers and increase productivity. The recent developments show
that small and medium-sized enterprises (SMEs), in particular, are adopting robots
824 R. Kumar
to increase their processing capabilities and efficiency of workforce. Still, a large

number of Indian SMEs are reluctant to invest in robotics due to high complexity,
expensive technology, and require large shop floor space for deployment. Moreover,
the payback period for these robots is extremely long, making them expensive for
SMEs.
The barriers to the use of robotics in Indian industries are identified based on the
interaction with the persons from different agencies involved directly or indirectly and
also from the literatures available. The interaction includes persons from the different
industries ranged from private sector, public sector, and government organizations.
By identifying the barriers to robotics in Indian industries, it can help in understanding
the real issues associated with the introduction of robotics in these. The following
barriers to the robotics in Indian manufacturing industries have been identified and
explained.
3.1 Lack of Top Management Commitment
Top management of any organization is responsible for all the activities to be under-
taken at all levels. It is directly responsible for the organizational structure, techno-
logical knowledge, policies, and decision-making at all levels of the organization.
Top management is the main key factor in deciding the use of robots in any manufac-
turing industry. Top management’s decision is influenced by the vision and mission
of that industry, future market conditions, risk involvement, commitment towards
the organization.
3.2 Lack of Organizational Structure
Organizational structure is the backbone of any organization and it allows each person
to be able to take appropriate decisions as and when required. It is important to
distribute the power at various levels for the smooth functioning of the system so that
decisions can be taken well in time without the influence of the work. As robotics
involves the persons from the specialized fields to work on a common platform,
it needs perfect monitoring for which organizational structure plays a vital role.
Organizational structure creates a hierarchy for authority and responsibility in the
system. With the stronger structure in the system, the system runs efficiently and
develops new ways to improve the performance. On the other hand, a weak structure
is incapable to take the decision even in critical situations.
3.3 Organizational Culture
Organizational culture relates to the norms followed and social awareness that
dictates the persons to act and behave in any organization. The culture in any orga-
nization is based on the experience of the people working in the organization, work
nature, philosophies, attitude, and expectations that dominate the organization’s func-
tionality. Organizational culture has proved to be one of the major barriers in the
application of robotics in SMEs.
3.4 Lack of Technical Knowledge
The knowledge in the field of robotics is everlasting and the field is growing exponen-
tially. Robotics involves personnel from different backgrounds such as mechanical,
electrical, computer, information technology, and other technical skills. The knowl-
edge sharing between the specialist of these background are required to work closely.
Availability of persons rich in robotics technology is difficult as it involves the long
duration of training with the focus on quality and quantity. There has been a contin-
uous shortage of skilled manpower in this field and it very costly to train the person’s
at the organization levels.
3.5 Oppose to Change by the Workers
The change in any form is always associated with some kind of randomness in
the process which takes some time to settle down on the upper side. This inclines
towards uncertainty over a period of time in an organization. There is a need to bring
a thorough awareness about the change taking place and the benefit the organization
is going to make in the long run. Robotics being a complex system and rich in
technology, it needs rigorous training and continuous update of the knowledge in
this field. Workers not willing to update will feel to lose their carrier and they are
opposed to any kind of change in the industry. It is found that persons who worked
longer for one type of system finds it difficult to cope with the change.
3.6 Fear of Job Loss
Robotics is advancing at a rapid pace due to the potential benefits to the economy
of any country by boosting productivity and creating new and better products and
services.
826 R. Kumar
Robotics will be disruptive for labor markets and some jobs are likely to be
eliminated. With the elimination of some traditional jobs, there is a high possibility
that new jobs with higher skill levels will be created. The long term net effect should
be positive for the economy as a whole. The concerned organizations are required to
work together to deal with this transition phase.
Many studies have been performed on the impact of robotics and automation on
employment and it is found that in the era of digitization, there is always a fear of
loss of jobs due to the increasing role of robots [9].
3.7 Availability of Cheap Labor
Labor is an essential part of any manufacturing organization. The labor is generally

thought of doing the hard work and is not confined to industrial work of the kind
done by the working personnel. Men work together to produce the goods and services
necessary for life. Labor is the basic creative power, next only to nature [10].
Work force or labor is the dominant factor for the overall development of any
country. India’s population has grown substantially over a period of time which leads
to the availability of labor at the cheaper rate, which resulted in the poor growth of
automation and robotics in Indian industries. Replacing human power with robots
could not draw the attention of scientists and engineers.
3.8 Lack of Training
Robotics is a multi-disciplinary field which involves the in-depth knowledge of

different engineering background. Therefore, it becomes difficult to have complete
knowledge of the subject. In India, the field of robotics has not grown to the industry’s
standards due to one or the other reason. Training is one of the factors which deprive
the development in the field of robotics. The type of training it requires involves
the specialization in the engineering fields like electrical, electronics, computer and
mechanical which becomes difficult to provide at one platform. The other factor is
the exponential growth in this field which makes continuous updates on the tech-
nologies involved more difficult. Thorough knowledge of the above fields can only
lead to some significant impact on robotics technology.
3.9 Controlling of Robots
Controlling the robot is one of the major issues in its application. In controlling the
robot, care is to be taken to avoid static objects, avoid dynamic objects, pass through
doorway, and navigate to object [6]. Physical objects in space can be an obstruction
to the robot’s mobility. For the mobility of robot in space to perform the given task,
the robot needs to avoid both static and dynamic objects. Controlling robot in the
dynamic environment is associated with a lot of challenges. Humans on the other
hand can work with better responses in such type of environment.
3.10 Shortage of Trained Manpower
Due to the complexity involved in the training on robotics, it becomes quite difficult to
get the trained manpower in this field. Finding an appropriate person for the specific
application of the robot is a way more difficult. The high level of training requirements
makes the training more expensive. Robotics technology can be divided mainly into
two fields, i.e., manufacturing and application. Even if the robot is manufactured
and supplied by a firm it may not be possible for the user to handle the application
part of it. The user further needs the trained manpower to reprogram and readjust the
robotic system as the need arises because of its inherited flexibility in the operation.
A good programmer can make the process more efficient and compact.
3.11 Change in Technology
The field of robotics has revolutionized in the last few decades. The evolution of new
technologies in the fields of mechanical, electronics, computer, and electrical has
directed the research on robotics to a great extent. Robot technology is fast-paced
technology with the new research and developments and their applications in the field
of computers. Computerized programming of robots created new ways for the flex-
ibility in their applications. The need to incorporate the new technologies increases
the overall cost of the robotics system and the firms engaged in manufacturing try
to find the alternative solution with a compromise in the flexibility delivered by a
robotics system.
3.12 High Initial Cost
The initial cost of a robotic system is very high and it may take years to recover the
cost involved with such a highly sophisticated system. The cost of robotic system is
divided into two parts. The first part is initial investment and the second is operating
cost. The cost of initial capital investment includes:
• Robot cost (robot, equipment)
• Accessories cost (additional hardware, computers, tools)
• Related expenses (conveyors, safeguarding, interfaces, insurance)
828 R. Kumar
Total Net Cash Flow
Set-up
period
Time
Investment
Payback
Fig. 2 Typical life cycle of capital investment [4]
• Engineering cost (feasibility studies, planning, design)

• Installation cost (labor and material for site preparation, air, water, electricity,
setup cost)
• Tooling cost (labor and material, interfaces, fixtures, positioners, tool controllers)
(Fig. 2).
When a project is started, money flows out until the project comes online (invest-
ment). After this saving starts and this first recover, the investment and then they
produce net earnings. Break-even point will be reached (payback time). Earlier nega-
tive cash flow is recovered now and net earnings will be produced (Total Net Cash
Flow).
3.13 High Maintenance and Operating Cost
The great flexibility of a robotics system is accompanied by its high maintenance

cost in terms of manpower and material. The operating cost includes:
• Highly skilled programmer (person having good knowledge of robotics, capable
to handle the flexibility provided by the robotic system)
• Maintenance cost (maintenance, repair, spare parts, lubricants, service)
• Other costs (ongoing training, break down time).
3.14 Too Small Batch Sizes for Automation
The available data shows that one out of ten manufacturers plan and implement a
robotic system for some task, whether it is welding, machine tending, palletizing, or
whatever a very popular obstacle that is often heard from the manufacturers that they
are a job shop or small batch size and don’t make enough volume of any particular
part, or they say that labor is inexpensive and plentiful. Last and probably most
commonly heard is that they have too much changeover and robots are for a high
volume of manufacturing. So there is a general perception that setup and changeover
are not compatible with robotics and that for robotics to be beneficial to the firm
requires high production volumes.
The highly automated system setup saves time and increase efficiency, but it needs
higher investment for robotics. Manual labor becomes more suitable for performing
the more-challenging tasks, where variable product mix makes it difficult to justify
automation of certain operations of the process. Many firms will always have human
manpower available, even for a completely-unmanned system, to have the operator
perform some of the tasks that can be expensive to automate.
3.15 No Process for Automation
The benefits of automation are well documented; it increases productivity, reduces

cost, and minimizes errors in the operations. It helps in eliminating the repetitive
manual tasks, freeing us up to be more innovative. Is it good to automate every
process possible in the system? The answer is “no”. In a word: no. We are required
to find out what to automate and not automate based on the analysis of the activities
involved in the process.
However, certain processes are more suited to automation than others, and what
to automate depends on a number of factors. Generally, if a repeatable task involves
more number of people, the possibility is that it would be more efficient if it was
automated.
The other side what not to automate. If the process require minimal number of
people and has no deadline, don’t connect with other systems, applying automation
can be a waste of time. So be careful while deciding the processes to be automated
and not to be automated.
4 Conclusion
The field of robotics is too complex and involves a large number of factors while
making decisions for the application of robots in any industry. The Indian industries
are reluctant to use robots due to one or the other reason. From the above discus-
sion, it is clear that there are a number of factors that affect the use of robotics in
830 R. Kumar
Indian manufacturing industries. While some of the factors are global, others are
localized depending on the local conditions. The factors affecting the use of robots
in Indian industries have been discussed above in detail. It is concluded that there
are a number of reasons which act as barriers to the use of robotics. These are to be
taken care of before making any decision regarding the use of robots. These barriers
can be divided into two broad categories, i.e., managerial and technical. Managerial
barriers are concerned with the overall management of all the resources. Technical
barriers include the manufacturing and application of the robot along with the training
required to operate the robotic system.
This paper gives an overall view of the issues which can act as barriers to the
robotics application in Indian industries. The above list is not exhaustive and there
might be other factors which can act as barriers.
References
1. Craig JJ (1989) Introduction to robotics mechanics and control, 2nd edn. Addison-Wesley,
Boston, MH
2. Schneider T, Hong GH, Le AV (2018) Land of the rising robots. Financ Dev 55(2):28–31
3. Zivanovic S, Slavkovic N, Milutinovic D (2018) An approach for applying STEP-NC in robot
machining. Robot Comput Integr Manuf 49:361–373
4. Chen YN, Chen YH (1999) Implementation of a robot system for sculptured surface cutting.
Part 1 rough machining. Int J Adv Manuf Technol 15(9):624–629
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(2011) Reconfigurable robotic machining system controlled and programmed in a machine
tool manner. Int J Adv Manuf Technol 53(9–12):1217–1229
6. McGinn C, Sena A, Kelly K (2017) Controlling robots in the home: factors that affect the
performance of novice robot operators. Appl Ergon 65:23–32
7. Obayashi S (1999) Construction robot systems catalogue in Japan: foreword. Council for
Construction Robot Research Report, pp 1–3
8. Rea P, Ottaviano E (2018) Design and development of an inspection robotic system for indoor
applications. Robot Comput Integr Manuf 49:143–151
9. Dekker F, Salomons A, Waal J (2017) Fear of robots at work: the role of economic self-interest.
Socio Econ Rev 15(3):539–562
10. Harlambos M, Heald RM (1980) Sociology: themes and perspective. Oxford University Press,
Oxford
11. Industrial robotics: how to implement the right system for your plant. Industrial Press, New
York
Impacts of Regenerative Braking
on Li-Ion Battery
Akshay Thakur , Kaleem Uz Zaman Khan , Jatin Gupta ,

Kunal Gupta , Mukund Vats , Chetan Mishra , and Aditya Roy
Abstract Electric vehicles are the future of the automobile industry. Strategies must
be devised for achieving a greater degree of energy conservation and further reducing
our reliance on fossil fuel driven technology. Regenerative braking is one of the
methods for moving forward in the said direction. In this paper, we are going to
see the various effects of regenerative braking on the battery life of a vehicle. We
have focused on various parameters of degradation of battery life, especially lithium-
ion batteries which occur during regenerative braking such as variation in charging
C-rate, variation in temperature, etc. and their dependency on the cycle life of the
battery. We have found that charging the battery beyond a particular C-rate which
usually happens during regenerative braking leads to degradation of battery life.
Keywords Electric vehicle · Regenerative braking · Lithium-ion battery ·

Rgeneration · Battery life · C-rate · Depth of discharge
1 Introduction
In vehicles, kinetic energy is wasted while applying brakes so to save that energy and
reuse it in the form of mechanical energy we use regenerative braking. In regenerative
braking vehicle’s mechanical energy is converted into electrical energy with the help
of the motor which acts as a generator, and then it is stored in the battery. In our
A. Thakur · K. U. Z. Khan · J. Gupta · K. Gupta

Technology, GGSIP University, Delhi, New Delhi, India
M. Vats
Department of Automobile Engineering, Manipal University, Jaipur, India
C. Mishra (B)
Trontek Electronics Pvt. Ltd., Delhi, New Delhi, India
e-mail: chetanmishramait@gmail.com
A. Roy
Department of Mechanical Engineering, Indian Institute of Technology, Delhi, New Delhi, India

https://doi.org/10.1007/978-981-15-5463-6_74
832 A. Thakur et al.
previous studies, we have seen the positive points of regenerative braking [1, 2]. When
we remove our foot from the accelerator pedal, immediately regenerative braking
comes into action. In regenerative braking, the vehicle kinetic energy is converted
to the electrical energy via motor which acts as the generator at that moment and
after that, the obtained electrical energy is in the form of AC supply (if the motor is
induction motor), then the controller converts this AC supply to DC after which this
electrical energy is supplied to the DC power source battery, where it will be stored.
We have also seen in previous studies the effect of variable voltage but constant
C-rate on the cycle life of battery [1]. To see clearly, the variation of cyclic life by
varying voltage for lithium cobalt oxide as cathode and graphite as anode we need
to take the voltage greater than or equal to 4.2 V. We have even seen the effects of
various C-rate on cycle life in our studies [1, 3, 4]. It was found that with the increase
in C-rate above 1C for lithium cobalt oxide battery or for other chemical reaction
cells, there will be overall degradation in the battery life [1, 5] as shown in Fig. 1.
We have also seen the effect of variable DoD (depth of discharge) on lithium-ion
batteries capacity and found that as we increase DoD there is a decrease in cell cycle
life [1].
We made note of the results that an extended period of float charging at high
voltage is an especially dominant damaging condition, and becomes increasingly
more damaging as the voltage is increased. So constant but low voltage is essential
for battery life [1]. Also, there is an effect of temperature which is generated due to
fluctuating current. The temperature of the battery is increased as there is fluctuation
in C-rate during charging and when this happens there is a decrease in battery life
[4, 6].
Fig. 1 Effects of DoD on cycle life [1]

Impacts of Regenerative Braking on Li-Ion Battery 833
All these parameters are interlinked to each other like variation of current leads
to an increase in temperature, a variation of C-rate above a particular level leads
to variation in temperature which ultimately leads to degradation in battery life as
shown in Figs. 2 and 3. Battery life is also affected due to lithium plating on anode [7].
Under normal charging conditions, Li+ions shift from the cathode to the anode and get
deposited quickly onto the anode active material (most commonly graphite), which
does not induce anode lithium plating. However, Li plating is kinetically favorable,
as the working potential of graphite is very close to that of metallic Li deposition
[8]. The propensity towards anode Li plating in LIBs has a close relationship not
only with the charging conditions, such as low temperature, high charging rate, and
overcharging but also with aspects of the battery design, such as low anode/cathode
ratio and manufacturing defects. These conditions result in high anode polarization
and force the anode potential to the threshold of metallic Li plating, thus leading to
anode lithium plating. This deposited lithium reacts with electrolyte and consumes
active lithium and electrolyte thus fading the capacity of the cell. Lithium which
Fig. 2 Cell degradation at different temperatures at high SOC [2]
Fig. 3 Effects of C-rate on no. cycle life [1]

shreds out of the layer of lithium plating will generate dead lithium. Both dead
lithium and active lithium layer increase impedance thus reducing capacity and thus
affecting cycle life [8, 9].
This curve shows how charging at various C-rates effect the battery life, the higher
the C-rate higher is the degradation of batteries. In all the previous studies we have
seen the good effects of regenerative braking, without seeing the parameters that
affect battery life. So we need to consider all the factors that are discussed above and
we are going to see which factor will come into play during which condition. In this
paper, we are going to see various aspects of battery life degradation due to regener-
ative braking, the parameters which are taken into consideration in this paper usually
happens to occur when we release accelerator, like variation of current/variation of
temperature for a short period of time and this variation may sometimes exceed the
prescribed C-rate which leads of degradation of battery life [1, 5]. So to minimize
these effects we need to optimize the condition of the regenerative braking for better
and longer battery life.
2 Realistic Observation and Calculations
When the experiment of finding regenerative current was being performed on the
vehicle, the readings on the controller were fluctuating frequently so it was not
possible to record the data at a particular speed. Therefore, we need to do calculations
to get the data for observing the suspected effects.
The car taken into consideration is Tesla Roadster [10]. Therefore, various stan-
dard values taken here correspond to Tesla Roadster. Let us assume the car to be
moving with a speed of 80 km/h (average highway speed) and it gets decelerated on
releasing the accelerator pedal and comes to rest in 5 s (it can vary as per controller
programming). The amount of regenerative current that flows to the battery when the
car decelerated from 80 to 0 km/h in 5 s when regeneration is used, is to be found.
The battery used has an operating voltage of 375 V and power of 53 kWh [10].
The transmission efficiency, motor efficiency, and the Curtis controller efficiency are
97%, 95%, and 98%, respectively [10]. Mass of Tesla Roadster is 1235 kg and that
of passengers is taken as 320 kg (taking the average passenger weight to be 80 kg)
[10], so the total mass (m) becomes equal to 1555 kg [10], which is considered in
the calculations below.
Power with a vehicle:
The kinetic energy of the car at 80 km/h (22.223 m/s) is
m = total mass
= velocity of the vehicle, so
KE = 1/2 mv2
= 1/2. (1555).22.2232
= 383,950.61 J
Power due to kinetic energy
KE/t = 383,950.61/5
P = 76,790.123 W
Drag force is the force exerted by the moving air on the vehicle (generally it
occurs in opposite direction) and it is directly proportional to the square of velocity,
coefficient of drag, and the frontal area [11] of contact.
Power as per Drag Force [10]:
coefficient of drag(cd) = 0.35

density(r ho) = 1.145 kg/m3
frontal area(A) = 1.9 m2
speed = 80 km/h
drag force = 1/2 ∗ r ho ∗ A ∗ v2 ∗ cd
Drag Force Power (Dfp)
Power = force ∗ velocity

Power = 1/2 ∗ r ho ∗ A ∗ v3 ∗ cd
Dfp = 4180.10 W.
This generated drag force opposes the motion of the vehicle so net power (P(net))
is the difference of the vehicle power and drag force power, so
Net power with a vehicle:
P(net) = (Vehicle power − drag force power)

P(net) = 76,790.123 − 4180.10
P(net) = 72,610.0192 W.
This is the actual power generated by the moving vehicle near the wheels, after
which this power goes to the gearbox followed by the motor. It further goes to the
controller and then finally to the battery. At each step, the power is lowered by
some percentage due to losses involved in each component. The efficiency values
are mentioned above and they are taken below in the following section to calculate
the power transmitted to the battery via a gearbox, motor, controller. We are not
considering the miscellaneous losses such as heating losses due to wire resistance
and other mechanical losses into wheels and transmission because those are not fixed
and cannot be predicted.
Gbp = 72,610.0192 W
Power to motor(M p)
M p = 72,610.0192 ∗ Gearbox efficiency
M p = 72,610.0192 ∗ 0.97
= 61,428.076 W
Power to controller(Pc)
Pc = 61,428.076 ∗ motor efficiency
= 61,428.076 ∗ 0.95
= 58,356.672 W
Power battery(Pb)
Pb = 58,356 ∗ controller efficiency
= 58,356 ∗ 0.98
= 57,189.53 W
Regenerative current
I = Regenerative power/battery voltage (V )
= 529.53 A
C-rate = Regenerative current(I )/Battery Ah
= 3.7475 C
It is found that the charging rate at which current flows into the battery when the
car decelerates at 80 km/h is 3.74 C which is very high and can have destructive
effects on the battery.
The calculation for Heat produced on Regenerative braking
If the car is de-accelerated from 80 km/h to rest in 5 s assuming the controller is
tuned such that. Then the acceleration would be
a = (v − u)/t
where,
v = 80 km/h
= 22.223 m/s
u = 0 km/h
t =5s
a = (22.223 − 0)/5
a = 4.445 m/s2
Now taking this as negative constant acceleration, we will calculate the time taken
by the vehicle to reduce its speed from 80 to 70 km/h.
Therefore,
Using,
v = 80 km/h = 22.223 m/s

u = 70 km/h = 19.445 m/s
a = 4.445 m/s2
a = (v − u)/t
t = (2.223 − 19.445)/4.445
t = 0.625 s
Now, applying this time in the heat generation equation we get heat (H) [12]
heat(H ) = I 2 · R · t
where,
I = average current between speed 80 and 70 km/h

= 479.7 A (as per calculation)
R = Resistance in the battery
= 20 m
t = time taken from 80 to 70 km/h
= 0.625 s
H = 479.72 (20/1000) ∗ 0.625
= 2876.4 J
Temperature change: ΔT
Using formula, [13]
T /Q = ln(R/r )2π kl
where,
T = change in temperature
Q = heat produced
= 2876.4 J
R = Outer radius of battery cell{ considering 18650 cell}
= 9 mm = 0.009 m
r = Inner radius of battery cell as thickness of cell walls is 2 mm
= 8.8 mm = 0.0088 m
k = heat transfer coefficent
= 237(for Aluminum cover of cell)
l = Length of battery cell
= 65 mm = 0.065 m
Therefore,
T /2876.4 = ln(9/8.8)/2π ∗ 237 ∗ 0.065

T /2876.4 = 2.321 ∗ 10−4
T = 2876.4 ∗ 2.321 ∗ 10−4
T = 0.667 K
Therefore, the temperature of the battery will be increased by 0.667 K in going

from 80 to 70 km/h because of regeneration in just 0.625 s.
To make the results more real, some experiments on the electric vehicle (e-auto)
were performed. These experiments allowed us to evaluate the regenerative current
produced at various speeds. It shows that the regenerative current produced is higher
when the accelerator is released at a higher speed and it is lower at the lower speed.
But due to highly frequent fluctuations in readings, we were unable to record that
data.
The calculation is performed at various speeds to plot the charging current at
various speeds so that charging C-rate can be determined which is the major param-
eter impacting the life of the battery. Table 1 carries various parameters which are
dependent on the speed of the vehicle. It has been observed that kinetic energy, power,
drag force, etc. are directly proportional to the square of the speed of the vehicle,
and from the regenerated power going to the battery, the current is calculated which
then specifies the C-rate at which battery is getting charged.
The graph below shows that regeneration current varies with a square function of
velocity, so at higher velocities, the current will be much higher. Thus regeneration at
higher speed charges the battery at higher C-rates which are not advisable for longer
battery life as shown in Fig. 3. It degrades battery at a faster rate which in turn is
going to affect the user in monetary terms (Fig. 4).
It is shown in the calculation table that when regeneration occurs at speed ranges
from 80 to 50 km/h, the battery will be charged at high C-rates from 3.7 to 1.49.
Table 1 Variation of parameters with respect to the speed of the vehicle while regeneration
Speed Power Drag Net Power to Power to Power to Regenerative C-rate
due to force power motor controller battery current
kinetic power with
energy vehicle
80 76,790.12 4180.10 72,610.01 61,428.07 58,356.67 57,189.53 529.5327 3.74757
70 58,792.43 2800.34 55,992.09 47,369.31 45,000.84 44,100.82 408.3410 2.88988
60 43,194.44 1763.48 41,430.96 35,050.59 33,298.06 32,632.10 302.1491 2.13835
50 29,996.14 1020.53 28,975.60 24,513.36 23,287.69 22,821.94 211.3142 1.49550
40 19,197.53 522.513 18,675.01 15,799.06 15,009.11 14,708.92 136.1937 0.96386
30 10,798.61 220.435 10,578.17 8949.136 8501.679 8331.646 77.14487 0.54596
20 4799.382 65.3141 4734.068 4005.022 3804.770 3728.675 34.52477 0.24433
10 1199.845 8.16427 1191.681 1008.162 957.7543 938.5992 8.690733 0.06150
Fig. 4 Variation of velocity

(m/s) of car with C-rate
C-rate more than 1 C for charging is considered as high C-rate which can harm the
battery life. Even superchargers of electric vehicles are not suggested to be used on
a regular basis due to the fact of the degradation of battery life due to higher C-rate.
The calculation for the increase in temperature of the battery on regenerative
braking is also done in which it is seen that there is an increase of about 0.667 K
temperature when the car decelerates for 0.625 s through regenerative braking and
temperature rise will be higher if vehicle decelerates for a longer time period, so
if regeneration occurs frequently this heat energy will result in higher temperature
outputs, which will affect battery life as shown in Fig. 2.
4 Conclusion
Our study shows the variation of regeneration current with speed and the variation of
C-rate produced due to it, which, in turn, affects the battery life. Though the regen-
erative braking system is an energy-saving method which increases the efficiency
of an electric vehicle by saving energy, our study shows that at the same time the
regeneration system can cause battery degradation due to higher C-rate charging,
which leads to an increase in temperature and lithium plating which increase the
impedance of the battery.
Charging the battery pack at higher C-rates affects the battery life more than
discharging it at the same C-rate and thus higher C-rate regenerated current is harmful
to the battery. Using a battery pack at a higher temperature also degrades the battery
life, thus we have calculated the rise in temperature, i.e., 0.667 K increase in 0.625 s,
so it will be harmful if the temperature rise goes beyond the favorable conditions of
the working temperature of batteries.
Thus, this calls for an optimum level for regeneration to get a better battery life
and utilize the concept of regeneration to its best. To achieve the best of regenerative
braking we need to think a way of delivering current at constant desirable C-rate that
will not affect the battery life. Moreover, the energy which can be regained during
regenerative braking should be equal to the energy generated using this new method.
We can first store the energy in an alternate form, either mechanically or electrically
before delivering it to the main battery. In this way, there will be a constant supply
of current. The same happens to be our future scope of research.
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Tunbridge Wells
Development of the Latent Heat Storage
System Using Phase Change Material
with Insertion of Helical Fins to Improve
Heat Transfer Rate
Vishal Godase, Ashok Pise, and Avinash Waghmare
Abstract The phase change materials are having capability to store the latent as well
as the sensible form of heat. These materials are having poor rates of heat transfer
during solid to liquid phase transformation and vice versa. It happens because of poor
thermal conductivity of phase change materials. For improving rate of heat transfer,
the fins with helical design are introduced in the phase change material. The paraffin
wax was used as phase change material. Different experimentations were carried
out by maintaining constant flow rate of heat transferring fluid and varying its inlet
temperature. With the use of helical fins, the effect on the total time required for
melting and solidification of phase change material was determined. The Reynolds
and Stefan numbers are used as the performance parameters. This paper illustrates
that the use of helical fins reduces the total cycle time of charging and discharging
process of the phase change material compared with the plain latent heat storage
system.
Keywords Phase change material · Latent heat storage system · Charging and
discharging rate · Stefan number · Reynolds number · Heat transfer fluid
1 Introduction
Development of the renewable energy sources is today’s need. Storage of thermal

energy is useful for increasing the efficiency of the energy. During the pick hours, the
excess energy available is wasted, and during the peak load hours, the requirement
is more than the supply. Thermal form of energy storage methods is very useful
in various temperature control applications such as cooling of buildings, electronic
equipment cooling, spacecraft applications, and recovering the waste heat. By the use
V. Godase (B) · A. Pise

Government Collage of Engineering, Karad, Vidyanagar, Karad 415124, India
e-mail: vishalgodase53@gmail.com
A. Waghmare
AISSMS College of Engineering, Pune 411001, India

https://doi.org/10.1007/978-981-15-5463-6_75
844 V. Godase et al.
of thermal energy storage, the solar form of the energy can be stored in the day time
and can be used in the off-sunshine periods. The demand–supply gap of the energy is
getting affected by the interrupt nature of the renewable energy. And such a problem
can be solved by developing the robust energy storage technique. Thermal energy
can be stored both in sensible and latent forms. But the time within which the energy
can be stored is the limitation of the sensible form of the heat storage. The latent heat
storage methods are having high energy storage density compared with the sensible
one and isothermal behavior when phase changing takes place. The phase change
materials are most useful for storing both latent and sensible forms of the heat. These
materials are suffering from the limitation of having the poor thermal conductivity
which causes the lower rates of heat transfer during the charge and discharge periods.
For improving the rates of heat transfer in phase change materials, the different
techniques are used such as the use of fins and dispersion of the high conductive
materials. The major factor concern for developing the thermal energy system is the
phase changing phenomenon and the rate at which the heat transfer takes place in
phase change materials. The phase change materials used to store the latent form of
the heat are classified into two groups, organic and inorganic groups. The inorganic
group of the phase change materials possess the high energy storage density but it
suffers from certain limitations such as under cooling corrosion and thermal stability
problem due to which they are not used for latent heat storage. The organic group of
the PCMs have advantages such as isothermal phase changing behavior, no corrosion,
compatible with the storage container, and smaller change in volume during changing
of phase will take place; the proper selection of the phase change material for the
lower temperature application is decided by considering economic and the property
of the pcm material. The research on the different type of the phase change material
suitable for the latent heat storage is done by the Abhat et al. [1], Zalba et al. [2] done
the research on the different types of the phase change material, their suitability, and
the different shapes of the heat exchanger. Amin et al. [3] defined a performance
parameter for LHS systems, energy storage effectiveness. These two parameters are
used to optimize the PCM thermal energy storage system and maximize the use
of thermal storage media. Velraj et al. [4] done the investigation of heat transfer
enhancement methods for the LHS system. Different three experiments to enhance
the heat transfer were conducted and results are reported. Waghmare et al. [5] done
the research on development of the latent heat storage system with insertion of the
fins to improve the heat transfer rate in phase change materials and reduce the total
charge and discharge time. Sharma et al. [6] done the research on the development of
the thermal energy storage system, their application, and the suitable phase change
materials.
The present paper describes the heat transfer augmentation by use of helical fin
arrangement. The commercial paraffin wax is used as the phase change material.
This study is very helpful for developing the latent heat storage system. The different
experimentations were carried out in order to predict the melting and solidification
behavior of the PCM with respect to time. The flow rate of HTF is kept constant,
and the inlet temperature conditions of the HTF are varied. The results obtained by
use of helical fin are plotted and also found the effect of change in inlet temperature
Development of the Latent Heat Storage System Using Phase … 845
variations on the total cycle time of solidification and melting. The main purpose of
this study is to reduce the charge time and predict the behavior of the PCM during
charging and discharging process.
Different experimentations were carried out for the purpose of evaluating the perfor-
mance of thermal energy storage system during the charging and discharging process.
The paraffin wax is used as the phase change material (PCM). Trials are extended by
keeping the flow rate of HTF constant and varying the temperature of HTF at inlet by
75 and 80 °C. The temperature of PCM during the charging and discharging process
is recorded by using temperature data logger.
2.1 Experimental Setup
Figure 1 shows the schematic arrangement of the test setup. For storing the latent
heat, the vertically placed double pipe configuration was used. The heat transfer fluid
(HTF) is passed through the inner tube. The annular space between the outer tube
and inner tube is filled by PCM. The material used for developing the thermal energy
storage system is steel. The helical fin is wounded around the heat transfer fluid
tube with dimensions of 0.2 cm thickness, 2.8 mm width, and unwounded length of
150 cm. The pitch between the two successive turns is 3.8 cm. The inner HTF pipe
Fig. 1 Schematic of the experimental setup

Table 1 Thermocouple
Temperature sensor Axial position from Radial position
location
bottom in (cm) from OD of HTF
tube (cm)
T1 10 0.6
T2 20 0.6
T3 30 0.6
T4 40 0.6
T5 10 1.6
T6 20 1.6
T7 30 1.6
T8 40 1.6
T9 10 2.6
T10 20 2.6
T11 30 2.6
T12 40 2.6
is having 3.4 cm diameter and 0.2 cm thickness and having 50 cm length. The inner
diameter of shell is 9.5 cm and 0.3 cm thickness. For avoiding the heat loss from
system to the surrounding, the asbestos rope insulation is used on the shell surface.
For the measurement of the temperature of the PCM, the Pt-100 (rhodium-platinum)
type of thermocouples are used. These temperature probes are set at a distance of
10, 20, 30, and 40 cm from bottom position of latent heat storage unit, i.e., in axial
direction.
And the position in radial direction as 0.6, 1.6, and 2.6 cm measured from outer
diameter of the HTF tube to the inner diameter of the outer PCM shell for the
temperature measurement of the PCM. Two thermocouples are also used for the
measurement of the inlet and outlet temperatures of the HTF. Table 1 shows the
radial and axial positions of the Pt-100 thermocouple. Also, the positions of the
thermocouple are shown in Fig. 2. The weight of the PCM filled in the container is
2.9 kg and the PCM storage container is having the height of 50 cm. Electrical heater
was used for heating the HTF (water). For maintaining the constant inlet temperature
of the HTF throughout the experimentation, the temperature controller was used.
Also, for measuring the performance of the PCM during solidification, the cold
water tank is also provided in test setup. The water pump having the ½ Hp rating is
used to supply the HTF to test unit with the necessary piping connections. Rotameter
maintaining the constant flow rate of the HTF with operating temperature range of
30°–90° is used. The flow rate capacity of rotameter is 1.5 L per minute to 15 L per
minute of HTF. For measuring the temperature of the PCM during the charging and
discharging temperature, data logger is used having the 16 ports. The recordings of
temperature are done after every 5 min of time interval. For simultaneous use of hot
and cold water during testing, the flow control valves are used at various locations as
soon as the melting process was completed the cold water at the room temperature
Fig. 2 Sectional view of the

test setup
was passed for initializing the discharging (solidification) process. The flow rate of
the HTF (cold water) is constant. The temperature distribution of the PCM during the
solidification process was recorded in the same way as during the melting process.
During the experimentation, it is noted that total time for melting of PCM is more
than the time for solidification. The solidification and melting process was repeated
by changing the inlet temperature of the HTF and mass flow rate of HTF.
2.2 Performance Parameters
The non-dimensional Stefan number and the Reynolds number are used as the
performance parameters, and these are given as,
1. Stefan number (St): St = pcm ( λht f

Cp Ti −Tm )
2. Reynolds number (Re): Re = ρμD

Nomenclature:
Cp Specific Heat of the PCM
P Density of the HTF
Ti Inlet Temp of the HTF
D Diameter of heat transfer fluid pipe
Tm Melting Temperature of the PCM V = Velocity of the HTF
λ Latent Heat
μ Dynamic viscosity of the HTF.
Table 2 Properties of PCM

Property Paraffin wax (PCM)
Density (kg/m3 ) 860 (liquid at 340 K) 958
(solid at 300 K)
Sp. heat (J/kg K) 2000
Thermal conductivity (W/mK) 0.211
Heat of fusion (J/kg) 170,000
Melting temperature (K) 56
2.3 Properties of the PCM
The thermal properties of the PCM are listed in Table 2 paraffin wax was used as the
PCM.
3 Results
Different experiments were carried out for checking the behavior of PCM during
the melting and the solidification process. The temperature data which describes the
exact behavior of the PCM during experimentation is described here.
3.1 Behavior of PCM During Melting and Solidification
During the experimentation, it was observed that, at the time of the melting of the
PCM which is close to the HTF tube and the fin surface get melted at the faster rate
than that of the other PCM region. During the initial time of melting, the PCM at the
lower region is melted at the faster rate and as the effect of the natural convection,
liquid state PCM goes to the topmost region of the storage unit. Due to insertion of
the helical fin, the axial and radial effect of the melting of PCM was observed. The
phase separation layer created during the melting process was reduced due to the fin
insertion so that the total time required for melting process was reduced. At the initial
state of the melting process, the conduction heat transfer is observed between the
HTF and the PCM, after when the PCM starts to melt, the convection heat transfer
is observed. During the process of melting, the boundary layer was developed on
the inner wall of tube surface. As shown in the graph of melting at the intermediate
state of melting, the temperature curve shows the sudden increment in the PCM
temperature, and as the process extends, the all temperature curves show the linear
behavior. For getting the melting and solidification characteristics of the PCM with
using the helical fin arrangement with constant HTF flow rate (Re = 1724) with
inlet temperature of HTF as 75 °C (St No = 0.1920) and 80º C (St No. 0.2485), the
variation of PCM temperature with time is shown in Figs. 3, 4, 5, and 6. Figs. 3 and
4 show the melting and solidification characteristics of PCM at Re = 1724 and St
no = 0.1920. Figures 5 and 6 show the same characteristics at St No = 0.2485 and
Re = 1724 (Figs. 7 and 8).
From these graphs of time vs. temperature, it is observed that increasing the HTF
inlet temperature, the total time required for melting of the PCM gets reduced. And
with increase in flow rate of HTF increase in PCM temperature is observed.
During the solidification process of the PCM, due to the higher difference in the
temperature of the PCM and HTF the rate of solidification is much faster than that
of melting. As soon as the temperature difference goes on decreasing, the rate of
solidification of PCM reduced (Fig. 9; Table 3).
Fig. 3 PCM melting (St No

= 0.1920)
Fig. 4 PCM solidification

Fig. 5 PCM melting (St No

= 0.2485)
Fig. 6 PCM solidification
4 Conclusion
From this experimentation, it was observed that the increase in HTF inlet temperature,
the time required for melting of the pcm gets reduced, also increasing the HTF flow
rate the increase in temperature of the PCM is observed at fast rate. Due to the
insertion of the helical fins, the axial and radial increase in the temperature of PCM
was observed so that the total cycle time and effect of the phase separation layer get
reduced. The process of melting of PCM is started at the below region, and then, due
to natural convection, the melted PCM moves toward the upper portion of the storage
container. The time for melting is considerably larger than that of the solidification.
The formation of the phase separation layer increases the total time of the PCM
melting.
Fig. 7 Effect of Reynolds

number
Fig. 8 Effect of Stefan

number
Fig. 9 Effect of Stefan

number on melting time of
PCM with constant HTF
flow rate
Table 3 Time required for

Thermocouple Melting time 75 °C Melting time 80 °C
PCM Melting at various
(Min) (Min)
locations inside the LHTES
system T1 90 70
T2 20 20
T3 90 65
T4 65 55
T5 120 120
T6 95 75
T7 95 75
T8 30 25
T9 120 115
T10 120 115
T11 120 120
T12 95 85
References
1. Abhat A (1983) Low temperature latent heat thermal energy storage: heat storage materials,
solar energy applications. 30:313–332
2. Zalba B, Marin JM, Cabeza LF, Mehling H (2003) Review on thermal energy storage with
PCMs, heat transfer analysis and applications. Appl Thermal Eng 23:251–283
3. Amin NAM, Belusko M, Bruno F, Liu M (2012) Optimizing PCM thermal storage systems for
maximum energy storage effectiveness. Sol Energy 86:2263–2272
4. Velraj R, Seenraj RV, Hafner B, Faber C, Schwarzer K (1999) Heat transfer enhancement in
latent heat storage system. Sol Energy 65:171–180
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thermal energy storage system. In: Proceedings on international conference on heat and mass
transfer, IIT Madras, Chennai, pp 27–30)
6. Sharma A, Tyagi VV, Chen CR, Buddhi D (2009) Review on thermal energy storage with PCM
and applications. Renew Sustain Energy Rev 13:318–345
Experimental Investigation of Helical
Coil Tube in Tube Heat Exchanger
with Microfins Using Al2 O3 /Water Nano
Fluid
Nilesh K. Kadam and A. R. Acharya
Abstract In this work, three passive heat transfer augmentation techniques are used
in counterflow tube in tube heat exchanger. First is transforming the straight heat
exchanger tubes into helical coil heat exchanger tubes, second is to make use of
nanofluid in heat exchanger and third is to make micro fins over the outer surface of
inner tube. The experimentation was done on plane tube as well as micro fined tubes
by varying the concentration of Al2 O3 nanoparticle in deionized water. 500 micro fins
created within 1 m length of heat exchanger tubes. Height and thickness of micro
fins are 0.4 mm and 1 mm, respectively. Heat transfer rate, overall heat transfer
coefficient, pressure drop, effectiveness, Nusselt number, and entropy generation
of helically coiled tube in tube heat exchanger were experimented by varying the
volume concentration of Al2 O3 nanoparticle as 0%, 0.25% and 0.3% [1]. Mass
flow rate through inner tube as well as annulus were kept constant for observing
the variation of various quantities, e.g., heat transfer rate, effectiveness, etc. Results
obtained from micro finned helical coil heat exchanger have compared with the plane
helical coil heat exchanger. Heat transfer performances increased in helically coiled
heat exchanger using nanofluid with different concentrations of nanoparticle. Also,
the effectiveness of heat exchanger increases and entropy generation decreases as
the concentration of nanoparticle increases.
Keywords Deionized water · Heat transfer rate · Effectiveness · Nusselt number ·

Entropy generation · Overall heat transfer coefficient · Mass flow rate
N. K. Kadam (B)
Government College of Engineering, Vidyanagar, Karad 415124, India
e-mail: nilkadam106@gmail.com
A. R. Acharya
Department of Mechanical Engineering, Government College of Engineering, Vidyanagar, Karad
415124, India

https://doi.org/10.1007/978-981-15-5463-6_76
856 N. K. Kadam and A. R. Acharya
Nomenclature

.ρ Density Kgm3
[BF = base fluid, NP = Nanoparticle, NF = nano fluid]
∅ Volume concentration
Cp Specific heat (J/KgK)
μ Dynamic viscocity (Pa-s)
k Thermal conductivity (w/mk)
U0 Overall heat transfer coefficient (W/m2 K)
Q ave Average heat transfer rate (W)
L MT D Log mean temperature difference
A0 Surface area of tube (m2 )
T1 Outlet temperature difference
T2 Inlet temperature difference
∈ Effectiveness of heat exchanger
Sgen Entropy generation
Nu Nusselt number
h Heat transfer coefficient (W/m2 k)
m Mass flow rate (Kg/sec)
dh Hydraulic diameter
1 Introduction
1.1 General
Helical coil tube in tube heat exchanger is more effective than a straight tube in tube
heat exchanger. Helical coil shape of heat exchanger gives compact shape to it. High
heat transfer performance of helical coil heat exchanger makes it more unique in
all types of heat exchangers. Applications are heat exchangers, steam power plants,
electrical instruments, machining processes, refrigeration, and air conditioning, heat
recovery, cryogenics treatments, milk plants, and chemical processing [2, 3]. The
main characteristic of helical coil heat exchanger are secondary flow generation
due to curvature in pipes. Heat transfer augmentation can be done with the help of
nanoparticle. As we add the nanoparticles in base fluid its thermophysical properties
such as thermal conductivity, specific heat, density, dynamic viscosity increases suffi-
ciently [4]. The use of nanofluid in heat exchanger instead of water is giving better
performance. Micro fins are generated over inner tube for heat transfer augmentation.
500 micro fins are created within 1 m length of the tube. Micro fins increases the
overall heat transfer area which will improve the effectiveness of heat exchanger.
Micro finned tube heat exchanger compared with the plain tube heat exchanger and
respective variation have been shown in this work. The aim of this study is to see the
Experimental Investigation of Helical Coil Tube in Tube Heat … 857
heat transfer and entropy generation in helical coil heat exchanger under turbulent
flow characteristics for Al2 O3 nanoparticles.
1.2 Block Diagram of Experimental Setup
By using the above dimensions helical tube heat exchanger is manufactured and
experimentation has done (Table 1).
For the preparation of nanofluid two basic procedures were used namely magnetic
stirring in deionized water and ultrasonification.
2 Numerical Procedures
Thermophysical properties of nanofluid can be calculated as [6],

1. Density (ρNF )
ρNF = (1 − ∅)ρBF + ∅ρNP
Table 1 Dimensions of heat

S.No. Parameters Inner tube Outer tube
exchanger [5]
1 Inner dia. (m) 0.010 0.022
2 Outer dia. (m) 0.013 0.025
3 Coil dia. (m) 0.2 0.2
4 Pitch (m) 0.020 0.020
5 Tube material copper Mild steel
2. Specific heat (C pNF )

(1 − ∅) ρC p BF + ∅ ρC p NP
C pNF =
(1 − ∅)ρBF + ∅ρNP
3. Dynamic Viscosity (μNF )
μNF = (1 + 2.5∅)μBF
4. Thermal conductivity (K NF )
K NF K NP + 2K BF − 2∅(K BF − K NP )
=
K BF K NP + 2K BF + ∅(K BF − K NP )
By using the above formulae’s thermophysical properties of nanofluid have

calculated and used for calculation of various quantities [7].
5. Overall heat transfer coefficient calculated by using
Q ave
U0 =
A0 LMTD
6. Average heat transfer rate is defined as below
Q inner + Q annulus
Q ave =
2
7. Log mean temperature difference is calculated as
T2 − T1
LMTD = T2
ln T1
8. Effectiveness of heat exchanger is calculated as
Q act
∈=
Q Max.Possible

Here, Q Max.Possible = mc p small (Thi − Tci )
9. Entropy generation is calculated as
q2 L 32m 3 f L
Sgen = +
π K N uTave 2 ρTave π 2 dh5

Sgen = Sgen heat transfer + Sgen fluid friction
The value of entropy generation decreases as we increase the concentration

of nanoparticle. According to the second law of thermodynamics as value of
entropy generation decreases irreversibility decreases [8].
10. Nusselt number is calculated as,
hdh
Nu =
K
And heat transfer coefficient (h),
Q
h=
A0 LMTD
11. Reynolds number calculated as
mdh
Re =
Aμ
When flow is through the straight tube then value of Reynolds number will tell
you about laminar or turbulent flow. But when flow is through curved tube then this
theory fails. For that reason, dean number is calculated with the help of Reynolds
number, in the present study, the value of dean number is calculated as [9],

dh
De = Re
coil dia.
When value of dean number is greater than 400 then flow through curved tube
becomes fully turbulent [10]. In this study, the flow is fully turbulent.
3 Preparation of Nano Fluid
STEP 1: Weighing of nanoparticles
With the help of density of nanoparticles and volume concentration the weight of
nanoparticle is calculated (Fig. 1).
STEP 2: Magnetic stirring
For proper mixing of nanoparticles in base fluid magnetic stirring is done, (Fig. 2).
STEP 3: Ultrasonification
Ultrasonification prevents the settle down of nanoparticles in base fluid, (Fig. 3).
Fig. 1 Weighing of
nanoparticles [11]
Fig. 2 Magnetic stirring of

nanofluid [11]
Fig. 3 Ultrasonification of
nanofluid [12]
Fig. 4 Overall heat transfer Overall heat transfer coeficient vs mass flow rate
coefficient verses mass flow 300
rate
200
Uo(W/m2K)
100
0
0 0.02 0.04 0.06 0.08 0.1
mass flow rate(Kg/sec)
0.25% nanoparticle without microfins
0.25% nanoparticles with microfins
0.3% nanoparticle without microfins
0.3% nanoparicle tube with microfins
water without microfins
water with microfins
Expon. (0.25% nanoparticle without microfins)
Expon. (0.25% nanoparticles with microfins)
Expon. (0.3% nanoparticle without microfins)
Expon. (0.3% nanoparicle tube with microfins)
Expon. (water without microfins)
Expon. (water with microfins)
4.1 Overall Heat Transfer Coefficient
See Fig. 4
4.2 Effectiveness of Heat Exchanger
Effectiveness vs concentration of nanoparticle

0.65
Effectiveness( )
0.6
0.55
0.5
0.45
0.4
0 0.1 0.2 0.3 0.4
% concentration(ф)
microfined tube plane tube
Fig. 5 Heat transfer rate Heat transfer rate vs mass flow rate
verses mass flow rate 8000
6000
Q (W)
4000
2000
0
0 0.02 0.04 0.06 0.08 0.1
ṁ (Kg/sec)
0.25% naoparticles without microfins
0.3 % nanoparticles without microfins
water without microfins
water with microfins
Expon. (0.25% naoparticles without microfins)
Expon. (0.3 % nanoparticles without microfins)
Expon. (water without microfins)
Expon. (water with microfins)
Effectiveness value increases as the concentration of nanoparticles increases.

Also, effectiveness is more for micro finned tubes.
4.3 Heat Transfer Rate
Figure 4 overall heat transfer coefficient is less for micro finned tubes which indicate
more effectiveness of fines and use of micro fins is worth.
Figure 5 variation of heat transfer rate for various concentration nanoparticles is
shown in this graph. Heat transfer rate is more for 0.3% nanoparticles and tube with
micro fins.
4.4 Nusselt Number
4.4.1 0% nanoparticles and heat exchanger without microfins
See Fig. 6.
Fig. 6 0% nanoparticles and heat exchnager without microfins
4.4.2 0% nanoparticles and heat exchanger with micro fins.
See Fig. 7.
Fig. 7 0% nanoparticles and mass flow rate vs nusselt number

heat exchanger with 8
microfins
4
Nu
0
0 0.02 0.04 0.06 0.08 0.1
ṁ (Kg/sec)
flow through inner tube
flow through annulus
Expon. (flow through inner tube)
Expon. (flow through annulus)
Fig. 8 0.25% nanoparticles and heat exchanger without microfins
4.4.3 0.25% nanoparticles and heat exchanger without micro fins
By observing Figs. 7, 8, 9, 10 and 11 we can clearly see that the value of Nusselt
number decreases as we increase the concentration of nanoparticles. Convective
resistance value is decreasing as we increase the concentration of nanoparticles.
Micro finned tube heat exchanger is having more value of Nusselt number than
plane tube heat exchanger.
4.4.4 0.25% nanoparticles and heat exchanger with microfins
See Fig. 9.
4.4.5 0.3% nanoparticles and heat exchanger without microfins
See Fig. 10.

Fig. 9 0.25% Nanoparticles

and heat exchanger with
microfins
Fig. 10 0.3% nanoparticles

and heat exchanger without
microfins

microfins
4.4.6 0.3% nanoparticles and heat exchanger with microfins
See Fig. 11.
4.5 Entropy Generation
4.5.1 0% nanoparticle and heat exchanger without micro fins
See Fig. 12.
4.5.2 0% nanoparticle and heat exchanger with micro fins
See Fig. 13.
By observing the Figs. 12, 13, 14, 15, 16 and 17 we can clearly see that the value of
entropy generation is decreasing as we increase the concentration of nanoparticles.
Fig. 12 0% nanoparticles
microfins
Fig. 13 0% nanoparticles
microfins
Value of entropy generation is less for micro finned tubes in heat exchanger than
plane tube heat exchanger.
Due to decrease in value of entropy generation irreversibility of system decreases
which leads to improvements in the performance of system.

microfins

microfins
4.5.4 0.25% nanoparticles and heat exchanger with micro fins
See Fig. 15.
See Fig. 16.

Fig. 16 0.3% nanoparticles and heat exchanger without microfins

microfins
4.5.6 0.3% nanoparticles and heat exchanger with micro fins.
See Fig. 17.
5 Conclusion
Effectiveness of finned tube is more than plane tube. Also as concentration of

nanoparticle increases, effectiveness also increases. Due to the use micro fins convec-
tive resistance decreases which lead to an increase in Nusselt number. The value of
Nusselt number increases as concentration of nanoparticle increases.
The value of entropy generation decreases as we increase the concentration of
nanoparticles. Decrease in the value of entropy generation which decreases the
irreversibility in heat exchanger.
Heat transfer rate is more for micro finned tubes than plane tube and it also
increases as an increase in the concentration of nanoparticles.
Overall heat transfer rate is more for micro finned tubes and it also increases as
the concentration of nanoparticle increases.
References
1. Akyürek EF, Gelis K, Sahin B, Manay E (2018) Experimental analysis for heat transfer of
nanofluid with wire coil turbulators in a concentric tube heat exchanger. Results in Physics
9:376–389
2. Pakdaman FM, Behabadi AAM, Razi P (2012) An experimental investigation on thermo-
physical properties and overall performance of MWCNT/heat transfer oil Nano fluid flow
inside vertical helically coiled tubes. Exp Thermal Fluid Sci 40:103–111
3. Hoquea MM, Alamb MM (2013) Effects of dean number and curvature on fluid flow through
a curved pipe with magnetic field. 5th BSME international conference on thermal engineering
56:245–253
4. Elias MM, Miqdad M, Mahbubul IM, Saidur R, Kamalisarvestani M, Sohel MR, Hepbasli
A, Rahim NA, Amalina MA (2013) Effect of nanoparticle shape on the heat transfer and
thermodynamic performance of a shell and tube heat exchanger. Int Commun Heat Mass
Transfer 44:93–99
5. Anil Kumar Naik B, Venu Vinod A (2018) Heat transfer enhancement using non-Newtonian
nanofluids in a shell and helical coil heat exchanger. Exp Thermal Fluid Sci 90:132–142
6. Huminic G, Huminic A (2016) Heat transfer and entropy generation analyses of nanofluids in
helically coiled tube-in-tube heat exchangers. Int Commun Heat Mass Transfer 71:118–125
7. Zheng L, Xie Y, Zhang D (2018) Numerical investigation on heat transfer and flow char-
acteristics in helically coiled mini-tubes equipped with dimples. Int J Heat Mass Transf
126:544–570
8. Celen A, Dalkilic AS, Wongwises S (2013) Experimental analysis of the single phase pressure
drop characteristics of smooth and microfin tubes. Int Commun Heat Mass Transfer 46:58–66
9. Nada SA, Elattar HF, Fouda A, Refaey HA (2017) Numerical investigation of heat transfer
in annulus laminar flow of multi tubes-in-tube helical coil. Springer-Berlin https://doi.org/10.
1007/s00231-017-2163-8
10. Dastmalchi M, Arefmanesh A, Sheikhzadeh GA (2017) Numerical investigation of heat transfer

and pressure drop of heat transfer oil in smooth and micro-finned tubes. Int J Therm Sci
121:294e304
11. Shoghl SN, Jamali J, Moraveji MK (2016) Electrical conductivity, viscosity, and density
of different nano fluids: an experimental study. Exp Thermal Fluid Sci. Doi: S0894-
1777(16)00005-4
12. Murshed SMS, Leong KC, Yang C (2008) Thermophysical and electrokinetic properties of
nanofluids. Appl Therm Eng 28:2109–2125
Analysis of Vapour Compression
Refrigeration System in Terms
of Convective Heat Transfer
Pinaki Das, Dheeraj Chhabra, Mukul Krishnatrey, and Mayur
Abstract An air-conditioning unit releases large amount of heat through the

condenser during the process of heat rejection. This heat is released to the envi-
ronment in the form of hot air and is considered as wasted heat. Through this exper-
imental research project, an attempt has been made to use this heat released in terms
of convective heat transfer and analyse its effect on the vapour compression refriger-
ation system in an air-conditioning unit. The heat is used to increase the temperature
of the refrigerant travelling from the evaporator to the compressor. This is done by
installing extended copper tubing with calculated length to generate convective heat
transfer in front of the condenser. When the refrigerant is passed through the tubing,
the temperature of the refrigerant increases. In order to check the improvement in
the air-conditioning system, experiments were done to observe the power consumed
by the compressor after the structural redesign of the system. With experimental
observations and calculations along with certain assumptions, it is found that there
is a decrease in the load of the compressor in terms of power consumption and an
increase in coefficient of performance of the system.
Keywords Heat transfer · Air-conditioning · Refrigeration system
Nomenclature
COP Coefficient of performance

S1 Entropy of compressor inlet
S2 Entropy of compressor outlet
H1 Enthalpy of compressor inlet
H2 Enthalpy of compressor outlet
H4 Enthalpy of evaporator inlet
P. Das (B) · D. Chhabra · M. Krishnatrey · Mayur

Mechanical and Automation Engineering, Dr. Akhilesh Das Gupta Institute of Technology and
Management, New Delhi, India
e-mail: pinakidas0197@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_77
874 P. Das et al.
H f1 Specific enthalpy of liquid state at compressor inlet

Hg Specific enthalpy to be calculated in superheated region
S fg Latent heat of vaporization
X Dryness fraction of refrigerant
Ṁ h Mass flow rate of hot fluid
C ph Specific heat capacity of hot fluid
T2 Temperature of compressor outlet
T sat Temperature of condenser outlet
T h1 Temperature at compressor inlet
T h2 Temperature at evaporator outlet
Q Actual heat transfer
P Density of copper rod
V Volume of heat exchanger
1 Introduction
Vapour compression refrigeration system (VCRS) are among the most commonly
used refrigeration system. It is a process that uses the phase changes process and
various characteristics of a refrigerant to transfer heat from a cold source to a hot
medium. In simple terms, refrigeration systems transfer heat from a cold source
to a hot heat sink. The components in the basic refrigeration system comprise
the compressor, condenser, expansion valve, and evaporator. In an air-conditioning
system, a significant amount of heat in the form of hot air is generated and that is
released into the atmosphere in the form of wasted heat with the help of condensers
[1]. Therefore, we need to adapt a project to utilize the wasted heat in a way so that
it can increase the performance of the system as a whole.
1.1 Application of Setup
• Decrease in the power consumption of an air-conditioning system.

• Utilization of the wasted heat released from the condenser (Figs. 1 and 2) [2].
2 Design and Setup
Before undertaking the actual experimentation of the project on analysis of VCRS in

terms of convective heat transfer, the feasibility of the project needed to be checked.
In order to so, a prototype case of the system was designed in which likelihood of
the project can be examined.
Analysis of Vapour Compression Refrigeration System in Terms … 875
Fig. 1 T-S diagram of

V.C.R.S. cycle
Fig. 2 T-S diagram

of V.C.R.S. cycle
after design restructure
So, the research is divided into two segments:

1. To check the viability of the project: In this case a heating coil is used. The
heating coil is wrapped around the copper tube attached to the compressor inlet.
The temperature of the refrigerant before entering the compressor will rise, thus
creating a similar system as to what is required in the actual setup. The one
thing to remember is that the power supply provided to the heating coil is an
addition to the power consumed by the system. Thus, it has to be added during
the calculations.
2. Once the viability of the system is confirmed, the restructuring of the system can
be done. The restructured system consists of various apparatus like, elongated
copper tubing for convective heat transfer, cardboard to make a box, etc. the
copper tube is used to make a travel space for the refrigerant through the heat
rejection area with a calculated length. The box is used to store the heat for some
time for better convective heat transfer (Figs. 3 and 4).
876 P. Das et al.
Fig. 3 Heat transfer setup without box
Fig. 4 Heat transfer setup with box
3 Mathematical Calculation
3.1 Case 1—Natural State of Air-Conditioning Unit
For a 0.75-ton A.C:

Power Input = 1.51 KW
Power output: 3.517 KW power in 1 ton, therefore in 0.75 ton
Power Output = 3.517 × 0.75
Power output in watts

COP =
power input in watts
3.517 × 0.75
COP =
1.51
C.O.P of the Standard 0.75 Ton A.C. : 1.56
For power consumption we use the standard ratings of the air conditioner:
I standard = 4.5 A
V standard = 220 V
Power Consumption = V × I
Power Consumption of a Standard 0.75 Ton A.C = 990 W
3.2 VCRS Using a Heating Coil
From the Refrigeration Table,
H 1 = 408.6 kJ/kg [10 °C]

H f1 = 211.9 kJ/kg [10 °C]
H g = 413.1 kJ/kg [78 °C]
From the Steam Table,
S fg = 0.695 kJ/kg K [10 °C]

S f1 = 1.042 kJ/kg K [10 °C]
S 2 = 1.634 kJ/kg K [78 °C]
Since S1 = S2 ,

S f 1 + X × S f g = S2
1.042 + (X × 0.695) = 1.634
X = 0.896 ≈ 0.9

H4 = Hf1 + X × Sfg
H4 = 211.9 + (0.9 × 196.7)
H4 = 387.3 KJ/kg
H2 = Hg + Cp(vapour) [T2 − Tsat ]
H2 = 421.3 + 2.1 × [82 − 78]
H2 = 421.3 KJ/kg
878 P. Das et al.
C.O.P at 10° C,
H1 − H4
C.O.P =
H2 − H1
408.6 − 387.03
C.O.P =
421.3 − 408.6
C.O.P = 1.62
Power Consumption while using this setup,

I with heating coil = I system + I coil
I = 4.5 + 0.5
Iwith coil = 5 A
V = 220 V
Power Consumed = V × Iwith coil

Power consumed = 220 × 5
Power Consumed with Heating Coil = 1100 W
3.3 Case 3—VCRS Using a Heat Transfer
To setup the heat transfer system the Length of the tube needs to be mathematically
calculated based on the available data of the material of the copper tube to be used.
Length of Copper Tubing:
Ṁh × C ph (Th1 − Th2 ) = Q = Actual Heat Transfer

Ṁh × 0.584(Th1 − Th2 ) = (Th1 − Th2 )
Ṁh = 1.711 kg/s
Let L be the length of the heat exchanger to be used,
Ṁh = ρcopper × V
1.711 = ρcopper × πr2 × L

11711 gm/s = 8096 g/cm3 × 3.14 × 0.2268 cm3 × L
Where r = 0.76 cm of the copper pipe
L = 268.144 cm
L = 8.7973 feet
H 1 = 409.2 kJ/kg [12 °C]

H f1 = 211.1 kJ/kg [9.3 °C]
H g = 417.7 kJ/kg [43 °C]
S fg = 1.05 kJ/kg K [12 °C]

S f1 = 1.051 kJ/kg K [12 °C]
S 2 = 1.734 kJ/kg K [43 °C]
Since S1 = S2 ,

S f 1 + X × S f g = S2
1.051 + (X × 1.05) = 1.734
X = 0.65

H4 = Hf1 + X × Sfg
H4 = 211.1 + (0.65 × 197.1)
H4 = 339.215 KJ/kg
H2 = 417.7 + 2.1 × [58 − 43]
H2 = 449.2 KJ/kg
C.O.P at 12 °C,
880 P. Das et al.
H1 − H4
C.O.P =
H2 − H1
409.2 − 339.215
C.O.P =
449.2 − 409.2
C.O.P = 1.754

I = 3.94 A
V = 220 V
Power Consumed = V × I
Power consumed = 220 × 3.94
Power Consumed with Heating Coil = 866.8 W
3.4 Case 3—VCRS Using a Heat Transfer Setup with Box
H 1 = 410.2 kJ/kg [15 °C]

H f1 = 217.9 kJ/kg [15 °C]
H g = 417.6 kJ/kg [43 °C]
S fg = 1.058 kJ/kg K [15 °C]

S f1 = 1.063 kJ/kg K [15 °C]
S 2 = 1.730 kJ/kg K [43 °C]
Since S 1 = S 2 ,

S f 1 + X × S f g = S2
1.063 + (X × 1.058) = 1.730
X = 0.63

H4 = Hf1 + X × Sfg
H4 = 217.9 + (0.63 × 192.3)
H4 = 339.049 KJ/Kg
H2 = 417.6 + 2.1 × [58 − 43]
H2 = 449.1 KJ/Kg
C.O.P at 15° C,
H1 − H4
C.O.P =
H2 − H1
410.2 − 339.049
C.O.P =
449.1 − 410.2
C.O.P = 1.83

I = 3.87A
V = 220 V
Power Consumed V × I
Power consumed = 220 × 3.87
Power Consumed with Heating Coil = 851.4 W
4 Result
Using this setup, observations were noted in terms of the temperature change of the
refrigerant before and after passing through the compressor for various cases. In case
of the box the heat transfer was more as the heat transfer is increased due to increased
flow rate.
From calculations, we have observed that the COP of the air-conditioning system
is increased after using a heat transfer setup (Table 1).
Hence through observing the readings over the span of few months, it can be
inferred that the efficiency of an air conditioner system can be improved by including
a convective heat transfer system in an air conditioner.
882 P. Das et al.
Table 1 Final results based on c.o.p and power consumption

Observations Standard Heating coil Heat transfer without Heat transfer with box
box
C.O.P 1.56 1.62 1.754 1.83
Power Consumption 990 W 1100 W 866.8 W 851.4 W
5 Cost of the Setup
The heat transfer setup does not incur any extra parts to the refrigeration system and
the air conditioner; thus, it does not involve high costs except the cost of reheating
setup. The cost for making the restructured system is combination of the cost of
copper tubing and welding.
The total cost for Air Conditioner having convective heat transfer may be about
= Cost of Air conditioner + Cost of Copper Tubing.
6 Future Scope
With changing times and climate change being the need of the hour, it is crucial that
we work towards a system which not only improves the standards of living but also
respond to climate change in whatever way possible. With research in this concept
and setup, new ways to improve the refrigeration industry can be achieved. This
research can be used to combine with non-conventional sources of energy to increase
its capabilities or using this method for large scale systems might also increase the
COP to high values giving it better efficiency. Combining new and improved forms
of compressor or different refrigerants may also add to the improvement scale [3].
7 Conclusion
We can conclude that if we can use an heat transfer setup before the compressor
inlet the refrigeration effect remains same but the work input by the compressor
gets reduced and after observing the different temperatures at compressor outlet,
evaporator inlet and outlet gives us the result that COP will increase for the reheating
refrigeration and air-conditioning. Based on the experiments the C.O.P was found to
be 17.3% more than the standard setup and Power Consumption was 14% lesser.
Acknowledgements We express my sincere gratitude to Mr. Neeraj (HOD, MAE, A.D.G.I.T.M)

and Mr. Dheeraj Chhabra (Assistant Professor, MAE, A.D.G.I.T.M), for their valuable guidance
and timely suggestions during the entire duration of our dissertation work, without which this work
would not have been possible. We would also like to convey my deep regards to all other faculty
members of Department of MAE, who have bestowed their great effort and guidance at appropriate
times without which it would have been very difficult on our part to finish this work. Finally,
we would also like to offer deepest gratitude to my friends for their advice and encouragement
throughout the course of our project.
References
1. Arora CP (2006) Refrigeration and air conditioning, 17th editon, pp 94-134, Tata McGraw Hill
Publication
2. Prasad M (2012) Reheating refrigerant system. Int J Mod Eng Res (IJMER) 2(1):271–275. ISSN:
2249-6645
3. Tamseel S, Alam S (2016) Analysis of solar-powered D.C air conditioning system, Int J Sci Res
Publ 6(4). ISSN 2250-3153
Microwave Welding of Mild Steel
Sourav , Uma Gautam , Akshay Marwah , Ankit Sharma ,

and Lakshay
Abstract In this research, microwave welding of mild steel has been carried out at
different exposure time, and mechanical characteristics at the weld zone are exam-
ined. Commercial mild steel specimens with the dimension of 20 × 20 × 2 mm
are used in this study. The process parameters used in the microwave welding are
microwave frequency, interfacing material, power rating, susceptor, separator, expo-
sure time. Microstructure, porosity, and hardness tests were performed to evaluate
mechanical characteristics of the welded piece. Results show that the reliable welding
was occurred between 630 and 840 s, below which the weld is partial and above which
the specimen gets deformed. The microstructure of the weld region exposed clear
grains of the austenitic structure. No porosity defect was perceived in the weld zone.
The hardness at weld joint and on HAZ are 58–59 HRB and 51–52 HRB, respec-
tively, and is more significant compared to the hardness of the base metal which is
49–50 HRB.
Keywords Microwave hybrid heating · Domestic oven · Porosity ·

Microhardness · Joining · Microstructure · Austenitic · Interface powder ·
Susceptor
Sourav (B) · U. Gautam · A. Marwah · A. Sharma · Lakshay

HMR Institute of Technology and Management, Delhi, New Delhi, India
e-mail: souravmae@gmail.com
U. Gautam
e-mail: uma_mech_2k3@yahoo.co.in
A. Marwah
e-mail: amarwah13@gmail.com
A. Sharma
e-mail: ankit00726@gmail.com
Lakshay
e-mail: lakshay.mech009@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_78
886 Sourav et al.
1 Background
The engineering industry has a wide area of applications for joining metal parts
using multiple joining techniques, including conventional welding. There is a broad
application of welding in various fields such as industries, construction, railways,
repairing of the machine tool [1]. Consequently, the cost and quality of a product
are directly proportional to the welding quality. In recent years, non-conventional
welding has emerged, which is microwave welding. Microwave welding is the joining
of metal parts by heating them in the vicinity of microwaves radiation in a closed
environment, and it can be carried out in a domestic microwave. Domestic microwave
typically uses a standard frequency of 2.45 GHz as it generates electromagnetic
waves (EMW) at this frequency [2]. The EMW continually changes its orientation
of the magnetic and electric field at this frequency. The water molecules, which
are a combination of the negative and positive charge of atoms, try to synchronize
itself to the variable EM field. Consequently, a dipole moment is created, results
in vibrating the water molecules, which leads to friction at the molecular level and
hence producing a heating effect. The two modes used in microwave application
are single and multimode. In the single mode, the well-defined standing waves are
generated using a particular dimension of a heating cavity which makes it achievable
to localized heating by positioning the subject at the spot of the maximum field. In
the multimode system, complex microwave field is produced inside the oven cavity.
This system has the main advantage of uniform volumetric heating compared to
single mode system. Joining of metals using the microwaves is a comparably new
process and is under research, but the characteristics of this welding, which makes
it unique and attract a number of researches in this matter, are volumetric heating
of a material due to which heating time reduces, high-quality weld with almost no
porosity defect, less power consumption, eco-friendly with the environment 2–5].
By this technique, many materials like stainless steel, cast iron, aluminum, Inconel-
625 [6] have been joined. In present research work, microwave welded butt joints of
mild steel specimens (20 × 20 × 2 mm) are obtained at a different exposure time.
The study aims to examine the microstructure of the weld zone, any porosity defect,
hardness at weld zone and on HAZ compared to the base metal.
2 Methods
2.1 Materials
In this study, the experiments were executed on commercially available mild steel
(cold rolled) of 2 mm thickness and specimens were taken from the cold rolled sheet
with dimensions of 20 × 20 mm. Table 1 describes the composition of mild steel
used in this experiment. The welding of mild steel specimens has been performed on
Ceramic Bricks. Ni-based powder (Ni: 50.8%, Cr: 10.3%, Mo: 12.85%, Co: 22.9%,
Microwave Welding of Mild Steel 887
Table 1 Composition of
Elements Composition in % Element Composition in %
mild steel specimen
C 0.0327 Cu 0.0064
Si 0.0186 Al 0.038
Mn <0.0020 S 0.0075
Cr 0.028 P 0.0101
Mo <0.0020 V <0.0005
Ni 0.0101 Ti 0.0148
Nb <0.0010
and Fe: 2.43%) of micron size used as a filler between the joint interface. Epoxy
resin is mixed with Ni-based powder to form a slurry. The purpose of epoxy resin is
to sustain the Ni-based powder at the joint interface during microwave welding [7].
The graphite sheet of 1 mm thickness serves as a separator and fine-grained charcoal
powder is used to provide supplemental heat for welding. A domestic microwave
oven with a standard frequency of 2.45 GHz is used in this study.
2.2 Experimental Process
Emery paper and acetone are used to remove any undesired impurities [7]. The nickel
slurry (Ni-based powder (90%) and epoxy resin (10%)) then applied to the interface
and was placed on Ceramic Bricks in butt position for welding. The graphite sheet is
utilized as a separator [5], to prevent the nickel slurry from mingling with charcoal
powder. It also acts as a masking film to avoid direct interaction of the metal with
radiation and also provides the carbon to joint during welding and makes the joint
stronger [8]. The delicate charcoal powder acts as a susceptor [1, 4, 7] which is used
to suscept the radiation of microwave and converge the heat at the interface.
The aforementioned setup is used to avoid any direct interaction of microwave
radiation with the metal pieces. Then the whole setup is placed inside the oven cavity
and power setup to 900 W with an exposure time of 720 s. The experimental setup
is shown in Fig. 1. As time increases, more microwave radiation generates inside
the cavity, which produces the heating effect at the interface. The charcoal powder
starts burning within 45 s of the exposure time, thereby increasing the temperature
at interface. The epoxy resin, which holds the Ni-based powder at the interface,
starts to heat the powder and finally evaporate without affecting joint strength [5].
Thereby, Ni-based powder starts coupling to the wafer-thin layer of the surface and
a bond formation takes place due to molten particles of Ni-based powder within the
joint. The number of trails was carried out at different exposure time to ascertain the
formation of joint. Different process parameters used in this experiment are shown
in Table 2.
888 Sourav et al.
Table 2 Process parameters

Specimen material Mild steel
used in microwave welding
Microwave frequency 2.45 GHz
Interfacing material Nickel powder
Power rating 900 W
Susceptor Delicate charcoal powder
Separator 1 mm graphite sheet
Exposure time 720 s
In this study, the most reliable joint of mild steel specimens (20 × 20 × 2 mm) is
obtained at an exposure time of 840 s (shown in Fig. 2), using 2.45 GHz standard
frequency microwave oven. It is observed that the welding occurs between 630 and
840 s, below which the weld is partial and, above which the specimen gets deformed
as shown in Fig. 3. The temperature at the weld junction is shown in Fig. 4. The
temperature of conventional welding goes up to 3300°C, which is enough to produce
harmful UV and infrared rays. Contrary to this, the temperature at weld lies between
800 and 900 °C which do not produce harmful UV and infrared rays.
The different testing was conducted on the final microwave weld joint to examine
the joint mechanical characteristics are microstructure of the weld joint, porosity
test, hardness test at weld joint and on heat affected zone (HAZ).
Fig. 2 Microwave welding

of mild steel
Fig. 3 Deformed weld
3.1 Microstructure
The microstructure of the weld region is observed by cutting the weld transversely,
and after polishing it finely, it was examined under the 100× microscope. The matrix
reveals clear grains of the austenitic structure at the weld zone as shown in Fig. 5.
3.2 Porosity
No porosity defect is observed in the weld zone, which is the main advantage of
doing microwave welding. In conventional welding, gases and fumes evolved from
electrodes during welding gets trapped in molten metal and leads to porosity defect,
890 Sourav et al.
Fig. 4 Temperature at weld

interface
which is not a problem with microwave welding as no fumes and gases is generated
in the welding process.
3.3 Hardness Study
Hardness test was conducted on the welded specimens at joint interface, heat affected
zone (HAZ) and compared with the hardness of the base metal. The welded joint
must possess higher hardness as compared to the base metal for a positive result as
during welding, carbon from graphite sheet gets to fuse with the molten interface
which increases the hardness at the weld zone. The hardness at weld joint and on
Fig. 5 Microstructure at weld zone
HAZ are 58–59 HRB and 51–52 HRB, respectively, and is more significant compared
to the hardness of the base metal which is 49–50 HRB.
4 Conclusions
From the above observation and experimental trials, it is manifest that mild steel could
be joined successfully using microwave radiation with the help of nickel slurry as
interface material. Conclusions that are drawn from the present work are as follows:
1. Successfully joining of mild steel has been carried out using the microwave
heating at different exposure times using nickel slurry as interface material.
2. Clear grains of the austenitic structure found through testing.
3. No porosity defect was observed through testing.
4. Hardness at the welded joint and on HAZ are 15.5% and 3.9% more than the
base metal, respectively.
References
1. Bagha L, Shegal S, Thakur A (2016) Comparative analysis of microwave based joining/welding

of SS304-SS304 using different interfacing materials. MATEC web conference, vol 57, issue
no 3001, pp 1–4
892 Sourav et al.
2. Das S, Mukhopadhayay AK, Datta S, Basu D (2009) Prospects of microwave processing: an

overview. Bull Mater Sci 32(1):1–13
3. Bansal A, Sharma AK, Kumar P, Das S (2012) Joining of mild steel plates using microwave
energy. Adv Master Res 585:465–469
4. Soni P, Sehgal S, Kumar H, Singh AP (2018) Effect of Nickel nano-powder on joining SS316-
SS316 through microwave hybrid heating. Adv Mater Manuf Characterisation 8(1):44–48
5. Dutta T, Sanwaria SJ, Vanesh S, Dhinakaran SP (2017) Analysis of microwave welding of
stainless steel. Int J Sci Eng Res (IJSER) 5(4):92–95
6. Badiger RI, Narendranath S, Srimath MS (2015) Joining of Inconel-625 alloy through microwave
hybrid heating and its characterization. J Manuf Processes 18:117–123
7. Srinath MS, Sharma AK, Kumar P (2011) A novel route for joining austenitic stainless steel
(SS-316) using microwave energy. Proc Inst Mech Eng Part B J Eng Manuf 225:1083–1091
8. Salot S, Sehgal S, Pabla BS, Kumar H (2017) Microwave joining of metals: a review. Res J Eng
Technol 8(3):282–290
Synthesis of Nanocellulose
Fibrils/Particles from Cellulose Fibres
Through Sporadic Homogenization
Nadendla Srinivasababu and Kopparthi Phaneendra Kumar
Abstract Turbak, Snyder and Sandberg have used the term microfibrillated cellu-
lose (MFC) or nanocellulose first time to describe the work done by them. Plant
fibres have abundant cellulosic mass and are renewable in nature. This work aims to
utilize the commercially available cellulose fibres (synthesized from cotton linters) as
raw materials for the synthesis of nanocellulose fibrils/particles through intermittent
homogenization process. Various parameters of homogenization like speed and time
of processing were varied in each step and were chosen from several keen experi-
mental observations. Soaking time of cellulose fibre solution allows swelling of them,
and lopsided processing steps make the solution at room temperature, and no burn
of fibres was noticed. The obtained particles have a mean diameter of 845.4 nm.
An AFM image of different sizes was taken to understand the shape of obtained
nanocelluolse.
Keywords Cellulose fibres · Sporadic homogenization · Processing speed ·

Processing time · Soak time · Particle size · AFM
1 Introduction
An interest is increasing towards the identification of the new cellulose sources. From
1960 to 2010, sisal −0.3%, hemp −0.4%, flax −0.8%, algae −1.1%, stalk −0.3%,
straw −1.4%, husk −0.3% and bagasse −0.6% are some of the sources to exploit
nanocellulose. A little increase in the percentage of nanocellulose from the above
said major sources was observed from 2011 to 2014. The cellulose extracted based on
the activity, i.e., raw materials, non-processed and processed ways [1]. Fibres were
N. Srinivasababu (B)
Fibrous Composites Research Lab, Department of Mechanical Engineering, Vignan’s Lara
Institute of Technology and Science, Vadlamudi, Andhra Pradesh 522213, India
e-mail: drnsbabu_vlits@vignan.ac.in; cnjlms22@yahoo.co.in
K. P. Kumar
Department of Mechanical Engineering, Vignan’s Lara Institute of Technology and Science,
Vadlamudi, Andhra Pradesh 522213, India

https://doi.org/10.1007/978-981-15-5463-6_79
894 N. Srinivasababu and K. P. Kumar
classified based on its thickness as ordinary (17–70 µm), fine denier (4–10 µm),
micro (1–3 µ), nano (<1 µ). N-Methylmorpholine-N-oxide (NMMO) process is an
environmental friendly method for the production of cellulose fibres, in particular
spinning of the micro and nano-fibres [2].
International standards of nanocellulose in different forms, viz. crystals (2–
30 nm), nanofibrils and microfibrils, were released by TAPPI in 2011. Nanofibril
solution is subjected to the process of refining or cryochrusching. Then, the high-
pressure homogenization of the solution resulted in the extraction of nanofibres
[3]. The progress made in the preparation of nanocellulose and nano-viscous from
different natural fibres was discussed by Cintil Jose Chirayal et al. Grinding, ultra-
sonication, acid hydrolysis, Tempo-mediated oxidation, steam explosion and electro-
spinning are some of the methods used for isolation of nanocellulose fibre (10–80 nm
diameter) from various natural fibres [4].
Banana pseudo-stem, jute stem and pineapple leaf fibre were subjected to steam
explosion and mild chemical treatment for the extraction of nanocellulose fibres.
By using this process, homogenous nanocellulose fibrils of 5–40 nm diameter were
obtained [5]. Through the sequential steps of alkali treatment, autoclave, bleaching
and mechanical stirring at 800 rpm result in the isolation of cellulose nanofibrils
(width 5–60 nm) from the pineapple leaf [6]. In order to give more/fewer microfibrils,
several mechanical shearing actions were applied to cellulosic fibres. This process
involves high energy consumption. So, different pre-treatments like mechanical
cutting, acid hydrolysis, enzymatic pre-treatment, carboxy methylation and 2, 2,
6, 6-tetramethylpiperidine-1-oxyl (TEMPO)-mediated oxidation was done [7].
High-intensity mechanical forces cause the delaminating of interfibrillar hydrogen
bonding in microcellulose fibres and produce cellulose nanofibre. MKCA6-3 grinder,
Japan has a disc which performs super grinding when slurry passed through static
and rotating grind stone. An eco-friendly cellulose nanofibre extraction method, i.e.,
aqueous counter collision (ACC), uses pair of jets to process nano-objects [8]. The
main drawback, i.e., clogging, has made the researchers to introduce pre-treatment
methods such as electrostatically induced swelling, acid or enzymatic treatments [9].
Through acid-catalysed hydrolysis, nanocellulose was prepared from China
cotton, South Africa cotton and waste tissue paper [10]. Hydrophilic nature of cellu-
lose causes non-uniform dispersion of it in nonpolar matrices. Cellulose nanoparticles
are modified by (i) physical interactions/adsorption of molecules/macromolecules on
to their surface, (ii) Covalent bonds between cellulose substrates and grafting agents
were achieved through chemical approach [11]. Nanowhiskers were synthesized from
cotton/Gossypium hirsutum linters through steps of (i) ground and hydrolyse, (ii)
acid hydrolysis with minor adaptations, (iii) mechanical stirring of aqueous concen-
trated sulphuric acid, (iii) centrifuged at 13,000 rpm and dialysis—3 times. Obtained
particle size is in the order of 10.6%–2.236 nm; 0.9%–9.2 nm; 88.6%–179.3 nm [12].
From the specific review on mechanical and chemical syntheses of nanocellulose,
the following points are disclosed.
Synthesis of Nanocellulose Fibrils/Particles … 895
1. Mechanical processes:
a. Require high energy for breakdown of fibrils.
b. Clogging of nozzle is unpreventable.
c. Concentration/content of the solutions needs to be examined.
d. High heat development leads to burn of cellulose.
e. Additional process steps are anticipated.
2. Chemical processes:
a. Need to combine with the mechanical process at any of the stage during
synthesis.
b. Environmental issues are unavoidable during disposal of remained solution.
c. Changes in the structure of primary element.
So, preliminary experiments were conducted in the mechanical homogeniza-
tion process using German-made Digital Ultra-Turrax. After series of experiments
conducted under different conditions and to overcome difficulties experienced in the
process, an attempt was made in this work to introduce “sporadic homogenization
process” with a plan of action of steps involved in it.
Various parameters of the present process, i.e., temperature, speed, soaking
time, etc., are selected after thorough experimental investigations. This intermit-
tent homogenization was done till the sample in the solution becomes smaller. Then,
the synthesized sample was sent to the laboratory for determining size, analysing its
shape with the support of particle size analyser and AFM, respectively.
2 Materials, Synthesis of Nanocellulose and Testing
The raw materials employed and the procedure followed for mechanical synthesis
of nanocellulose are detailed below.
2.1 Materials
Commercially available cellulose fibres—medium (product code: C6288) was

procured from Sigma–Aldrich, Bangalore, India. The specifications of the raw mate-
rial as per the data provided by the manufacturer are as follows. It appears white
in colour and available in powder/solid form. Moisture content is ≤10% and may
contain dark particles due to the process of manufacturing. Relative density of the
fibre is 600 kg/m3 .
2.2 Mechanical Synthesis of Nanocellulose
In 1000 ml of drinking water, 64.1 gm cellulose fibres were added and kept at 23 °C up
to 5 min. This was considered as sample, and the fibres were mechanically broken
down into nano-size using IKA T25 Digital Ultra-Turrax, Germany Make. This
instrument disperses water-based solutions in the order of 1–2000 ml, and speed
ranges from 3000 to 25,000 rpm. The sequential steps of speed and time followed in
this experimental work are given in Fig. 1. Some of the terms used in this flowchart
are described here.
• Homogenization speed (N): The speed actually displayed on the unit during
homogenization of cellulose fibre solution kept in a thick wall Borosil rectangular
jar 6910M41.
• Process time (tp ): The time actually utilized for homogenization process.
• Temperature during processing: (Tp ): The process is done in an air-conditioned
atmosphere. The temperature maintained is reported as T p .
• Soaking time (ts ): Cellulose fibre solution is kept at room temperature till the
next step starts. The time elapsed between them (end of one step to beginning of
the next step) is called soaking time.
Raw material along with the drinking water was kept in rectangular jar to withstand
during the process. Cellulose fibre was initially homogenized with variable speed
for a minute and allowed to soak up to 71 h in drinking water. This results in swollen
fibres and was observed with an eye. An initial speed of 10,000 rpm was used at
a temperature of 18 °C. After an hour, heat was sensed from the jar and increased
with processing time. So, the idea of continuous process of homogenization was
withdrawn after series of experiments conducted at different times and speeds.
Then, after each step of processing, the solution was kept idle at a temperature
of 18 °C in order to (i) cool back to room temperature and (ii) further soaking
of fibres. After thorough critical review of several research results on mechanical
homogenization process, processing speed and time, soaking time mentioned in this
flowchart was selected after conduction of different experimental trails. In order to
minimize the viscous nature of the solution after each processing, certain amount
of drinking water was poured into the jar and mixed with the glass stirring rod. The
process was done as per the flowchart.
Then, the solution was kept in a borosilicate test sample bottles and sent to
ICAR—Central Institute for Research Cotton Technology, Mumbai, for determining
the nanocellulose size, knowing shape of it through AFM.
Fig. 1 Sequential steps in sporadic mechanical homogenization process

Nanocellulose diameter was tested on Nicomp Nano DLS Particle Size Analyser, and
Fig. 2 shows the chart obtained from test. The mean diameter of the nanocellulose
is 845.4 nm, standard deviation is 83.4 nm and fit error is 175.622. NICOMP scale
parameters are minimum diameter, plot size, smoothing and plot range of 50 nm,
60 nm, 3 nm and 100 nm, respectively.
For AFM analysis, the sample was kept on the surface of mica sheet and air dried.
Dried sample was analysed in tapping mode using silicon nitride tips. The instrument
used for this test is Bruker Atomic Force Microscope (AFM) Innova model. The test
images obtained from the sample are represented from Figs. 3, 4, 5 and 6.
From Fig. 3, it is understood that majority of particles and few fibrils were formed
due to this homogenization process. Figs. 4, 5 and 6 give an idea that the formation of
fibrils happened. The Z-dimension of measurements is 13.09 nm, 84 nm, 0.234 µm
and 0.338 µm, respectively, for Figs. 3, 4 and 5 and 6.
The possible applications of nanocellulose are as follows.
(i) High Volume: Automotive—body parts, interior, construction—cement, pre-
stressed and pre-cast concrete, packaging fibre or plastic replacement, filler or
coating or film additives or coating, clothing.
(ii) High Value: Oil and gas, structural materials, interiors, air and water filtration,
insulation, sound proofing, viscosity modifier, surface protection, cosmetics,
excipient, medical and environment.
(iii) Novel or emerging: OLED displays, computer screens, nano-enhanced films
for structural colouration, tissues scaffolding, toys, jeweller, personalized gifts,
raw materials for 3D printers [13].
Fig. 2 Nanocellulose diameter chart

Fig. 3 AFM 3D image (3 µm size) of nanocellulose sample


4 Conclusions
Nanocellulose particle and few fibrils were successfully synthesized through sporadic
homogenization process. The test results indicate that the mean diameter of nanocel-
lulose particle was 845.4 nm. AFM images of the sample confirmed the shape of
particles and fibrils. The steps of processing in this mechanical process are to be
modified and optimized in order to get further lower size particles/fibres.
Acknowledgements The Principal Investigator (Nadendla Srinivasababu) of this work is quite

thankful to Science and Engineering Research Board, Government of India, New Delhi, for
kind financial support through a project under Young Scientist Scheme in Engineering Sciences,
No. SB/FTP/ETA-0185/2014, Dated: 29.12.2014.
He is further grateful to Dr. Lavu Rathaiah, Chairman, Sri Lavu Srikrishnadevarayalu, Vice-
chairman, Vignan’s Group of Institutions and Principal of Vignan’s Lara Institute of Technology &
Science Dr. K. Phaneendra Kumar for generosity and support, guidance in establishment of “Fibrous
Composites Research Lab” and performs experimentations.
References
1. Garcíaa A, Gandinia A, Labidi J, Belgacema N, Bras J (2016) Industrial and crop wastes: a
new source for nanocellulose biorefinery. Ind Crops Prod 93:26–38
2. Laszkiewicz B (2000) Micro- and nano-cellulosic fibres. Mol Cryst Liq Cryst Sci Technology
Sect A Mol Cryst Liq Cryst 353 1):271–274
3. Börjesson M, Westman G Crystalline nanocellulose—preparation, modification, and proper-
ties. In: Poletto M (ed) Cellulose fundamental aspects and current trends, pp 159–191
4. Jose Chirayil C, Mathew L, Thomas S (2014) Review of recent research in nano cellulose
preparation from different lignocellulosic fibers. Rev Adv Mater Sci 37(1/2):20–28
5. Abraham E, Deepa B, Pothan LA, Jacob M, Thomas S, Cvelbar U, Anandjiwala R (2011)
Extraction of nanocellulose fibrils from lignocellulosic fibres: a novel approach. Carbohydr
Polym 86(4):1468–1475
6. Mathew Cherian B, Lopes Leão A, Ferreira de Souza S, Thomas S, Laly Pothan A, Kottaisamy
M (2010) Isolation of nanocellulose from pineapple leaf fibres by steam explosion. Carbohydr
Polym 81(3):720–725
7. Dufresne A (2013) Nanocellulose: a new ageless bionanomaterial. Mater Today 16(6):220–227
8. Joo-Hyung K, Sup Shim B, Soo Kim H, Young-Jun L, Seung-Ki M, Jang D, Abas Z, Kim J
(2015) Review of nanocellulose for sustainable future materials. Int J Precis Eng Manuf Green
Technol 2(2):197–213
9. Klemm D, Emily Cranston D, Fischer D, Gama M, Stephanie Kedzior A, Kralisch D, Kramer
F, Kondo T, Lindström T, Nietzsche S, Petzold-Welcke K, Rauchfuß F (2018) Nanocellulose
as a natural source for groundbreaking applications in materials science: today’s state. Mater
Today 21(7):720–748
10. Maiti S, Jayaramudu J, Das K, Mohan Reddy S, Sadiku R, Sinha Ray S, Liu D (2013) Prepara-
tion and characterization of nano-cellulose with new shape from different precursor. Carbohydr
Polym 98(1):562–567
11. Missoum K, Naceur Belgacem M, Bras J (2013) Nanofibrillated cellulose surface modification:
a review. Materials 6(5):1745–1766
12. Paulo Saraiva Moraisa J, de Freitas Rosa M, de sá Moreira de Souza Filho M, Dias Nascimentoa
L, Magalhães do Nascimento D, Ribeiro Cassales A (2013) Extraction and characterization of
nanocellulose structures from raw cotton Linter. Carbohydr Polym 91(1):229–235
13. An X, Cheng D, Shen J, Jia Q, He Z, Zheng L, Khan A, Bo S, Xiong B, Ni Y (2017)
Nanocellulosic materials: research/production activities and applications. J Bioresour Bioprod
2(2):45–49
A New Design of Li-Ion Battery
for a Smart Suitcase
Anant Singhal , Karan Bhatia , Kaleem Uz Zaman Khan ,

Shivam Tyagi , Tarun Mittal , Chetan Mishra , and Aditya Roy
Abstract Lithium-ion battery, a high energy density resource has played a major role
in revolutionizing current the era of digital electronics by acting as the major power
mode for various power tools, mobile-computer, and electric vehicle industries. But
recently, logged battery accidents have clearly highlighted the risk associated with
it, in-turn, making its reliable and secure use a major concern. Therefore, we are
designing a battery pack for a semi-autonomous suitcase with the aim of preventing
shock, mishandlings, and over-heating while integrating it with a simple lock-in and
easy removal mechanism. Also, our work features mobile charging and regenerative
system for charging of the pack at run-time.
Keywords Li-ion battery · Smart suitcase · Safe Li-ion battery · Battery pack
design
1 Introduction
Batteries being highly developing electrochemical energy storage device enable

renewable sources to satisfy peak energy density demands as their production mainly
depends on environmental conditions, this way liberating society from being depen-
dent on fossil fuels. In the current world of innovation, its uses have exponentially
increased in power tools, mobile phones, aviation industry, etc.
A. Singhal · K. U. Z. Khan · S. Tyagi · T. Mittal

Technology, GGSIP University, Delhi, New Delhi, India
K. Bhatia
School of Electronics Engineering, Vellore Institute of Technology, Chennai, India
C. Mishra (B)
Trontek Electronics Pvt. Ltd, Delhi, New Delhi, India
e-mail: chetanmishramait@gmail.com
A. Roy
Department of Mechanical Engineering, Indian Institute of Technology, Delhi, New Delhi, India

https://doi.org/10.1007/978-981-15-5463-6_80
904 A. Singhal et al.
Such a wide range of its uses and applications makes it crucial to consider
all the factors affecting its capacity, performance, and safety such as energy hold
time, charging time, ambient temperature, discharging cycles, battery chemistry,
etc., before using batteries as storage system. Therefore, considering the mentioned
factors, lithium-ion seems to be the most suitable and highly used battery chemistry
of the modern world.
The lithium-ion battery is space effectively capable of packing an enormous
amount of energy depending on metal electrodes in-turn affecting battery’s perfor-
mance proportionally while providing highly numbered charge and discharge cycles
over a huge range depending on charge levels. All these positive points which make
Li-ion suitable for most of the applications, and also have shown some events where
they seem to be fatally risky when they were exposed to extreme unpredictable condi-
tions by the users, therefore, the safety considerations should be paramount when
considering a new market segment for Li-ion battery application. As per statistics
considering the volume of batteries used, the number of incidences is relatively low
and the reported injury is usually treatable with no long-term effects. These are often
linked to possible abuse or the unwitting use of the battery that would have caused an
internal or external short that led to the explosion through the generation of hydrogen
gas.
The main objective of an efficient battery pack design is to prevent the risk of any
mishandlings and unexpected environment encounters. Several designs have been
proposed earlier to reduce such risks and make our products much more reliable and
efficient to use, as done in patented work by Panasonic corporation [1] which imple-
mented aluminum-based rectangular prism design of a rechargeable non-aqueous
electrolyte lithium battery’s case to prevent pressure rise beyond threshold due to
gas generated from decomposition of non-aqueous electrolyte due to short circuits
or being overcharged. Its design included an opening in battery case which enabled
the release of pressure in-turn preventing the rupture and any other fatal accidents.
With that, another research patented by Kameishi et al. [2] worked to prevent
excessive pressure built up inside the battery, which used application-specific disk
spring for inner convex surface, attached behind the disk plate which bends under
stress that disconnects battery casing contact from at least one terminal. After the
pressure is reduced, it gets back to its original way.
Wen et al. [3] dealt with the control of all the safety parameters related to internal
material chemistry of the lithium-ion battery, including high-voltage due to over-
charge, high temperature, high pressure due to gas generated, and high current due
to short circuits. Redox shuttle, an electrolyte additive which is reversible oxidation or
reduction at a certain specific voltage slightly higher than end-of-charge voltage, was
used as an internal over-charge mechanism. Also, with this a positive temperature
coefficient device was used to maintain temperature, whose resistance is directly
proportional to the current supplied through, thus preventing thermal run-away.
Another research by Sanyo Electric Co. Ltd. [4] solved rectangular secondary
battery’s issue where the electrolyte does not properly flow within battery in-turn
leading to increase in weight significantly in combinations where they are stacked
all together. This issue pointed toward the importance of preventing such issues,
A New Design of Li-Ion Battery for a Smart Suitcase 905
for which a rectangular secondary battery was provided that reduced the amount of
liquid not contributing to the cause.
Just as the above work, while keeping battery’s safety as priority, we have designed
a smart suitcase used to provide relaxation to the passenger such that user does not
need to drag the luggage at airports, railway stations, footpaths, etc., and instead sit
on the suitcase and move along with it while keeping all the parameters under the
security norms in check to get it cleared through the security panel during check-in.
The user can use it as a power-bank as and when required and it will be able to store
the energy generated by the manual driving of smart suitcase.
2 Design of Battery Pack
The battery is designed such that it comes under all the allowable parameters by
transportation security administration (TSA). The battery pack is designed such that it
is mechanically stable, thermally conductive, and electrically insulated. Considering
weight, thermal conductivity, and corrosion resistive properties, we have chosen
aluminum in-turn reducing dead-weight and energy consumption while increasing
load capacity and also making it highly thermally conductive. Here, the case has
been designed by extrusion, which gives it more strength. In Fig. 1, (6) represents
the extruded battery case to provide strength.
For better and comfortable handling, the head of the case has been provided
with griping holes for two fingers and thumb, which makes it easily removable. It
is designed in plastic ABS for proper strength and easy manufacturing. In Fig. 2,
(7) represents the gripping holes for two fingers and a thumb (similar to that used
in bowling ball) which makes it easy to remove. (13) represents the USB port to
connect the charging cable for mobile phone.
Fig. 1 Extruded battery

body
Fig. 2 Battery head
Battery connections must be mechanically tight and reliable in order to keep

overall resistance in the circuit as low as possible that is nearly 0 , failing which
a huge resistance is developed due to a loose connection which leads to high power
dissipation in form of heat. Therefore, a universal connector is placed at the base
of the battery which completes the connection after the battery has been locked,
where the center yellow pin is positive terminal and the outer yellow ring is the
negative terminal of the battery. In Fig. 3, (1) represents the negative terminal and (2)
represents the positive terminal of the battery. (3) represents the hole for the screw
to attach the connector with the battery.
For the prevention of vibrations due to misalignment and loose fitment, the case
has been provided with extruded pins enabling the battery to move in the curve-
shaped negative slot in a suitcase, slowly and lock properly. In Fig. 4, (12) represents
the extruded pins which will help the battery to lock and hold inside the battery
cavity.
Fig. 3 Battery connector

Fig. 4 Guiding pins
Also, for keeping the batteries intact on their positions mounting plates have been
used, on which further BMS and a DC-DC converter (36–5 V) circuit are mounted. In
Fig. 5, (8) represents the connector terminal for wiring, (9) represents the mounting
plate to hold the cell on their position inside the battery. (10) represents the cells and
(11) represents the battery head.
Here, the cell holders are provided for proper cell-fitting with short-circuit preven-
tion. Also, considering the cooling issues, the cells are packed close to the outer
surface for better heat transfer through it. Also, thermal paste is applied between cell
walls and battery for the better drain of heat through cells. In Fig. 6, (11) represents
the cell holder for proper cell-fitting with short-circuit prevention.
Fig. 5 Mounting plate in the battery

Fig. 6 Cell in the cell holder
3 Calculations
The optimum parameters selected to obtain smooth movement of smart suitcase for
a longer distance are as follows. For any application, the first and most important
variable to be assumed is its GVW (i.e., Gross vehicle weight), which proportionally
affects all the force acting on them and this has been calculated to be 115 kg in our
case. Considering components like battery pack, motor, BMS, steering wheel and
brakes and accelerator, wheels and frame of the bag will have weight of 10 kg (as per
availability in market). The weight limit for a travel bag is 25 kg (with luggage). The
vehicle has been designed assuming the weight of the driver to be less than or equal
to 90 kg. For doing calculations, we need to specify certain parameters; thus, speed
expectation is 20 km/h and range expectation is 10 km. The resistant forces acting on
the suitcase when it moves at 20 km/h will be because of rolling resistance force and
air drag. Rolling resistance force results in loss of energy due to deformation caused
in non-elastic bodies which resists the rolling motion of the body on the surface.
Coefficient of rolling resistance (c) = 0.02 [5].
Rolling resistance, f = c × normal reaction
Rf = 0.02 × (m × g) = 0.02 × 115 × 9.8
= 22.54 N
The drag coefficient of air for a human being is 1.08 [6]. Also, the average air
density is 1.1456 kg/m3 [6]. The frontal area has been taken as 0.56 [6]. The drag
will increase with speed as shown in table.
Drag coefficient (Cd) = 1.08
Frontal area (A) = 0.56 m2
Air density (ρ) = 1.1456 kg/m3 .

Using formula,

Drag force(Df) = ρ × A × v2 × Cd /2

= 1.1456 × 0.56 × 5.5562 × 1.08 /2
= 10.69 N
Total resistant force,

F = Rf + Df
= 33.23 N
Torque at wheel,
Torque = F × r
= 33.23 × 0.082
= 2.72 Nm
As we are considering hub motor of radius 8.2 cm thus gearing ratio is 1, the
torque at the motor shaft will be same 2.72 Nm.
Diameter of wheel (d) = 0.164 m
Using formula,
v = 2 × π × N /60
N = (60 × 5.556)/(2π × 0.082)
N = 647.3 rpm
Hence, speed at motor shaft will be same, i.e., N = 647.3 rpm

Power required (p)
P = 2 × π × N × T /603
= (2π × 647.3 × 2.72)/60
= 184.611 W
Considering motor efficiency to be 80%

184.6/0.8 = 230 W = V × I
The power required to give suitcase the linear speed of 20 km/h will be 230 W.
The time taken by the suitcase at 20 km/h to complete the distance of 10 km will be
30 min. So, by calculating, the power given to the motor (rating 270 W) when it is
to be used for 30 min will be 115 W. But, since this smart suitcase is designed such
that its battery can be removed and travelled along with the passenger safely without
any issue with the airlines’ restrictions, having power of 115 W cannot be taken as
batteries over 100 W power are not allowed in most of the airlines [7]. We need to
choose battery having power less than 100 W.
It is considered that the battery has a voltage of 36 V since the working voltage
of whole system is 36 V for better performance results, which can be achieved by
using 10 cells of 3.6 V each used in series. Now, ampere-hour (Ah) requirement of
battery pack will be less than 100 W/36 V = 2.7 Ah. It shows we can use a pack
of 10S configuration that is 10 series of 3.6 V cells of 2.7 Ah each which make a
battery pack of 97.2 Wh (Watt-hour). Since motor power is 230 W as required thus
current required will be 6.38 A. But battery pack is 2.7 Ah and discharging it at 7 A
will affect the life of battery due to high C rate. Thus, to take it to safer side, we
need to reduce the power of motor. If we use motor of 200 W, we can take down the
discharge current to 5.5 A that is 2C discharge rate which is allowable.
When the efficiency of the motor rating 200 W is taken into consideration (80%),
only 160 W will be usable. In a 160 W motor, the speed comes out to be 16.5 km/h
as shown in Table 1. This 200 Wh battery can run this vehicle to 16.5 km so 97.2 Wh
battery will run this vehicle for 8 km. The range a person can get using this battery
will be 8 km and nominal speed will be 15 km/h.
Our research shows the step-by-step development of battery pack for semi-
autonomous suitcase, from motor parameters’ selection to structural design of a
secure and robust battery case, for ensuring its loose packing and leaking as per the
norms of transportation security administration. This can enable the users to carry it
through aircraft and airport transfers easily, without any issues.
The curve in Fig. 7 shows how the power required by the vehicle is varying with
speed. It can be seen that power requirement increases as we increase the speed
requirement, thus, it helps us to decide the optimum speed, we should go for and the
battery pack energy requirement according to it.
The curve in Fig. 8 shows the variation of various other parameters, viz. motor
rpm, torque, and power with respect to the speed of the vehicle.
Table 1 shows the data of various other parameters that vary with speed. It can
be seen that rolling resistance is the same as it is independent on the speed of the
vehicle, and air drag is increasing rapidly with speed. As per our calculations, the
battery pack will require 125 Ah to cover 10 km distance, but since only 100 Wh
is allowable through check-in without prior permission, we need to design a battery
pack with 36 V and 2.7 Ah which comes out to be 97.2 Wh, and this can give a
distance range of 8 km. The battery management system (BMS) will be passive with
10S with 8 A configuration. The BMS will do passive balancing and will allow 8 A
current to discharge continuously and 12 A for peak up to 5 s. There will be a DC-DC
converter for 36–5 V for mobile charging and it will allow for 1 A current. The BMS
used will be having the same port for charging and discharging, making it applicable
for regeneration. Thermal paste will be used to connect the cells and body of battery
thermally making it a thermally stable battery pack. Since current consumption is
Table 1 Variation of the parameter with respect to speed
Velocity (m/s) Velocity Rolling Air drag Total force (N) Wheel torque Motor torque Rheel RPM Motor Rpm × Power
(km/h) resistance (Nm) (Nm) 1000 required (W)
1.39 5 28.20375 0.67 28.87 2.37 2.37 161.82 161.82 40.1203624
2.78 10 28.20375 2.67 30.88 2.53 2.53 323.65 323.65 85.8124384
4.17 15 28.20375 6.01 34.22 2.81 2.81 485.47 485.47 142.647941
4.44 16 28.20375 6.84 35.05 2.87 2.87 517.84 517.84 155.842564
A New Design of Li-Ion Battery for a Smart Suitcase
4.58 16.5 28.20375 7.28 35.48 2.91 2.91 534.02 534.02 162.704531
4.72 17 28.20375 7.73 35.93 2.95 2.95 550.20 550.20 169.750366
5.00 18 28.20375 8.66 36.86 3.02 3.02 582.57 582.57 184.415921
5.28 19 28.20375 9.65 37.85 3.10 3.10 614.93 614.93 199.883802
5.56 20 28.20375 10.6 38.90 3.19 3.19 647.30 647.30 216.198585
6.94 25 28.20375 16.7 44.91 3.68 3.68 809.12 809.12 312.036082
911
Fig. 7 Speed v/s required power curve
Fig. 8 Variation of power, rpm, force, and air drag with respect to torque
at 2C rate for nominal case, temperature rise will be higher which requires to be
conducted to the outside atmosphere using thermal paste.
5 Conclusion
The proposed battery pack design will be of prominent use in case of big airports and
heavy loads, which can be easily cleared on airports as norms and various governing
laws by TSA were already taken care of for the safety of transportation. Also, its
design features include effective heat drain out of the battery to maintain an optimum
temperature. Also, the battery pack is designed to be shock and short circuit protected
with over and under voltage protection in-turn to make is safer in all circumstances.
The battery has lots of applications which make it user-friendly like allowing
the user to charge a phone or any other appliance. The battery is compatible with
regeneration, that is, whenever someone wants to use the scooter manually, the motor
can be used to recharge the battery using regeneration at that time.
This is an emerging technology to work on and the world is waiting to use all the
vehicles on electricity, thus, making it an ocean of opportunities. Considering the
future scope of our research work, it can be simulated for design refinements with the
further addition of precisely designed security features and use of fibers for weight
reduction purposes.
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Sci Am. 249:142–152. https://doi.org/10.1038/scientificamerican1283-142
7. https://www.tsa.gov/ Accessed 14 June 2019
Comparative Study on the Formability
Behaviour of Different Grades
of Aluminium Alloys Using Limiting
Dome Height Test—An Analytical
and Experimental Approach
Praveen Kumar and Satpal Sharma
Abstract The objective of this present work is to the comparison of simulation and
experimental results on the formability behaviour of dissimilar aluminium alloys
such as AA6082-O, AA5083-O, AA5052-H32 and AA6082-T6 using limiting dome
height (LDH) test. This research work is divided into four main parts. In the first
part, experiment is performed on LDH test is used to predict the failure criteria
of formability of all aluminium alloys. The experimental dome height values were
measured and recorded. In second part, the uniaxial tensile test for all aluminium
alloys was performed, and the combined curve of true stress–strain values and force-
displacement was drawn. In third part, the simulation of LDH test is performed on
simulation using Hyperform software to estimate the forming behaviour of used
aluminium alloys. In simulation process, the comparative study of forming limit
diagram (FLD), plastic, minor and major strain of used aluminium alloys was studied.
With the help of simulation result, the forming limit curves (FLC) were drawn to
develop the minor and major strain paths. In last part, the comparison of simulation
and experiment result of dome height was prepared when localized necking occurs.
It is showed that the simulation results have a good agreement with the experimental
result at 93% accuracy for all aluminium alloys. Both the result shows that the
AA6082-O has better formability followed by AA6082-T6, AA5083-O and AA5052-
H32.
Keywords LDH test · Hyperform · Tensile test · FLD · Strain · Hydraulic press
P. Kumar (B) · S. Sharma

Gautam Buddha University, Gautam Buddha Nagar, Greater Noida, UP 201312, India
e-mail: praveen.jbm@gmail.com
P. Kumar
Delhi Institute of Tool Engineering, Okhla, New Delhi 110020, India

https://doi.org/10.1007/978-981-15-5463-6_81
916 P. Kumar and S. Sharma
1 Introduction
The formability of sheet metal can be evaluated by many tests, such as tensile tests,
Erichsen, limiting dome height and square cup deep drawing tests. The LDH test is
generally used to check the drawability of the sheet metal. During this test, the sheet
material is examined in or near plane strain value. The dome height at near fracture
or necking, which effect of forming limit curve, and the width of the specimen
is varied to provide a minimum draw height, known as the limiting dome height.
These tests can be conducted at atmospheric temperature (non-heat treated) and heat
treated state. For any type of material, the LDH test is performed by the experiment
and simulation method. LDH incorporates the effect of parameters such as ductility,
coefficient of friction and work hardening of the material.
Babu et al. [1] investigated the effect of heat treatment on the formability of
friction stir welded sheet of AA6061 and AA2014. It is observed that the non-heat
treated tailor welded blank of AA6061 and AA2014 shows poor formability due to
non-uniform elongation. While on uniform elongation was found on the sheet formed
by the solution heat treated. Dhara et al. [2] studied the formability of pre-strained
AA5754-O to check the role of pre-strain. He observed that the LDH of the AA5754-
O decreased with the increase in the pre-straining and yield strain of AA5754 increase
with increasing the strain hardening. Naik et al. [3] investigated the prediction of the
forming limit diagram of unwelded and TWB sheets. He found that strain-based
criteria are the most effective to predict of LDH and FLC. Panicker et al. [4] investi-
gated the formability behaviour of AA5754-H22 at elevated temperature. He calcu-
lated the limiting strain by performing the LDH test at room temperature and at
elevated temperature (200 °C). He found that the effect of the bending strain induced
due to the hemispherical punch used in the limiting dome height was negligible. While
FLD of specimen at 200 °C was improved by 145%, Satish et al. [5] investigated
the cry rolling and warm forming of AA6061 aluminium alloy. He found that cry
rolled sheet exhibited the poor formability. The considerable increase in the limiting
dome height and forming limit strain occurred as the temperature raised to warm
working range (200–300 °C). Thus, higher strength and formability can be achieved
by applying cryorolling and warm working together in spite of using traditional cold
rolled and annealed sheet, formed at 250 °C for the aluminium alloy and alloy worked
within the given alloy temperature range. Shao et al. [6] estimated the drawability
of AA5754 in warm forming condition. He found that the formability increase with
increasing the temperature from 200 to 300 °C and reducing the punch speed from
300 to 20 mm/s. Barnwal et al. [7] investigated the influence of plastic anisotropy
on the formability of AA6061 aluminium. He found that formability achieved in
biaxial mode and inclined direction. The sheet direction effect on strain path curves
is in uniaxial regions. The simulated and experimental strain path curve differed for
plain strain and biaxial strain. For the biaxial strain path, crack is towards the path of
principal stress. Kuramae et al. [8] investigated the multi-scale parallel FEA for the
LDH sheet formability based on the crystallographic homogenization method. He
observed that the formability of asymmetrically rolled A6022-ASR aluminium alloy
Comparative Study on the Formability Behaviour … 917
was greater than the formability of symmetrically rolled A6022-T43. A6022-T43 and
A5182-O show poor formability due to their poor rotation. Li et al. [9] investigated
the forming limit analysis for the two-stage forming with intermediate annealing
on AA5182-O. He observed that pre-strain decreases the formability of unannealed
material and increase the formability after long annealing times due to higher driving
force for recrystallization. Abbasi et al. [10] investigated the influence of weld zone
and the geometric continuity on the reduction of formability of tailor welded blanks.
He found that the geometric discontinuity was the main decision-making factor for
the formability of TWBs with thickness ratio greater than 1 in non-homogeneous
distribution of strain and premature failure. Some researchers performed the LDH test
on different material and investigated the limit strain of formability [11, 12]. In this
present study, analytical and experimental study is made using the limiting dome
height test on different aluminium alloys sheets such as AA6082-O, AA5083-O,
AA5052-H32 and AA6082-T6.
2.1 Material Characterization
In this study, four different grades of aluminium alloy having 2 mm thickness are
used. Aluminium alloy 6082-T6 belongs to 6xxx series of aluminium alloy series
contained aluminium–magnesium–silicon. It has excellent corrosion resistance and
strength. AA6082-T6 commonly used for machining due to its structural properties.
AA6082-O has highest ductility and annealed wrought alloy. It is used to manu-
facture, transport vehicles because of structural property. AA5083-O has very good
corrosion resistance and its weldability. The alloys act as high resistance to seawater
as well as the industrial chemical environments and have the highest strength of all
the non-heat treatable alloys. AA5052-H32 consists of nominally magnesium and
chromium. It has fine workability, medium static strength, good weldability and very
excellent corrosion resistance, especially in the aquatic atmosphere. The application
of AA5052 is in making off-road sign, rivets, pressure vessels and boilers.
For all aluminium alloys, the sheet size of 160 × 160 × 2 mm3 was used in the
limiting dome height test [13]. The chemical composition of each aluminium alloy
was checked by the spectroscopy and their values were achieved shown in Table 1.
The full size of tensile specimen was cut by the water jet machining operation using
ASTM-E8M-04 standard. The mechanical properties of all aluminium alloys were
tested by using universal tensile test machine (UTM) as given in Table 2 and deter-
mine the stress–strain and load–displacement curves. Figure 1 shows the combined
curve of the strain versus stress and load versus displacement generated after tensile
test.
Table 1 Chemical composition of aluminium alloys

Alloy Elements
Mn Fe Mg Si Cu Zn Ti Cr Al
6082-T6 0.83 0.60 1.33 0.30 0.10 0.20 0.10 0.37 95.54
5083-O 0.83 0.48 4.37 0.10 0.10 0.44 0.23 0.05 93.4
5052-H32 0.1 0.48 2.72 0.25 0.45 0.1 0.30 0.32 95.28
6082-O 0.83 0.60 1.33 0.30 0.10 0.20 0.10 0.37 95.54
Table 2 Mechanical and physical property data for simulation

Mechanical properties 6082-T6 5083-O 5052-H32 6082-O
Young’s modulus(MPa) 71,000 71,000 70,300 69,000
Poison ratio 0.33 0.33 0.33 0.33
Yield stress(MPa) 266 143 125 80
Tensile strength(MPa) 295 253 170 120
Strain hardening 0.20 0.2 0.14 0.14
Elongation at break 12% 26.3% 9% 24%
Vickers hardness(HV) 110 100 70 55
R0 0.8 0.75 0.7 0.4
R45 0.85 0.8 0.7 0.45
R90 0.8 0.8 0.65 0.4
Strain hardening 0.2 0.2 0.18 0.20
Sheet thickness 2 2 2 2
Fig. 1 Comparative graph between stress–strain and force–displacement after tensile test
2.2 Description of Die and Experimental Procedure
The LDH test is used to examine the formability of all the aluminium alloys [13] by
using experimental method as shown in Fig. 2. The LDH test was carried on a 100 ton
capacity of double action hydraulic press in which two sliders on the upper bolster
Fig. 2 LDH setup
plate. The punch speed was taken 0.5 mm/s. The complete die set was machined
using CNC and conventional machining process. The hemispherical punch size of
Ø101.6, lower die and blank holder were clamped properly into the press. The CAD
data of blank holder, die and punch are shown in Fig. 3. The circular bead was
manufactured on the die and blank holder which is used for locking or restricts the
movement of sheet during material flow into the die cavity. The punch is clamped to
the inner slide and blank holder is mounted to the outer slide of the upper moving
half. The die is mounted completely into the lower bolster plate of the press. During
trial, the sheet was placed positioned with the help of location pin on the die surface.
Firstly, blank holder surface touches the sheet and properly hold the sheet, then the
punch was exerted the force to the sheet which is placed on the die surface. The sheet
was properly locked with the help of draw bead. The sheet has started deformed, the
movement of punch was stopped when the fracture or necking appear was identified
through the mirror placed into the downside of die cavity. Same setup of experiment
was repeated for remaining aluminium alloys. During trial, the graph between the
force versus distance was generated for all the aluminium as shown in Fig. 4. The
Vernier height gauge was used to check the draw depth of each aluminium alloy and
noted the result.
Fig. 3 a Die, b blank holder, c hemispherical punch

Fig. 4 Curves generated during LDH test
2.3 Draw Force Calculation
Draw force and blank holding force was calculated which is required to perform the
LDH test. As per Table 2, mechanical properties of each material is different, so
calculated the draw force and blank holding force separately as given in Table 3.
Drawing Force = Π × d × t (SU + SY /2) (1)
where d = punch diameter (mm)

S y = yield strength of material (kg/mm2 )
S u = ultimate tensile strength (kg/mm2 )
t = thickness of sheet (mm)
Therefore, Blank holding force = 0.2 × Drawing force (2)
Table 3 Draw and blank holding forces for all aluminium alloys
Force (tons) Material
AA6082-T6 AA5083-O AA5052-H32 AA6082-O
Drawing force 18.24 12.86 9.59 6.50
Blank holding force 3.64 2.57 1.91 1.30
Fig. 5 Simulation setup for

analysis
2.4 Simulation Setup
Die, punch, blank and blank holder computer-aided design (CAD) data has converted
into the IGES format for the simulation in Hyperform CAE software. These data were
imported in Hyperform and setup for a limiting dome height test as shown in Fig. 5.
In Table 3, the mechanical properties of selected aluminium alloys were used for
the simulation process. Die, punch and blank holder simulation surface data were
meshed using R-meshing and blank was meshed using B-meshing. After meshing,
single action press is selected where punch and blank holder is fixed with lower
bolster plate and die is attached with the upper bolster plate (moving ram) of the
press. During LDH test, the simulation was done on or above 20% of thinning in the
drawn part. The drawn part is shown with the necking or crack for all aluminium
alloy. The dome height was calculated and noted. Same procedure was used for the
remaining aluminium alloys and the results were achieved. The simulation result of
condition and the behaviour of plastic, major, minor, formability and forming limit
diagram were generated. Simulation for all aluminium alloys was successfully done
and the results have compared with the experimental result.
2.5 FLD and Strain Study During Simulation Process
During LDH test, the forming limit curve which defines the failure limit in a different
strain such as plain, biaxial and uniaxial strain. The forming limit drawing was used
to predict the failure limit of the material and mapping the graph between major and
minor strain. The major strain value is always positive lie on a vertical axis, while
the minor strain values may be positive and negative plotted along the horizontal
axis in forming limit curve. The plastic strain value represents the ability to resist
thinning during LDH test. It is calculated from the longitudinal and width strain and
it is used to measure the drawability of the material. During simulation of LDH test,
the plastic, minor, major strain values were achieved after deformation of all the
aluminium alloys.
Material AA6082-T6 AA 5083-O AA5052-H32 AA 6082-O

Simulation
result
Experimental
result
Fig. 6 Experimental and simulation result
3.1 Comparison of Experimental and Simulation Result
The experimental trial of all aluminium alloys such as AA6082-O, AA5083-H32,

AA5052-O and AA6082-T6 successfully done and result was achieved. The height of
the dome shaped with the help of Vernier height gauge with the accuracy of ±0.1 mm.
The simulation result of used materials also generated by using Hyperform software.
The comparative result of experimental and simulation of formability with the picture
of dome height is shown in Fig. 6. It is found that the experimental result has good
agreement with the simulation result for all the aluminium alloy sheet with 95%
of accuracy. In both the result, it is observed that the dome height of AA6082-O
is higher than the followed by AA5083-O, AA5052-H32 and AA6082-T6. As per
the mechanical properties of the material as shown in Table 3, AA6082-O has less
tensile strength and the yield strength, whereas the percentage elongation is higher
with comparison of other used aluminium material. It is found that the formability
increases with the increasing of percentages of elongation and decreasing of the
strength of the material. AA6082-T6 has lower dome height due its hardness and
strength. The comparative graph of simulated and experimental value of dome height
is shown in Fig. 7.
3.2 Comparative Simulation Result for Strain and FLDs
In the simulation study, the maximum and minimum value of plastic, major and minor
strain in the deformed components were achieved for all materials. The comparative
study has been made for plastic, major, minor strain for all materials as shown in
Fig. 8a–c. All strains values are checked and measured near the fracture position of the
drawn component where at high deformation in the strain value. In the plastic strain
graph, at the necking stage, AA6082-O and AA5083-O have maximum strain value
DOME HEIGHT
45
40
38
30 33 32
31
28 29
26
15
0
6082-T6 5083-O 5052-H32 6082-O
SimulaƟon Experimental
Fig. 7 Comparison of experimental and simulation dome height result
(a) (c)
AA6082-T6 AA6082-O
AA5083-O AA5052-H32
(b) (d)
Fig. 8 Comparative simulation result for used material with a plastic strain, b major strain, c minor
strain, d FLD curve
and deformation occurs due to lowers strength and hardness of the material. Same
result was achieved for the minor and major strain value. It is because of maximum
deformation and formability. The FLD also called Keeler-Goodwin forming limit
diagram in which the curve was plotted combination of the minor and major strain
which lead to fracture. In the FLC, strains values above the limiting curves, it denotes
the failure (necking), while values below the curves signify the safe deformations
(without wrinkles and necking) as shown in Fig. 8d.
4 Conclusions
The investigation of formability effect of material properties such as hardness,

strength, strains of different aluminium alloys was studied. In this present work,
assembly of LDH tests is developed for the different aluminium alloys and the
comparative study between simulations and experimental of limiting dome height
test was investigated. The following conclusions are discussed:
• The tensile test was carried out to investigate the mechanical properties and to
identify the plastic behaviour of the used aluminium alloy.
• In this present study, the comparative study between simulation and experimental
of limiting dome height test is successfully achieved. The simulation result has a
good agreement with the experimental result with 93% accuracy.
• The dome height of the material AA6082-O is more either the comparison of
the other material due to lower strength and high percentage elongation. It is
also found that AA6082-O has better formability and followed by AA6082-T6,
AA5083-O and AA5052-H32.
• In the AA6082-O and AA5083-O, the plastic, minor and major strain value has
maximum value at necking condition.
• It is observed that the shape of forming limit curve is not the same for all aluminium
alloys in simulation condition due to different mechanical and plastic behaviour
of the material.
• In experimental result, it is observed that AA6082-T6 has least dome height, i.e.,
26 mm, which is 18.7% of AA5083-O, 10.34% of AA5052-H32 and 31.57% of
AA6082-T6.
References
1. Kiran NB, Davidson MJ, Rao AN, Balasubramanian K, Govindaraju M (2014) Effect of
differential heat treatment on the formability of aluminium tailor welded blanks. J Mater
55:35–42
2. Dhara S et al (2016) Formability analysis of pre-strained AA5754-O sheet metal using Yld96
plasticity theory: Role of amount and direction of uni-axial pre-strain. J Manuf Process 24:270–
282
3. Naik BS, Ramulu PJ, Narayanan RG (2010) Application of a few necking criteria in predicting
the forming limit of unwelded and tailor-welded blanks. J Strain Anal Eng Des 45:79–96
4. Panicker SS, Singh HG, Panda SK, Dashwood R (2015) Characterization of tensile properties,
limiting strains, and deep drawing behavior of AA5754-H22 sheet at elevated temperature. J
Mater Eng Perform 24:4267–4282
5. Satish DR, Feyissa F, Kumar DR (2017) Cryorolling and warm forming of AA6061 aluminum
alloy sheets. Mater Manuf Process 32:1345–1352
6. Shao Z et al (2018) Experimental investigation of forming limit curves and deformation features
in warm forming of an aluminium alloy. Proc Inst Mech Eng Part B J Eng Manuf 232:465–474
7. Barnwal VK, Tewari A, Narasimhan K, Mishra SK (2016) Effect of plastic anisotropy on
forming behavior of AA-6061 aluminum alloy sheet. J Strain Anal Eng Des 51:507–517
8. Kuramae H, Ikeya Y, Sakamoto H, Morimoto H, Nakamachi E (2010) Multi-scale parallel finite
element analyses of LDH sheet formability tests based on crystallographic homogenization
method. Int J Mech Sci 52:183–197
9. Li J, Carsley JE, Stoughton TB, Hector LG, Hu SJ (2013) Forming limit analysis for two-stage
forming of 5182-O aluminum sheet with intermediate annealing. Int J Plast 45:21–43
10. Abbasi M, Ketabchi M, Ramazani A, Abbasi M, Prahl U (2012) Investigation into the effects
of weld zone and geometric discontinuity on the formability reduction of tailor welded blanks.
Comput Mater Sci 59:158–164
11. Zadpoor AA, Sinke J, Benedictus R (2007) Prediction of limit strains in limiting dome height
formability test. In: AIP conference proceedings 2007, vol 258, pp 258–263
12. Ma XW, Wang F, Zhao GQ (2013) The limiting dome height tests and formability of magnesium
alloy sheet AZ31B. Appl Mech Mater 302:140–145
13. Ayres RA, Brazier WG, Sajewski VF (1978) Evaluating the GMR-limiting dome height test
as a new measure of press formability near plane strain. J Appl Metalwork 41–49
A Novel Approach of Gearbox Fault
Diagnosis by Using Time Synchronous
Averaging and J48 Algorithm
Subrata Mukherjee , Rishubh Kaushal, Vikash Kumar,

and Somnath Sarangi
Abstract Gearbox fault diagnosis is a major research area in mechanical engineering

at the current generation. Due to the important role in industries, gearbox makes a
huge impact on mechanical engineering research. A lot of faults occur in the gearbox
such as tooth crack, wear, plastic flow, and spelling. These types of gearbox faults
can lead to major production disaster which is the cause of huge financial losses and
decrease the efficacy in the production unit. Thus, it is very important to detect any
fault at an initial stage to stay away from an unexpected breakdown of the gearbox.
Therefore, this paper presents a unique gearbox fault diagnosis method based on time
synchronous averaging (TSA) and J48 algorithm. An electromechanical system was
used for experimental work. Two types of faulty gearset were introduced along with
a healthy gearset for the study of the gearbox vibration. A computer-aided DAQ was
used for acquiring the vibration signal. The experimental work was carried out by
three different loads and speeds conditions with duration of 30 s. The results of this
work are very promising and make a clear idea of some future research work.
Keywords Gearbox faults · Time synchronous averaging (TSA) · J48 algorithm ·

Gearbox vibration
S. Mukherjee (B) · R. Kaushal

Mechanical Engineering Department, Thapar Institute of Engineering and Technology, Patiala,
Punjab 147004, India
e-mail: subratamukherjeetume001@gmail.com
R. Kaushal
e-mail: krishubh17@gmail.com
V. Kumar · S. Sarangi
Mechanical Engineering Department, Indian Institute of Technology, Patna, Bihar 801103, India
e-mail: 1821me18@iitp.ac.in
S. Sarangi
e-mail: somsara@iitp.ac.in

https://doi.org/10.1007/978-981-15-5463-6_82
928 S. Mukherjee et al.
1 Introduction
Gearbox plays a decisive role in any mechanical transmission system and production
unit, which is mainly used for power transmission. Any fault in the gearbox can
lead to an expensive failure in the production unit and unwanted time consumption.
Therefore, it is very important to detect gearbox faults as early as possible. Gearbox
fault identification can be done using various approaches such as vibration analysis,
current signature analysis, and temperature analysis.
But vibration signal analysis of the gearbox is the most effective and extensively
used method for gearbox fault identification. Some authors have proposed a method
based on statistical feature extraction and advanced signal processing for gearbox
fault diagnosis. [1] presented an improved gearbox fault diagnosis method based on
statistical feature extraction and improved acoustic emission sensor. [2] used a linear
dynamic model for gearbox fault diagnosis. [3] used an adaptive Morley wavelet and
SVD for turbine vibration analysis. [4] applied Shannon wavelet spectrum analysis
for studying the vibration response. [5] used complex maximum energy-to-Shannon
entropy ratio for fault diagnosis.
Most of the literature shows the importance of the vibration signal analysis of
gearbox fault diagnosis. But in this current era vibration signal analysis, it is termed
as conventional gearbox fault diagnosis technique because it cannot find the exact
location of gearbox fault and also unable to provide information about some complex
gearbox fault such as fatigue crack of gear tooth or pitting of gear teeth. [6] showed
that the statistical indicators are not enough for fatigue crack identification. [7]
showed that NA4 was no more useful for pitting damage of gear. Some authors
have proposed an AI-based gearbox faults diagnosis technique. [8] used statistical
indicators as an input on the support vector machine (SVM) algorithm for gearbox
fault diagnosis and compares its results with an artificial neural network (ANN). [9]
used HHT-SVM for fault diagnosis. [10] used empirical mode decomposition and
optimized SVM for bearing fault diagnosis.
Therefore, this paper presents a unique gearbox fault diagnosis technique using
intelligent machine learning algorithm, i.e., J48 and time synchronous averaging.
Time synchronous averaging (TSA) helps to eliminate the effect of the non-stationary
properties which are considered as the noise of the gearbox vibration response and J48
algorithm was applied on time features of the TSA vibration signal for the gearbox
fault features selection and classification.
Remaining part of this paper is presented in this way: Sect. 2 discusses experi-
mental investigation and the proposed method. Section 3 discusses result and Sect. 4
discusses the conclusion and future work.
A Novel Approach of Gearbox Fault Diagnosis … 929
2 Experimental Investigation and Proposed Method
This experimental work was carried out on machinery vibration simulator machine.
This machine includes a single-stage bevel gearbox attached to a three-phase induc-
tion motor, with a load system. The driver gear has 27 teeth and driven gear has 18
teeth. The experimental setup also comprises a computer-aided DAQ.
During the experimental investigation, the characteristics of the vibration signal
were evaluated and analyzed in three different conditions of gearbox, i.e., healthy
tooth gearbox, broken tooth gearbox, and missing tooth gearbox under the speed of
25 Hz with three specific loading conditions. Figures 1 and 2 show the experimental
setup and faulty gearset.
Total 3 samples were taken for experimental investigation where, 1 sample for
the healthy condition, 1 sample for missing condition, and 1 sample for the chipped
condition were collected for 30 s under the three different load conditions (0, 2, and
4 lb) of the gearbox with the speed of 15, 25, and 35 Hz.
Figures 3 and 4 show the proposed fault diagnosis method and the raw vibration
response for three different cases of the gearbox.
Missing Gear Chipped gear
Fig. 2 Faulty gearset for experimental studies

Time Synchronous
Vibration Signal from Time domain Analysis
Averaging of Vibra-
Experimental setup of TSA Signal
tion signal
Gearbox fault diag- Classification using J48 Algorithm for fea-

nosis J48 algorithm tures selection
Fig. 3 Proposed gearbox fault diagnosis method
3.1 Time Synchronous Averaging of Gearbox Vibration

Response
TSA [11] is an effective time-domain pre-processing technique to reduce the effect

of the noise in a repetitive vibration signal. Mathematically, TSA is written as [12]
O(t) = Qa(t) + c(t) (1)
where Qa(t) is the periodic signal of (t), c(t) is the noisy element, and Ln is the
period of the Qa(t) with f n corresponding frequency.
The synchronous average of signal O(t) is expressed as [12]
1
g−1
R(t) = C(t + i Ln) (2)
g i=0
whereg is the number of the average segments and R(t) is the averaged signal.
Figure 5 displays the TSA of the three different raw vibration signals of the gearbox.
3.2 Features Selection and Features Classification
Twelve statistical features were calculated from the TSA vibration signal. These
statistical features serve as an input in the J48 algorithm [13]. J48 algorithm is
a decision tree-based Java execution of Iterative Dichotomies 3 (ID3) algorithm
developed by WEKA [13]. Figures 6 and 7 show the decision tree developed by
J48 algorithm and classification accuracy of the J48 algorithm for gearbox fault
diagnosis.
Fig. 4 Vibration response of a healthy tooth gearbox, b chipped tooth gearbox, and c missing tooth
gearbox
Fig. 5 TSA vibration response of raw data a healthy tooth gearbox, b chipped tooth gearbox, and
c missing tooth gearbox
Fig. 6 Decision tree developed by the J48 algorithm
Fig. 7 Classification accuracy of the gearbox fault diagnosis created by WEKA
Table 1 shows the confusion matrix developed by J48 algorithm. The explanation
of the confusion is given below.
a. The first element of the first row indicates that the number of samples fits in a
healthy condition and classified appropriately by the classifier as a healthy tooth.
b. The second element of the first row indicates that the number of samples fits in
a healthy condition but misclassified as a chipped tooth.
c. The third element of the first row indicates that the number of samples that fits
in a healthy condition but misclassified as a missing tooth with none.
Table 1 Confusion matrix

Classified as A B C
Healthy tooth(A) 8 1 0
Chipped tooth(B) 0 8 1
Missing tooth(C) 0 0 9
Table 2 Detailed accuracy by class

TP rate FP rate Precision Recall F measure MCC ROC area PRC area Class
0.889 0.889 0.000 1.000 0.889 0.941 0.918 0.988 Good
0.889 0.056 0.889 0.899 0.889 0.833 0.972 0.916 Chipped
1.000 0.056 0.900 1.000 0.947 0.922 0.991 0.967 Missing
0.926 0.037 0.930 0.926 0.926 0.891 0.984 0.950 Weighted
avg.
Table 2 shows the class-wise accuracy of gearbox fault where the TP rate specifies
the true positive rate and the FP rate specifies the false positive rate. TP rate is for
better accuracy and FP rate is better positivity. The numerical value of the TP rate
and FP rate must be close to 1 and 0.
4 Conclusion and Future Work
This work presents a unique idea about gearbox fault diagnosis using advanced
computational intelligence. In this work, the combined approach of TSA and J48
algorithm was used for gearbox fault diagnosis. Time synchronous averaging (TSA)
technique was used to reduce the effect of noise from the raw vibration response.
Twelve statistical indicators were calculated from the TSA vibration signal. J48
algorithm was applied to it for gearbox fault features selection and classification.
The classification accuracy of the J48 algorithm was found to be 92%, which is very
promising.
In the future, some work can be done in this area for the complete protection
of the gearbox by using advanced computational intelligence. In the future, the
combined approach of instantaneous angular speed (IAS)-empirical mode decom-
position (EMD) can be used for gearbox fault in diagnosis. The intelligent machine
learning approach can be applied to gearbox fault for improved vibration analysis.
References
1. Bechhoefer E, Qu Y, Zhu J, He D (2013) Signal processing techniques to improve an

acoustic emissions sensor. In: Proceedings of the annual conference of prognostics and health
management society, New Orleans, Louisiana, pp 1–8
2. Li CJ, Limmer JD (2000) Model-based condition index for tracking gear wear and fatigue
damage. Wear 241(1):26–32
3. Jiang Y, Tang B, Qin Y, Liu W (2011) Feature extraction method of wind turbine based on
adaptive Morlet wavelet and SVD. Renew Energy 36(8):2146–2153
4. Liu J, Wang W, Ma F (2012) Bearing system health condition monitoring using a wavelet
cross-spectrum analysis technique. J Vib Control 18(7):953–963
5. Yan R, Gao RX (2009) Base wavelet selection for bearing vibration signal analysis. Int J
Wavelets Multiresolut Inf Process 7(4):411–426
6. Zakrajsek JJ, Lewicki DG (1996) Detecting gear tooth fatigue cracks in advance of complete
fracture, NASA TM-107145, ARL TR-970, NASA, and the US Army Aviation Systems
Command
7. Dempsey PJ, Zakrajsek JJ (2001) Minimizing load effects on NA4 gear vibration diag-
nostic parameter. In: 55th meeting sponsored by the society for machinery failure prevention
technology, Virginia Beach, Virginia
8. Samanta B (2004) Gear fault detection using artificial neural networks and support vector
machines with genetic algorithms. Mech Syst Sign Process 18(3):625–644
9. Wang Y, Ma Q, Zhu Q, Liu X, Zhao L (2014) An intelligent approach for engine fault diagnosis
based on Hilbert-Huang transform and support vector machine. Appl Acoust 75:1–9
10. Zhang X, Zhou J (2013) Multi-fault diagnosis for rolling element bearings based on ensemble
empirical mode decomposition and optimized support vector machines. Mech Syst Sign Process
41(1):127–140
11. Bechhoefer E, Kingsley M (2009) A review of time synchronous average algorithms. In: Annual
Conference of the Prognostics and Health Management Society
12. Elbarghathi F, Wang T, Zhen D, Gu F, Ball A (2012) Two-stage helical gearbox fault detec-
tion and diagnosis based on continuous wavelet transformation of time synchronous averaged
vibration signals. In: 25th International Congress on Condition Monitoring and Diagnostic
Engineering
13. J48 decision tree - Mining at UOC (2019) Data-mining.business-intelligence.uoc.edu
[Online]. Available: http://data-mining.businessintelligence.uoc.edu/home/j48-decision-tree.
(http://data-mining.business-intelligence.uoc.edu/home/j48-decision-tree)
Programmable Logic Controller
Controlled 360 Degree Flexible Drilling
Machine
Parth Patpatiya, Varun Bhatnagar, Harshita Tyagi, and Nupur Anand
Abstract This paper focuses on controlling a flexible drill machine using a

programmable logic controller (PLC), so that the speed and time of drilling can
be controlled and accuracy of the drilling could be increased. Hence, fabrication of
the drill machine whose DC motor can be controlled using a PLC is discussed. The
drilling machine finds its application in drilling in any direction (x, y and z) and at any
angle which makes it work in 360 degree. Complicated parts having alignment prob-
lems could be drilled horizontally, vertically or even upside down. The components
used and their specifications in fabricating drilling machine are discussed thoroughly.
Parameters of machining, i.e., speed of cutting, rate of feed, cutting depth, material
removal rate and time of machining of the drill machine, are calculated which makes
it convenient to drill in materials like metals, wood and plastic.
Keywords Flexible · Drilling machine · 360 degree · PLC
1 Introduction
Drill machine is the key equipment of every industry. It is used to produce holes of
demanding diameter and depth on the work piece. It gives high accuracy and high
precision. Few parts is impossible to be drilled by fixed drilling machine because
to minimum space between the bit of the drill and the bed of the drill. And in such
cases, we use hand drilling machine, but it has also alignment problem. So, here I
P. Patpatiya (B) · V. Bhatnagar · H. Tyagi · N. Anand

School of Automation, Banasthali Vidyapith, Niwai, Jaipur, Rajasthan 304022, India
e-mail: paarth.1098@gmail.com
V. Bhatnagar
e-mail: varun84bhatnagar@gmail.com
H. Tyagi
e-mail: harshita.1998.ht@gmail.com
N. Anand
e-mail: nupuranand29@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_83
938 P. Patpatiya et al.
propose a drilling machine which can drill in any direction (x, y, z) and at any angle
easily. This drilling machine can drill any type of material including metals like
alloy, cast iron, bronze, aluminium, copper, cast steel, carbon steel and some non-
metals like plastic and wood. It gives high accuracy and high precision in machine
operation. This drilling machine can rotate at any angle without any difficulty. The
speed of drilling machine can be varied and controlled with the help of PLC. In
this system, drilling is performed automatically in an efficient ways. The system
includes DC motor, motor drive, SMP, jumper wires, PLC. The basic parts of a PLC
controlled 360 degree drilling machine includes base, motor, drill chuck, screws,
drill bit, frames, connecting rod, PLC model, SMPS, jumper wires and motor drive.
The base is made of wood or cast iron depending upon the design. The frames are
connected to the connecting rod in such a way that it can move in any direction (x,
y, z). The frames are made up of aluminium and the connecting rods are made up of
cast iron. An electric DC motor of 4000 rpm is mounted on the upper arm. A drill
chuck is mounted on the motor. The connecting rods acts as the arms of the machine,
and both the ends of the rods are attached to the frames with the help of screws. The
PLC is connected to the drilling machine by L298N driver. The L298N driver has the
ability to drive a pair of motors. The motor of the drilling machine is connected to the
motor driver, and the analogue output of the PLC is given as the input to the motor
driver by the Enable ports EnA (IN1, IN2). The SMPS provides ground and a +12 V
to the motor driver. To have 5 V from the power supply, the drive utilizes the built-in
stabilivolt tube 78M05. A program is created in the PLC to command the motion of
the drilling machine for different applications. This 360 degree drilling machine has
six connecting rods which are connected to the frames which help the movement of
the machine in x-, y-, z-direction at any angle. The connection rods rotate manually in
the required direction. When the power supply is given to the motor, the shaft of the
motor starts rotating, and it helps the drill chuck to rotate which further leads to the
rotation of the drill bit. The drill bit applies a huge force on the surface, and the hole is
created. The speed of the 360 degree drilling machine is controlled by PLC. Switch
mode power supply (SMPS) is used to give the power supply to the motor driver
which is further connected to the PLC and the motor of the drilling machine with the
help of jumper wires. A supply of +5 V and ground is provided to the L298N motor
driver by SMPS. L298N motor driver is a double H-bridge motor driver that enables
controlling of direction and motion of two DC motors at the same time. Two enable
inputs are there to enable or disable the device. Since we have to control speed of
only one motor, we provide PLC analogue output to IN1 and IN2 as an input. The
motor is in rest state when enable terminal gives the signal 0. When the enable signal
is 1, if IN1 and IN2 are 00 or 11, the motor is in brake state, and the motor stops
rotating. If IN1 is 0 and IN2 is 1, the motor moves in the direction of clockwise; if
IN1 is 1 and IN2 is 0, the motor moves counter clockwise. For controlling the speed
with the help of PLC, the jumper is removed from the driver and 5 V given to enable
input.
Programmable Logic Controller Controlled 360 Degree Flexible … 939
2 Literature Review
Several methods had been used so far for the construction of flexible drilling machine.
Nargatti, et al. [1] developed a multi-spindle drilling head with unlike centre distance.
These machines are referred as great time saver for a job of drilling many holes in
many work pieces. So, they are used for mass production and for enhancement of
the work rate of machining system in mechanical industries. The model consists of a
pair of spindles which are managed by only a motor, and these spindles are supplied
into the model simultaneously. All the drilling motion is obtained by elevating the
work table and by minimizing the drill head. According to its literature review, the
variables which are taken in the examination are feed rate, spindle speed and depth
of cut. Tool geometry, tool wear, chip formation or the substance nature of both
tool and work piece are some of the variable that are not examined. Alwis et al.
[2] propose the representation of a PCB drilling machine in which the drill cavities
are detected instinctive from an image by eliminating the requirement to physically
invade the drill-hole coordinates. The machine uses a path planning algorithm which
can estimate an efficient traversing path for the drill bit travel time. Jodh et al. [3] also
present important points such as representation variables examination and configu-
ration selection from representation frame of reference, and recommended that for
hardness, precision and easy running programming, gantry configuration is suitable.
Niranjan et al. [4] highlight the accuracy of profundity of cut and its controllability.
He recommended that through programming the microcontroller mechanical move-
ments can be controlled, which will be interfaced with drilling depth feed motor.
Patel et al. [5] proposed a 360 degree flexible drilling machine, which can be used
for drilling cavities at various location, and the drilling can be done with high accu-
racy. By bringing down total machining time, minimized human effort and lesser
manufacturing cycle time productivity can be improved. Kumar et al. [6] present a
drilling machine which results in reduced cycle time and higher productivity. The
design enabled six grooves to be drilled simultaneously, and the segments of the
multi-spindle unit have to be drafted using ordinary methods. Many component’s
examination of spindle housing and gear housing was carried out to examine struc-
tural integrity using ANSYS. After making changes to the model, we found that
the manufacturing rate elevates from 150 components per shift to 425 components
per shift. Gadhia Utsav et al. [7] proposed a portable drilling machine which works
with pneumatic system. The machine will use the compressed air for its operation,
and it will improve the productivity along with the automation. This operation will
be more accurate and less time consuming as compared to conventional methods.
Venkatesh et al. [8] proposed a drilling machine for tapping function based on the
functional and economical aspects which could rotate the spindle in both clockwise
and counter clockwise direction. The machine has bevel gear arrangement for auto
reversal of the spindle. Sawant et al. [9] proposed a comparison between conven-
tional radial drilling machine and special purpose machine (SPM) for drilling and
tapping function. They also proposed the time retained by element handling (loading
and unloading), using hydraulic clamping, expands productivity both qualitative and
quantitative, and minimized human involvement, accidently depletion in operator

exhaustion and many more. Sarhan [10] presented a drive system established on
stepper motor which is controlled by a PLC model. He used PLC as a guide to func-
tion full-stepping, half-stepping and micro-stepping way of performance of motor.
The implementation of the drive system is in two-axis NC positioning system, and
linear displacement has been evaluated for individual machine axis and differentiated
for the three stepping modes of stepper motor. Singh and Moona [11] proposed a
micro-drilling machine which is used to fabricate extremely small holes in micro-
products. The cutting speed and feed rate will be taken as process parameters, and
accuracy is increased by providing feed to drill spindle through lead screw instead of
direct feed. Prasanth Kumar et al. [12] proposed a drilling machine which can move
in any direction and can be set up on a table or on a wall. This machine makes drilling
easy and accurate even at complicated surfaces. Harsh et al. [13] Lokes Kumar Sahu,
et al. proposed a drilling machine which is used to drill in any direction by mounting
it on a table. It is also used complicated structures. Nikhitha [14] Kamli Harsh, et al.
presented a drill which is used to reduce the alignment problems. This is arranged on
a worktop and can be used more horizontally and vertically up and down. Guangqing
[15] proposed drill machine which can be operated by formulating input and output
points, and PLC program is created to control the requirements of machine tools.
Many more processing are done, and the final result proved the feasibility of PLC.
It is also used to solve the low production efficiency.
3 Components and Their Specification
This project can rotate in any direction (x, y and z) and at any angle. This decreases
the time of setting the operation. This also takes into consideration the most effective
way of controlling the drilling machine manually. It can be used for drilling material
like plastic, wood and non-heavy metals. This flexible drilling machine can drill at
different position and at different angles. The speed of the motor can be measured
by using tachometer (Figs. 1, 2, 3, 4, 5 and 6).
(1) Motor
A motor is an electrical device which gives mechanical energy by converting elec-
trical energy. This works on a principal that whenever a conductor in which current
is carried is put in a magnetic field, it encounters a mechanical force. Fleming’s left
hand rule helps in determining the direction of force of the DC motor. The motor
required should be of high torque which rotates the shaft when the power is supplied.
The shaft is connected with the drill bit by a chuck which rotates the drill bit and
makes a cavity in the material. The motor is set up on the upper arm of the machine.
Specification:
• Motor—DC motor
• Maximum speed—1000 rpm
Fig. 1 Flexible drill

machine kit
Fig. 2 Motor driver
• Voltage—12 V
• Voltage supplied—DC supply
• Current—0.2 to 1.2 AMP
• Output power—2.4 to 15 W
• Motor’s weight—200 gm
• Shaft diameter—3.17 mm
• Diameter of motor—36 mm
Fig. 3 PLC panel
Fig. 4 Flexible drill

machine kit with SMPS
• Length (Body)—60 mm
• Length (Shaft)—16 mm
• Main colour—Silver tone
Fig. 5 Ladder programming

in PLC
Fig. 6 Connecting arms and

frames of flexible drill
machine kit
(2) Connecting Rods

Connecting rods help the machine to move in any direction (x, y, z), and both ends of
the rods are connected by a frame with the help of screws. Six rods of equal length
are used for the flexibility of the model. These connecting rods are rotated manually
at the demanding direction and angle.
Specification:
• Length—300 mm
• Width—60 mm
• Sheet thickness—22 SWG.
(3) Frames
These are used to support the arms of the model. These frames are fitted at the ends
of the connecting rods.
Specification:
• Length—50 mm
• Width—40 mm
• Thickness—1.5 mm.
(4) Drill Bit

Drill bit are the tool used to create holes when attached on a drill. These drill bits are
available in various sizes and shapes to create various kinds of cavity. Specialized
bits are also available for non-cylindrical shaped holes.
Specification:
• Material—HSS
• Diameter—3 mm
• Type—Twist flute parallel shank.
(5) Chuck
Drill chuck is used to hold the drill bits and to connect the drill bit and motor shaft.
It transmits the torque from motor shaft to drill bit.
Specification:
• Type—Collet
• Material—HCS
• Length—25 mm
• Diameter—2.5 to 3 mm range.
(6) Base plate

The model is supported by the base plate. The entire model is bolted on the base
plate, and base plate works as a worktable. It provides the model higher accuracy
and precision.
Specification:
• Material—ply wood
• Length—400 mm
• Width—400 mm
• Thickness—20 mm.
(7) Screws
A screw acts as a buckle, and in certain ways, it is like a bolt which is made up of
metal, and marks by a helical ridge, familiarized as a male thread (external thread).
There are various kinds of screws for a variety of materials.
Specification:
• Material—M5 stainless steel
• Length—70 mm.
(8) Programmable logic controller (PLC)

It is a digital electronic device which stores instructions and to execute specific func-
tions such as logic, sequence, timing, counting and arithmetic to control machines
and process by utilizing a programmable memory. The devices connected as inputs
are continuously monitored by this control system. The devices connected as outputs
are controlled by the user-written program which is stored in memory. Here, in this
360 degree flexible drilling machine, we are using PLC to control the speed of motor.
Specification:
• Type—Compact
• Model—Siemens S-7 1200.
(9) DC motor drive

An amplifier or a power modulator that joins the controller and a DC motor is a
kind of DC motor drive It has a unique property to transform the low current into a
elevated current which is required for the motor. It helps in providing the high-current
torque, i.e., 400% more than the rated continuous torque. This motor drive can give
maximum current 2 A and can give voltage up to 5–35 V.
Specification:
• Model—L298N.
(10) Jumper wires

Jumper wires are simple wires which have connector pins at each end which enable
them to be used to connect two points without having the need of soldering. These are
used with breadboards and some other prototyping tools to make different circuits
as required.
Specification:
• Type—Male to female
(11) Switch mode power supply—SMPS is switched-mode power supply which is

use to provide the power supply to the motor driver. It provides a power supply of +
12 V and ground to the L298N motor driver.
4 Machining and Design Parameters
A. Cutting speed (Vmax)

V = π DN
where D = diameter of drill in mm = 3 mm
N = speed of rotation = 0–1000 RPM
V max = 9.425 m/s.
B. Feed rate (f )
f = Nf r
where N = spindle speed
f r = feed per revolution of the drill (in/rev)
f = 2 in/min.
C. Cutting depth (d)
d = D/2 = 1.5 mm.
D. Material elimination rate
MER = (π D2 /4)f N
MER = 2650.71 mm3 /min.
E. Machining time
t = L/f
where L = length of the cavity to be drilled = 3 mm
f = feed of the drill = 2 in/min
t = 3.54 s.
5 Conclusion
This project is a combined effort to produce a cost-effective drilling machine which

helps in drilling holes easily in any direction (x, y, z). This machine can drill holes
easily at any desired angle accurately. The size of the machine is also very small, so
it is very easy and convenient to move it from place to place. This 360 degree drilling
machine is easy to carry. Due to its light weight and portability, the controlling gets
better during the operation. It reduces the manufacturing lead time and involves less
wiring. For different applications, we have different speeds which are controlled by
the PLC. Changes can be easily made in machining parameters by using PLC. This
project is economical, precised and efficient. This project also holds application in
furniture making and industries.
References
1. Nargatti KI, Patil SV, Rakate GN (2016) Design and fabrication of multispindle drilling head
with varying centre distance. Int J Trend Res Dev 3(3):506–508
2. Alwis PLSC, Premarathna AS, Fonseka YP, Samarasinghe SM, Wijayakulasooriya JV (2014)
Automated printed circuit board (PCB) drilling machine with efficient path planning. In: Saitm
research symposium on engineering advancements (SAITM)
3. Jodh G, Sirsat P, Kakde N, Lutade S (2014) Design of low cost CNC drilling machine. Int J
Eng Res Gen Sci 2(2). ISSN: 2091-2730
4. Niranjan G, Chandini A, Mamatha P (2013) Automated drilling machine with depth

controllability. Int J Sci Eng Appl 2(4). ISSN: 2319-7560
5. Patel JM, Nair AP, Chauhan HU (2015) 3-directional flexible drilling machine. Int J Sci Res
Dev 3:1262–1264
6. Praveenkumar BS, Hugar N, Ajithkumar A (2016) Design of rod grooving multispindle drilling
unit. Asian J Sci Technol 07:2600–2605
7. Gadhia Utsav D, Shah Harsh A, Patel Viral A, Patel Kushang P, Amin Harsh J (2016) Design
& development of universal pneumatic drilling machine: a review study. Int J Technol Res Eng
3:1614–1616
8. Venkatesh N, Thulasimani G, Naveenkumar S, Malathi SK, Palanisamy S, Karthikeyan M
(2016) Combined drilling and tapping machine by using cone mechanism. Int J Sci Eng Res
7:11–15
9. Sawant PR, Barawade RA (2012) Design and development of SPM-A case study in multi
drilling and tapping machine. Int J Adv Eng Res Stud 1:55–57
10. Sarhan Hussein (2014) PLC-controlled stepper motor drive for NC positioning system. Int J
Eng Technol 3(3):298–307
11. Singh AK, Moona N (2016) Design of a universal micro radial drilling machine. IJSTE Int J
Sci Technol Eng 2(09). ISSN: 2349-784X
12. Kumar GP, Sekhar PG, Khan PN, Rajesh P, Krishnaiah BV (2018) Design & fabrication of
360° flexible drilling machine. Int J Eng Trends Appl (IJETA) 5(2)
13. Harsh K, Mistry P, Akashr P, Ankit P, Hemik P, Mistry PA (2019) A review on 360 degree
flexible rotating drilling machine. Int J Res Eng Sci Manag 2(2)
14. Hema Nikhitha U (2019) Design of 360 degree flexible drilling machine. Int J Eng Res Technol
IJERT V8IS010084 8(01)
15. Guangqing N (2017) Application of automatic control technology of drilling machine based
on PLC. Acta Technica 62(1B):531–540
“VISIO”: An IoT Device for Assistance
of Visually Challenged
Rashbir Singh, Prateek Singh, Deepak Chahal, and Latika Kharb
Abstract Technologies and systems adopted by laboratories and workplaces are

turned too primitive to be operated upon. Experiment performed by using routine
tools and equipment. Hand-operated tools are just too much of energy and time taking,
whereas one which is automated is just too expensive. Using of these tools requires
a great deal of knowledge to be gained and to operate without any loss and lessening
the time consumption. But the need of the time is for the portable devices and tools
which can be combined with different platforms like android. Along with meeting,
the requirement of time Arduino is an open-source platform. Arduino board along
with software developing kit (SDK)-based programming used for interacting and
commanding different sensors. Tools like this will attract and inspire a lot of young
researchers and developers to aid with the crises in our society. We are using the
same development platform to develop a device called as VISIO. And it is developed
to help the blinds with their suffering and misery.
Keywords Arduino · Internet of things (IoT) · SDK · Arduino board · VISIO ·

Motion sensor · Piezo buzzer
1 Introduction
Arduino being a powerful electronic microcontroller for quick and trouble-free proto-
typing used for Internet of things (IoT) and anyone who wants to develop without
the base knowledge of electronics and programming could easily operate upon this.
According to the Times of India survey, India has the biggest blind residents, and
India is home to 15 million visually impaired from the world’s 37 million a shown
in Fig. 1. As being the holder of the largest population of visually impaired, India
R. Singh
Masters Student, RMIT-Royal Melbourne Institute of Technology, Melbourne, Australia
P. Singh · D. Chahal · L. Kharb (B)
Jagan Institute of Management Studies, Sector-5, Rohini, Delhi, India
e-mail: latika.kharb@jimsindia.org

https://doi.org/10.1007/978-981-15-5463-6_84
950 R. Singh et al.
Fig. 1 International visual

impairment evaluation by
WHO
is lacking the technology for the visually impaired. Portability of visually impaired
people is confined within their surroundings [1]. India requires three lakhs of eye
donations every year of which only twenty-five thousand are being actually donated.
Due to shortage of optometrists and lack of money, many visually impaired people
happen to suffer a lot and some are so neglected that they tend to die within a road
accident; due to this, helpline was launched for visually impaired in India, to ease
the life of a visually impaired and to develop cheap and easy to use device called
“VISIO” which can give a close replacement to need of eyes using the Arduino
platform using sensors. Due to open-source Arduino, board copies are available at a
very resizable price making the “VISIO” easily approachable within the economic
capabilities of every person who needs it.
For the aid purpose, combinations of Arduino board along with Bluetooth module,
IR sensor, smartphones, ultrasonic sensor, etc., are combined together along with
some programming on board [2]. This research idea not only help with making
visually impaired person independent but also will avoid accidental death of an
visually impaired person due to any hazardous household or on road article, making
their life easy with the house automation and moving around without fear.
2 What for Visually Impaired?
In article [3], every time a visually impaired tries to travel outside of house in the
unknown condition its proves to be really unsafe as they turn out to be more prone to
accidental injuries or even death. The only means of letting knowing the surrounding
is sound and a physical stick which could take a lot of time scanning and in that time
anything could from the other side. In recent, a vibrating stick is developed for
the visually impaired, and this stick vibrates whenever an irregular surface is being
“VISIO”: An IoT Device for Assistance of Visually Challenged 951
detected; but it will still take the same scanning time as well is very expensive and
don’t provide much information [4].
Our “VISIO” will help with this that the person will be aware of the nearby
surrounding for every millisecond. As we have noticed, visually impaired have faster
reflexes and can react much faster than an average human being, so our “VISIO”
not only cut off the time of scanning the surrounding through ears and stick but also
make them safer and make their movement time less, hence reducing travelling time.
On average estimation of 1.4 million visually impaired children are below age 15
[5, 6]. When their life just starts, the fear of constant harm/problems begins as they
are not being aware about what is around and sense of curiosity is on peak that makes
them to explore more and get caught in something that they do not have to. Devices
that could tell them where to stop or has the whole control in hand could do as much
as knowing they can use all the house facilities just by tapping or being automatic,
having service in their own hand will reduce the chances of physical injuries by
80–90% as well giving the access to physical through network [7].
For every 100,000, required eye surgeon is less than 1, where the parents leave
the visually impaired child just after birth, where the roads rush and the home is
full of hazard chances of getting serious physical damage increases up to 89.65%.
Expenses of a normal impairment device is as high as getting the latest iPhone with
less features and complex understanding but where “VISIO” can be developed as
less as 200 (with less features) and as high as 2000 (with more features) [8].
People will be less interested if the facilities are less but price is more, but can
compromise for low features at extremely low price. “VISIO” takes only a minute
to be learned and will destroy the monopoly developed by the impairment device
maker [9].
Repairing and servicing are easy and not cost taking and cannot only be used by
visually impaired bit also for the care of infants, one who wants control of his house
in his hands or just for the safety measures can be used in hospitals, households,
industries, schools, etc.
3 Issues and Problems
Suppose a visually impaired person happens to be sitting inside a room without any
supervision of any person happens to feel uncomfortable from the inside temperature
of room and want to turn ON/OFF air-conditioner, or heater, or ceiling fan asking
for help but no one is available and visually impaired person starts searching for
remote by himself and fails to find it either he has to keep on suffering or he will try
to approach switches and can get a shock if the approach is false which could cause
serious health issues [10].
Commonly seen is with walking issues around the house being unaware about
what is in front of them or touching something unknowingly which requires a special
attention. Visually impaired person happens to touch a burning flame or a hot vessel
952 R. Singh et al.
in kitchen can cause high degree of burns or hitting themselves with an object around
them [11].
While walking on an unknown place like outside of house and not knowing what
is coming, hitting legs on stones, some person in front of them, manholes where a
stick fails to give the accurate information on time [12].
4 Proposed Solution
To cope up with the problems and to reform the society of visually impaired, this
is an initiative research idea. These will help people by becoming one of their own
body extensions.
A battery-powered Arduino with motion sensor, buzzer alarm and a small bulb
connected to the breadboard. This “VISIO” can be placed near the hazardous object
where a visually impaired person should not go as it can harm the person. Whenever
a motion is detected (Fig. 2) using motion sensor around the “VISIO” places near
object, the sensor sends the analog data using output pin (other two pins are 5 V
pin and ground pin) to the programmed Arduino battery-powered which analyse the
data and send the specific high or low voltage to the buzzer (12 V piezo buzzer,
with one pin for ground and other for 5 V) one as well as the light triggering them
to start, hence notifying the visually impaired as well as the other members of the
household that the place is unsafe for being approached, and the person will stop
there and a family member could easily take the visually impaired person away from
that specific object.
The condition of getting hit by the objects around the house or outside the house
while walking hence causing injury.
Ultrasonic sensor (5 V pin, ground pin and output pin) (distance varies from 2 to
450 cm) is used to measure the distance between the “VISIO” and the obstacle, and
this property can help the visually impaired to move around without getting hurt. A
Fig. 2 Hazard protection

Fig. 3 Walking system
breadboard with ultrasonic sensor grounded, powered and for receiving information
through jumper wires connected to Arduino ground, 5 V and one of the pin (Fig. 3).
The Arduino is then connected directly to mobile phone power jack which provides
power to the Arduino as well receives and decode and converts analog data from
text-2-speech into centimetres [13]. The voice is then transferred from 3.5 mm jack
through headphones giving the visually impaired person update about the obstacles
distance from them in their path [14]. This “VISIO” could either be fitted on the
stick or placed inside one of their shoes through which they can travel fast and more
efficiently and can avoid any harm-causing objects that could even lead to serious
health issues [15].
The condition of temperature controls inside the room to control and turn ON and
OFF.
As shown in Fig. 4, near-field communication (NFC) wrist bands or necklaces are
used here and work as a portably available switch for the visually impaired people
as whenever a smartphone is tapped upon an electrically information caring NFC, it
will command the Ethernet shield over WiFi using an android application running
in the background which further more send the list of commands to the Arduino,
and hence, Arduino activates the whole system of “VISIO”. A temperature sensor
attached on a breadboard on Ethernet shield constantly updated the Arduino about
the temperature of the room [16]. In summers if the temperature of the room is
more than the desired, then the Arduino analyses the temperature analog reading
and using it to send the specific high and low voltage to the relay (it has one pin
for 5 V, one for ground while the others are input pins connected to Arduino), if
high voltage is received (i.e.—temperature is more than the desired), it turns ON
the switch connected to the AC, and for low voltage (i.e.—temperature is less then
desired), it will turn ON the fan and hence turn OFF the AC, and in winters replacing
the switch that of an AC with a heater. Let us assume we set an ideal temperature at
27 °C and max temperature as 31 °C [°C = (0.5 V) * 100] if the temperature sensed
954 R. Singh et al.
Fig. 4 Automation
by the sensor is less than 27 °C, then heater switch connected to relay will supply
voltage turning ON the heater connected relay and eventually turning ON the heater
but just as the temperature rises more than 27 °C, the power source of relay connected
to heater will send (0) and hence turning OFF the heater and relay connected to the
fan will send a (5), resulting in a upper voltage/peak and turning the fan ON but when
the temperature further rises more than the high temperature, i.e. −31 °C, this will
send a (0) to fan relay and turning it OFF and (5) to the relay for the air-conditioner,
resulting in turning ON the air-conditioner [17, 10] (Fig. 5).
5 Experimental Setup
For experimental purposes as shown in Fig. 6a, b and c shows the setup of three
different ultrasonic sensors.
• Front sensor for monitoring the distance of object from the user in the front
direction
• Left sensor for monitoring the distance of object from the user in the left direction
Wiredheadphoneinears
Wired connecƟon between sensor, mart phone and

microcontroller
Mobile ApplicaƟon for Text -2- Speech
Sensors on foots
Fig. 5 Components with description
• Right sensor for monitoring the distance of object from the user in the right
direction.
Figure 6a shows the 3 ultrasonic sensors that send the data to the Arduino over the
digital I/O pins 2, 3 for the left sensor, digital I/O pins 4, 5 for the front sensor, digital
I/O pins 7, 8 for the right sensor. Along with this, a buzzer is connected that makes
noise as soon as the distance is less than the user-defined distance, i.e., for example,
buzzer will make noise if the distance is less than 20 cm as shown in Fig. 6c, along
with this an LED is connected that can be used to notify the surrounding people along
with the noise and can allow people to know that the user is of the device requires
help or if the item detected by the ultrasonic sensor is a person, then that person can
help the visually impaired person.
This Arduino further connected to an Android smartphone via OTG cable as
shown in Fig. 6b, that is, running a custom-built application that has to plug-and-
play feature. The application will automatically turn on as soon as the device is
connected to the Android smartphone via OTG. This application will use its serial
monitor to collect the data received by the Arduino through its I/O digital pins via
OTG.
Based on the collected data, the smartphone will notify its user with the distance
using text to speech, i.e.
956 R. Singh et al.
Fig. 6 a Front, right and left

ultrasonic sensors. b Android
mobile phone connectivity
via OTG. c Buzzer, led and
connectivity to the Arduino
• If the object is detected by the ultrasonic sensors in the left direction, then Arduino
will notify the smartphone running android application, and further, the applica-
tion will speak the distance out between the user and the object only in the left
ear. By this, the user gets to know that the object is in the left direction.
• If the object is detected by the ultrasonic sensors in the right direction, then
Arduino will notify the smartphone running android application, and further, the
application will speak the distance out between the user and the object only in the
right ear. By this, the user gets to know that the object is in the right direction.
• If the object is detected by the ultrasonic sensors in the front direction then Arduino
will notify the smartphone running android application, and further, the applica-
tion will speak the distance out between the user and the object only in both the
ear. By this, the user gets to know that the object is in the front direction.
This distance is accurate as it works on the principle of sonar, i.e. reflection of
ultrasonic waves. Ultrasonic sensors emit the ultrasonic sound, that is, inaudible to
humans. This ultrasonic sound is released by the transmitting end, and when this
sound strikes with any object, it bounces back and received by the receiving end of
the ultrasonic sensor. The time between the transmission and receiving is calculated
that is used to determine the distance between the user and the object as shown in
Fig. 7.
A detailed circuit diagram is shown in Fig. 8. Figure 9 shows the schematics for
the circuit while Fig. 10 shows the proposed PCB design for the device that can help
in miniaturizing the design and hence make it more compact and mobile.
Arduino Uno is used as the brain of the research and I/O digital pin number 2,
5 and 8 are used as the echo pin for the ultrasonic sensors. Whereas I/O digital pin
number 3, 4 and 7 are used as the trigger pin for the ultrasonic sensors. Ground and
V cc (i.e. 0 V and 5 V) are shown as black and red wire in the circuit diagram.
A buzzer is connected to the orange wire (i.e. I/O digital pin number 6), and
LED is connected to the light blue wire (i.e. I/O digital pin number 10). Similar to
ultrasonic sensors ground (i.e. 0 V) is shown as black but here for V cc (i.e. input
voltage) pins are used.
Fig. 7 Working principal of ultrasonic sensor [18]

958 R. Singh et al.
Fig. 8 Circuit diagram
Fig. 9 Schematic diagram

Fig. 10 PCB diagram
6 Results
Based on the proposed solution and experimental setup, the following results are
achieved. Figure 11 shows the collected data from the Arduino board over the serial
terminal. It makes use of the 9600 baud rate, and data values were noted in the
mathematical form separated by the tab.
Fig. 11 Serial terminal output from Arduino board

960 R. Singh et al.
Fig. 12 Serial plotter output from Arduino board
First, the column is consisting of left sensor values, the 2nd column is consisting
of front sensor values, and the 3rd column is consisting of right sensor values.
All the received data is of float type, and distance that is measured by the sensors
is received in cm distance, hence can easily be understood.
The serial data is stored in TSV format (i.e. tab separated values). The generated
data file can be seen in Fig. 13. As the received serial data had 3 columns so the
output TSV has similar columns (i.e. left sensor value, front sensor value, and right
sensor value).
Further, the graph is plotted using serial plotter. The x-axis shows the time in
milliseconds, and y-axis shows the distance between the sensor and the object. In
Fig. 12, the blue line shows the variation of distance detected by the front sensor,
whereas the green line shows the variation of distance detected by the left sensor,
and the red line shows the variation of distance detected by the right sensor.
A graph is plotted that gives a clear understanding with the help of visualization
about how the distance between the object and the user varies over time and that can
be used to interpret the working of the device with the android device. This data can
be used and stored in data-based, and a plot can be shown in Fig. 14 with the GPS
location on the map that will help us in understanding what all places are safe and
unsafe for the person, it can help to determine the approximate time of arrival and
can greatly help with the movement speed of the visually impaired and hence make
their travelling in public places much safer.
In Fig. 15, we have tracked persons walking speed. The speed of person is
measured on the basis of steps taken by a person per minute. Red spots signify
that person is walking less than 10 steps per minute, yellow spots signify normal
walking speed of a person, i.e. more than 10 steps but lesser than 60 steps and green
spot denotes more than 60 steps being taken by an individual.
Fig. 13 Output generated
7 Advantages
See Table 1.
8 Conclusion
With this “VISIO”, we cannot only reduce the injuries suffered by visually impaired,
but also can give them the hope that people do think about them and soon make
their life full of colours. Being not expensive at all, almost everyone could use it.
An expense of an injury treatment cause will cost more than the VISIO, so why
not prevent before its coming as the wise says prevention is better than cure. Along
with being saving life it can also help in cost-cutting by reducing the electricity
962 R. Singh et al.
Fig. 14 GPS location tracking with android device
Fig. 15 Speed of person in

terms of longitude and
latitude
consumption, as well an efficient way of saving time and making an individual-

independent.“VISIO” can be used in blinds home where the number of servicemen
is less, service charges are too high or men are just too careless. Hence, we can easily
conclude that “VISIO” will be proven to be helpful directly and indirectly to the
human race.
Table 1 Comparison of current technology with VISIO

Parameters Current technology VISIO
Availability Availability of the technology is Can be provided even at local
near to rare shops
Price Relatively very high in price Being ranging from 200–2000
resulting in not being for in the results in being fit in everybody
budget of the people expenses
Features Less features, usually working Using modern technology and
on ancient designs giving more features at
relatively very fewer prices
Designs Have design of retro stick, Can be given customized
Ex-vibrating stick, vibrates on design, can be fitted in shoes or
irregular surface any likings
Mobility and independence Mobility does not increase as Increasing the moving speed,
much hence the independence hence increasing the Individual
independence
References
1. Mala NS, Thushara SS, Subbiah S (2017) Navigation gadget for visually impaired based on
IoT. In: 2017 2nd international conference on computing and communications technologies
(ICCCT), Chennai, pp 334–338. https://doi.org/10.1109/iccct2.2017.7972298
2. https://www.arduino.cc/en/Reference/Libraries
3. https://hopegivers.org/hopevision/
4. https://www.arduino.cc/en/Reference/Board
5. http://www.allcountries.org/health/magnitude_and_causes_of_visual_impairment.html
6. Gupta N et al (2012) Educational computing for the blind in India: design, development and
learning impact. In: 2012 IEEE fourth international conference on technology for education,
Hyderabad, pp 168–171. https://doi.org/10.1109/t4e.2012.41
7. http://www.ndtv.com/india-news/helpline-launched-for-visually-impaired-in-india-1257449
8. Chhikara P et al (2014) Towards open flow based software defined networks. In: 2014 IEEE
international conference on computational intelligence and computing research (ICCIC), IEEE
9. Tanwar R et al (2016) Railway reservation verification by aadhar card. Procedia Comput Sci
85:970–975
10. Lal D et al (2016) Advanced immediate crime reporting to police in India. Procedia Comput
Sci 85:543–549
11. Multhalli S et al (2016) Centralized vulnerability database for organization specific automated
vulnerabilities discovery and supervision. In: International conference on research advances in
integrated navigation systems (RAINS), IEEE
12. Chaudhary L et al (2016) Business modeling using agile. In: Information systems design
and intelligent applications: proceedings of third international conference India 2016, vol 1.
Springer, Berlin
13. Sharma A et al (2013) An efficient way of articulation or suppression in agile methodologies.
In: Confluence 2013: the next generation information technology summit (4th international
conference), IET
14. Gupta S et al An analysis on security concerns in cloud computing
15. Chaudhary L et al (2016) Systematic evaluation of seed germination models: a comparative
analysis. In: Information systems design and intelligent applications. Springer, Berlin, India,
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16. Jain R et al (2015) Expert system for the management of insect-pests in pulse crops. In: 2015
2nd international conference on computing for sustainable global development (INDIACom),
IEEE
17. Schwartz M Arduino home automation projects. Print
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blind-population/articleshow/2447603.cms
A Retrospective Investigation
of Mechanical and Physical Properties
of ABS Specimen Developed by Manual
Injection Moulding and Fused Deposition
Modelling
Md Qamar Tanveer, Mohd Suhaib, and Abid Haleem
Abstract Fused depositions modelling (FDM) has been developed over three
decades from now and still has much scope for new improvements. The mechanical
and physical properties of the product prepared by this technique depend on different
processing parameters. This paper focuses on the effect of two diverse manufacturing
processes on the mechanical behaviour of acrylonitrile butadiene styrene (ABS) spec-
imen. In the first case, the specimen manufactured by the conventional manufacturing
process, i.e. hand moulding technique, and in the second case, the specimen printed
by additive manufacturing process with different raster angles. The tensile test of
all the specimens has been carried out on the computerised tensometer instrument.
Results demonstrate that the fused deposition method technique has the edge over the
moulding technique. The tensile properties further enhanced by altering the raster
angle within the stipulated range. The moulded specimen shows more resistance
to breaking load, whereas the 3D printed specimen has a better peak load value.
Maximum tensile strength obtained at ±45° raster angle and 90° offered the least
resistance. Experiments established that the dimensional shrinkage in the 3D printed
specimen is found 2% more than the moulded specimen.
Keywords 3D printing · FDM · Tensile properties · Hand moulding · ABS
1 Introduction
The invention of additive manufacturing (AM) opens the prospects of step-by-step

advancement in rapid prototyping (RPT). AM saves the resources by minimising the
waste material and the time required for tool design. Along with the development
of subsets of AM techniques, there is enormous scope for improvement in manu-
facturing process parameters [1–3]. Replacing conventional manufacturing methods
M. Q. Tanveer (B) · M. Suhaib · A. Haleem

Islamia, New Delhi 110025, India
e-mail: mohdqamar26@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_85
966 M. Q. Tanveer et al.
in product development with advanced version will be an accomplishment of RP

techniques. This transferal can fulfil by lowering the cost of manufacturing as well
as the raw material consumed in RPT.
Fused deposition modelling (FDM) (see Fig. 1) is an additive manufacturing
process that constructs a 3D object layer by layer and is a low-cost technique
compared to other RPT techniques regarding set-up. The versatility of raw materials
(thermoplastic resin, cement, even ceramics) gives an edge over other RP techniques.
The selection of material depends on the desired properties for an application [4, 5].
Nowadays, many environmental-friendly materials are available having different
mechanical properties like soft, hard or flexible and so forth. Out of available mate-
rials, polymers highly used due to easy availability and low costing. Polymers such as
polylactic acid (PLA), high-density polyethylene (HDPE) and acrylonitrile butadiene
styrene (ABS) are which readily used in FDM. ABS is among the five most-used
industrial polymers. It is a copolymer of the three monomers, which is acrylonitrile,
butadiene and styrene [6]. ABS is a thermoplastic resin generally used for injec-
tion moulding techniques. Due to affordability, ease of processability and moderate
mechanical strength, ABS is extensively used in the extruded filament form as one
of the raw material in FDM.
Manual injection moulding is one of the commonly used manufacturing processes
for the production of components made from polymers. Manual injection moulding
is very cost-effective when the quantity is of the smaller amount as used in the
present study. The properties of the polymer are significantly affected by the working
conditions mainly melting temperature of polymer granules and pressure to form the
final shape. The mechanical properties of the polymer are time-dependent [7]. The
mentioned factors also result in shrinkage, which leads to alterations in dimension and
part quality [8, 9]. However, the problem exists when the process becomes extensive
and costlier.
In the conventional process, firstly a CAD model is developed using any 3D
modelling software. Further, the dimensional data used for manufacturing of mould
which consists of many mounting like the runner, gate, and sprue and likewise.
Finally, the finished product can produce by using a conventional manufacturing
Fig. 1 Layout diagram of

FDM process
A Retrospective Investigation of Mechanical … 967
method. In FDM, the intermediate processes like creating a mould to convert the
CAD model into finished form eliminated. Ziemian et al. [10] discussed the factor
involved during the conversion of the CAD 3D model [11–13] and printed through
the FDM 3D Printer. As discussed above, the properties of ABS mainly depend upon
the melting temperature and holding pressure of granules in a mould. Whereas the
strength of component manufactured by FDM, mostly depend on five factors such
as layer thickness (LT), part build orientation (PBO), raster angle (RA), raster width
(RW) and raster gap (RG) [14–16]. The researchers proposed that the alteration of
process parameters has a significant effect on the mechanical properties of FDM
components. The residual stresses reduce the strength of the 3D printed product.
It also observed that the increase in the number of layers results in the reduction
of strength. The mechanical strength increases with the positive change in raster
angle and increase of layer thickness [17]. The effect of the raster angle parallel to
the axis of application of the tensile force has the highest strength value [18, 19].
The build orientation and infill density in the workspace also affect the properties
of components [20, 21]. Ahn et al. [22] found that the effect on the tensile strength
of an FDM part is mainly due to the air gap and raster orientation. Model build
temperature, colour and bead width have a slight effect on mechanical behaviour.
Previously, authors have found the properties of polymers manufactured by one
particular manufacturing technique, respectively. Comparative study of mechanical
properties of the moulded and 3D printed specimens is barely found. There is a scope
to compare the properties of ABS manufacture by conventional and additive manu-
facturing. The present work compares the density, tensile strength and dimensional
accuracy of ABS specimen developed by manual injection moulding and the FDM 3D
printing. The FDM specimens are developed with different raster angles (see Fig. 2).
The present study also examines the effect of the raster angle on above-mentioned
mechanical properties.
Fig. 2 Raster angle arrangements for FDM specimens

Table 1 Physical and

Physical properties Nominal value
mechanical properties of ABS
at (23 °C) Density 1.04–1.11 g/cm3
Melt mass-flow rate (MFR) 0.49–36 g/10 min
(220°C/10.0 kg)
Moulding shrinkage 0.48–0.71%
Mechanical properties Nominal value (MPa)
Tensile modulus 1730.58–2757.90
Tensile yield strength 35.85–63.50
Tensile break strength 28.88–41.92
Tensile elongation yield 1.8–3.6%
Tensile elongation break 4.6–27%
Flexural modulus 1861.58–2861.32
Flexural yield strength 53.98–86.18
Flexural break strength 53.91–73.08
2 Experimental Study
In the experiment work, a set of 25 specimens have been made by manual injection
moulding and 25 specimens by FDM with 5 specimens of each raster angle, respec-
tively. For tensile test, 20 specimens of manual injection and 4 specimens of each
raster angle have been used. The material selection, sample preparation and testing
of the specimen discuss in subsequent section as follows.
2.1 Materials Selection
The experimental specimens for manual injection moulding and FDM are manufac-
tured using ABS. Virgin ABS granules, as well as ABS filament, are purchased from
the company Revo Impex. The filament diameter is 1.75 mm. The standard physical
and mechanical properties of ABS are shown in Table 1 [23]. The process parameters
for 3D printing of ABS specimen are shown in Table 2. Parameters for 3D printer
for ABS.
2.2 Sample Preparation
The flat-shaped ABS tensile specimens as shown in Fig. 3 as per DIN EN ISO 527-2
is 3D modelled using Pro-Engineer Wildfire 4.0. Manual injection mould is designed
on the same software platform using injection mould assembly are shown in Fig. 4a,
b, respectively. Figure 5 shows the actual ABS specimen manufactured by moulding.
Table 2 Parameters for 3D

Parameters Values
printer for ABS
Nozzle temperature 220 °C
Bed temperature 60 °C
Nozzle diameter 0.3 mm
Layer thickness 0.2 mm
Print speed 40 mm/s
Infill structure Line
Infill density 100%
Raster angle 0°, 30°, ±45°, 60° and 90°
Fig. 3 Dimensional drawing of specimen
Fig. 4 Hand mould, a computational model, b actual model
FDM 3D printer (see Fig. 6) developed by assembling an open-source 3D printer,

Prusa Iteration 3. The workspace for the 3D printer is 200 × 200 × 200 mm. The
hardware integrated with open-source firmware called Repetier. The parameters of
the 3D printer used for manufacturing of the specimens mentioned in Table 2. Figure 7
shows the tensile specimens with different raster angles (0, 30, ±45, 60 and 90°).
Fig. 5 Moulded specimens, a before experiment, b after experiment
Fig. 6 FDM 3D printer
2.3 Testing
Banbros Profile Projector JBT-12AZ with linear least count of 0.001 mm and angular
least count of 1 s has been used to check the dimensional accuracy of all the spec-
imens. Computerised tensometer KIPL PC 2000 9 used to conduct the tensile test.
Fig. 7 FDM specimens, a before experiment, b after experiment
The apparatus has a range of load cell varying from 0.2 to 20 KN with a least
count of 0.5% of the load cell and an accuracy of 1%. The apparatus is available in
the Department of Mechanical Engineering, Jamia Millia Islamia. Scanning electron
microscope (SEM) images of the gold-plated fractured specimen surface are obtained
by Zeiss Sigma version 5.05, at the Centre for Nanoscience and Nanotechnology,
Jamia Millia Islamia.
Initially, it has been observed by visual inspection that the surface finish of the
moulded specimen is better than the 3D printed specimen. The density of the moulded
specimen is comparatively better due to the injection pressure and the holding pres-
sure during moulding. Three parameters are taken into consideration to depict dimen-
sional accuracy, which are the length, width and breadth of the specimens. The
measurement of the specimen is shown in Table 3. Dimensional accuracy of the
manual injection moulded specimen has found within the acceptable limit with a
variation of ±2%. This observation is due to the compaction during solidification of
the molten material. Whereas in FDM 3D printed part, the deviation of the dimen-
sion found ±4%. Hart et al. [24] also verified the visual and dimensional analyses
of FDM builds using SEM. The shrinkage of the specimen found in the direction
parallel to raster angle. Due to the axial shrinkage, warping along the axis of the
specimen has been found. Positive deviation in the dimension observed in the direc-
tion perpendicular to the raster angle. This deviation is due to the fibre deformation
and flattening.
The lateral deformation of the previously printed layer takes place due to a load of
the adjacent top layer. The lateral deformation is minimal since the outer perimeter
972
Table 3 Dimensional details of the specimens

Type Mould Raster 0° Raster 30° Raster 45° Raster 60° Raster 90°
Head L × W × B (mm) L × W × B (mm) L × W × B (mm) L × W × B (mm) L × W × B (mm) L × W × B (mm)
Nominal 80 × 2 × 10 80 × 2 × 10 80 × 2 × 10 80 × 2 × 10 80 × 2 × 10 80 × 2 × 10
Specimen 1 80.15 × 2.10 × 77.24 × 2.24 × 79.56 × 2.11 × 77.95 × 1.95 × 76.25 × 2.22 × 9.63 80.52 × 2.01 × 8.98
10.05 10.25 10.12 9.59
Specimen 2 80.12 × 2.15 × 77.15 × 2.22 × 82.13 × 2.21 × 78.60 × 2.24 × 77.56 × 2.34 × 9.75 80.45 × 1.94 × 8.92
10.15 10.12 10.08 10.05
Specimen 3 80.10 × 1.95 × 78.97 × 2.12 × 80.21 × 2.24 × 77.25 × 2.21 × 78.87 × 2.21 × 9.59 81.12 × 1.85 × 9.24
9.95 9.95 10.14 9.53
Specimen 4 79.85 × 1.86 × 78.13 × 2.18 × 79.14 × 2.19 × 78.92 × 1.96 × 77.85 × 2.16 × 9.98 81.24 × 2.24 × 8.87
9.97 10.05 9.67 10.45
Specimen 5 80.05 × 2.15 × 76.24 × 2.17 × 81.24 × 2.10 × 77.97 × 2.24 × 78.34 × 2.38 × 9.62 81.10 × 2.12 × 9.28
9.94 10.24 9.57 10.84
Average 80.05 × 2.04 × 77.55 × 2.19 × 80.46 × 2.17 × 78.14 × 2.12 × 77.77 × 2.26 × 9.71 80.89 × 2.03 × 9.06
10.01 10.12 9.92 10.09
Percentage change 0.07 × 2.10 × 0.12 −3.07 × 9.30 × 0.57 × 8.50 × −2.33 × 6.00 × −2.78 × 13.10 × 1.11 × 1.63 × -9.42
1.22 -0.84 0.92 -2.86
Average of volumetric 0.76 2.48 2.74 1.53 2.49 −2.23
change
M. Q. Tanveer et al.
first printed before the extruder fills the infill. The pattern of variation in dimen-
sional accuracy found similar in moulded specimen, whereas a varying pattern of
dimensional accuracy observed in FDM 3D printed specimen.
Figure 9 shows the comparative result between the breaking load and peak load.
The moulded specimen has the highest breaking load (333.42 N) due to the higher
density of the material. Ziemian et al. [25] also report the impact of raster angle
on the tensile properties of the FDM specimen. The 90° raster angle specimen has
the least breaking load (274 N). Figure 8c shows the end-to-end binding cylindrical
profile which contributes to the least bonding between the fibres. By comparing the
results of breaking load and peak load of FDM specimens, it has found that the ±45°
raster angle specimen has the maximum breaking load and the maximum peak loads
are 313 N and 358 N, respectively. The tensile strength of specimen having ±45°
raster angle has the highest load which support the finding of this work. Figure 9
shows that the moulded specimen has a higher breaking load (333 N) as compared
to ±45° raster angle specimen. This higher load is due to the higher density of the
moulded specimen than the 3D printed specimen while the peak load value of ±45°
raster angle is found higher than the moulded specimen. This phenomenon is due to
the inter-crosslinking of the fibres forming a mesh-like structure which increases the
tensile property. Rodriguez et al. [26] also discussed the ABS fibre-to-fibre interface
strength.
Figure 10 indicates the breaking and peak percentage elongation of the tensile
specimen. It has found that the moulded specimen has a range of approximately 2%
between the break and peak value for the moulded specimen which shows that brittle
fracture has occurred in the moulded specimen. The least elongation of 1% found in
90° raster angle specimen. The remaining raster angles (0, 30, ±45 and 60°) have
a range of 10–12% elongation. The positive increment from the axial direction to
the transverse direction in the raster angle decreases the elongation percentage. The
maximum breaking and peak percentage elongation found in ±45° raster angle. The
criss-cross fibres offer sandwich-like structure in diagonally alternating directions
which contribute to greater elongation percentage.
From Fig. 11, it is found that the moulded specimen has the engineering stress (ES)
(33.3 N/mm2 ) and the true stress (TS) (36 N/mm2 ). The manufacturing technique has
been the significant factor. The injection pressure of molten material into the mould
increases the density. During solidification, the holding time of specimen in mould
gives sufficient duration for binding between the grains. The ES and TS are better
in the moulded specimen as compared to 60° and 90° raster angles FDM 3D printed
specimens. The primary element for the lowest stress of 90° raster angle is the side-to-
side binding between the fibres. The perpendicular line of contact surface between the
fibres acts as a stress concentrator. The partial fibres contact and the in-between voids
perpendicular to the application of the tensile force results in the least resistance. The
±45° raster angle specimen has the maximum engineering (33.9 N/mm2 ) and the
true stress value (38.25 N/mm2 ). The fibre acts like an inter-cross linkage supporting
the adjacent layers. Both the adjacent layers are perpendicular to the intermediate
layer, by which inter-raster binding contributes to positive behaviour [26]. The 0°
raster angle also exhibits a significant value of engineering stress (33.3 N/mm2 ) and
Fig. 8 SEM image of fracture specimen, a mould, b 0° raster angle, c 30° raster angle and d 90°
raster angle
375 
Break Load

Peak Load
350
L o a d (N)
  
  
  
325   
  
  
  
   
   
     
   
 
   
   
   
300 



 
    
    
   
    
    
   
275 









  

     
     
  

 
 

  
250      
Mould FDM 0° FDM 30° FDM 45° FDM 60° FDM 90°
Specimens
Fig. 9 Comparison of break load and peak load

Percentage Displacement 16% 

Peak Displacement

Break Displacement
  
12%  
  
 



   
   
   
      
     
   
    
   


  
8% 
  
 
  
 
  
 
  

  
 

  
  

 
  

  
 
   

  
   

    


  
    


  
     
     
4% 

    
    

     
     
     
     
0% 

  


Mould FDM 0° FDM 30° FDM 45° FDM 60° FDM 90°
Specimens
Fig. 10 Comparison of break percentage elongation and peak percentage elongation
Fig. 11 Comparison of engineering tensile strength and true tensile strength
true stress (38.2 N/mm2 ). This exhibition of these values is along the line of fibre
orientation to the application which behaves like composites or fibrous structure. The
individual fibre resists the applied force and contributes to the strengthening of the
complete structure.
The typical stress–strain curves of the ABS specimen made by different technique
and with different raster angle shown in Fig. 12. The three regions could be approx-
imately defined. A linear relationship between stress and strain signified in the first
section in all the specimens. All the ABS specimens in the first section display a linear
relationship between stress and strain. For a short span of time, the curves before
reaching the maximum strength in the second section exhibit a nonlinear pattern. The
curve depicts the difference in slope between the moulded specimen and 3D printed.
In the third section after reaching maximum strength, curves represent a decreasing
trend. The moulded specimen exhibits sudden brittle fracture, whereas 90° specimen
shows a greater extension in length before brittle fracture. The curve with raster
Fig. 12 Tensile stress–strain curves for different ABS specimens
angle 45° specimen display shows maximum elongation followed by raster angle 0°
specimen before brittle fracture.
4 Conclusion
The present study determines that the tensile property of ABS material significantly
change due to the manufacturing process. In the case of moulding processes, the
ABS grains compactly solidified due to which higher breaking strength is achieved.
The inter-bonding between the grains is due to the compressive force exerted by
the injection pressure. When the breaking load achieved, the solid grain structure
exhibits brittle failure.
A laminated structure formation is obtained in the 3D printed specimen. The
cross-sectional structure could further be categorised into layers of ABS fibres. This
layer-type composite enhances the tensile properties which result in ductile fracture.
The raster angles also have the substantial effect on the mechanical behaviour of
3D printed specimen. The maximum strength obtained when the fibres arranged in
the form of criss-cross inter-linking in the case of ±45° raster angle specimen. The
tensile strength reduced when the raster angle increased to 60°. When the fibres
oriented in the perpendicular direction, it gives the least break and peak load. When
the fibres arranged along the line of applied, the rupture occurs within the indi-
vidual fibres axially, resulting increase in tensile strength. However, when the fibres
arranged perpendicular to the line of application of tensile force, the discontinuity

occurs between side-to-side contacts, resulting lower tensile strength. When the fibres
diagonally arranged, firstly the breakage between the side-to-side contacts occurs
followed by the end-to-end rupture which increases the tensile strength of the spec-
imen. The conclusion did by comparing the results that the breaking load-bearing
capacity is better in moulding technique as compared to 3D printing. Further, it has
observed that the 3D printed specimens are superior to moulding when the results
compared regarding percentage elongation.
The scope of future work is that the two techniques can be compared by consid-
ering more process parameters of a 3D printer like infill density and raster gap.
The use of a standard 3D printer can be considered for the comparative study with
moulding process. The base material can be varied considering workability within
manual injection moulding and FDM.
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Austin TX, pp 335–342
Effect of Magnetic Pole Orientation
on Viscoelastic Magnetic Abrasive
Finishing Process
K. Srinivas, Q. Murtaza, and A. K. Aggarwal
Abstract The advancement of material technology has created a need for new
methods and technology which can provide a better Machining and finishing process.
Viscoelastic magnetic Abrasive Finishing is a new method which has evolved from
traditional MAF process where there is a use of abrasive-Ferromagnetic laden media
which provide an effective machining option. In this process, Ferromagnetic parti-
cles, along with abrasive particles in presence of viscoelastic medium provide better
surface finish as viscoelastic medium increases the bonding of ferromagnetic parti-
cles with abrasive particles. In the present paper Ansys Maxwell 16.0 is used to
obtain the distribution of magnetic field on the workpiece through which the effect
on machined surface can be predicted. The pattern is obtained using combination of 6
magnetic poles taken 2, 3 and 6 at a time by arranging them at different angles. After
observing the pattern, it was found that the most effective machining would be done
by taking 6 poles, surrounding the workpiece as it would cover the entire surface of
the workpiece and the combination of 3 magnet at an angle of 60° is effective when
3 poles are taken at a time.
Keywords MAF · Viscoelastic magnetic abrasive finishing · Magnetic field
1 Introduction
Magnetic Abrasive Finishing has opened new horizons in the field of machining and
finishing technology specifically for the magnetic materials. The process finds its
application in various micro and nano finishing applications, where there is a use
of magnetic materials and thus it is a key area of continuous research and develop-
ment. Many Researchers worked on magnetic abrasive finishing and on their appli-
cations like Yan et al. [1] performed the experiment on Magnetic abrasive finishing
based on a simulated model made by FEM model of electromagnetic inductor. He
then compared the simulated model with the actual electromagnetic inductor and
K. Srinivas (B) · Q. Murtaza · A. K. Aggarwal

Delhi Technological University, Delhi, New Delhi, India
e-mail: srinivaskrovvidi@dtu.ac.in

https://doi.org/10.1007/978-981-15-5463-6_86
980 K. Srinivas et al.
predicted a marginal error of only 7%. On the other hand Kang et al. [2] suggested
method for internal finishing of capillary tube by magnetic abrasive finishing with the
help of a multiple pole-tip system, which was matter of concern, also they discussed
the finishing characteristics of the tool with well-defined mechanism and the effect
of tool’s magnetic properties on abrasives motion. Jain [3] explains various Micro
Nano Machining techniques and also proposed the generalised mechanism for the
material removal in these processes, he also explained the requirement of slots in the
magnet used in the Magnetic Abrasive Finishing and the type of power supply used in
the process. Kala et al. [4] Explained Forced Magnetic Abrasive Brush behaviour for
double disc Magnetic Abrasive Finishing based on force signature. Rathod et al. [5]
analysed the effect of shape factor in Magnetic Abrasive Finishing and in slurry abra-
sion testing process. He explained the effect of shape of abrasive during the fracture
and fragmentation of the abrasive, while machining and finishing process. Li et al.
[6] developed a finishing setup having new media for finishing the rotatory surfaces,
ANSYS Maxwell was used to determine the optimum angle between the poles and the
mathematical model was made to compute the metal removal rate (MRR) in which
pressure and velocity based on arced wear model. The MRR computational model
was made which predicted MRR as a function of pole rotational speed, Magnetic flux
density, Cam rotational speed and the ferromagnetic and abrasive particles’ diameter.
Li et al. [7] proposed a new viscoelastic Magnetic Abrasive finishing based on the
analysis of field characteristics and existing finishing process. They also discussed
the motion locus of the abrasives. In the present scenario, abrasive flow finishing,
grinding, abrasive brush deburring, magnetorheological finishing, manual deburring
etc. are broad names in term of finishing but still they possess some limitations
in finishing quality and efficiency. Srinivas et al. [8] studied the distribution of the
magnetic field intensity along with the computation of torque and force and related
flow parameters of Viscoelastic magnetic Abrasive finishing process with magnetic
field intensity.
2 Modelling and Analysis
The aim of the paper is to explore the appropriate arrangement of magnetic poles to
obtain the maximum flux density for obtaining optimum finishing of the workpiece
using Viscoelastic Magnetic Abrasive finishing process. For this a setup is proposed,
which contains a hollow workpiece whose internal surface is to be machined by the
viscoelastic fluid which is made to reciprocate inside the workpiece by providing
the pressure difference in presence of magnetic field produced by providing the
current in the copper coils, which are acting like the magnetic poles. The resultant
combination of the force due to magnetic field and the force due to Pressure variation
would produce an effective machining. The viscoelastic media so produced consist of
Ferromagnetic particles around which 4 abrasive particles are aligned due to volume
their ratio, which is 1:4 by volume. Alumina is the material of abrasive particle and
the ferromagnetic particle is iron powder, which is commercially known as Carbonyl
Effect of Magnetic Pole Orientation on Viscoelastic … 981
Iron Powder. The workpiece material aluminium and the magnetic poles are made
of copper. CREO 3.0 is used for making the initial model, which is later imported
to Ansys Maxwell for analysis. The Shape of the mesh element is Hexagonal and
the size of each elements is 3 × 103 . After several trials it is concluded that the
result obtained is independent of the mesh size. The material used for analysis has
the following properties (Table 1).
Different models are made in which firstly, two poles are arranged at an angle of 60,
90, 120 and 180°. Secondly model with 3 poles kept at 120° angle is also analysed
to check the reach of the magnetic field on to the surface. Figure 1 describes the
simulation setup for the condition when 6 magnet (poles) are kept surrounding the
workpiece, placed at an angle of 60°. A similar model is made for the combination
of 2 and 3 poles respectively. This can be seen in the result section of the paper
and after comparing all the model’s conclusions are made, which are discussed in
conclusions.
The design of magnet is made on CREO 3.0 which is of hollow rectangular copper
block which is illustrated in Fig. 2. The magnet so chosen, follows the faraday’s law
of electromagnetic induction, it produces a magnetic field around the magnet, when
the current is passed through it. Using Boolean operation on the Maxwell 16 software,
a surface is created and a current of 100 A is allowed in the clockwise direction on
each surface of the magnet which results in the directional magnetic field towards
the workpiece thus attracting more fluid particle towards the workpiece, which aids
in effective machining with combination of applied pressure and magnetic field.
The first model shown in Fig. 3 is made when the two magnets are arranged at an
angle of 60° with each other. In this model on applying the clockwise current of
100 A on the surface (made by Boolean operation) of each magnet, a pattern is
produced with maximum magnetic field intensity of 3.91 × 10−2 T. Figure 3 Shows
the distribution of magnetic field when the arrangement of poles is 60° with each
other.
The second model shown in Fig. 4 is made when the two magnets are arranged
at an angle of 90° with each other. In this model on applying the clockwise current
of 100 A on the surface (made by Boolean operation) of each magnet a pattern is
produced with maximum magnetic field intensity of 3.99 × 10−4 T. Figure 4 Shows
the distribution of magnetic field, when the arrangement of poles is 90° with each
other. It can be observed that the value of the maximum magnetic field produced
varies with the change in the angle between the poles, as it was 3.91 × 10−2 when
the angle between the two poles is 60° and it becomes 3.99 × 10−4 when the angle
become 90°.
982
Table 1 Properties of material used in simulation

Material Type Density (kg/m3 ) Viscosity (kg/m s) Thermal conductivity (w/m k) specific heat (j/kg k) Relative permeability
Viscous Fluid Fluid 1219 0.789 0.22 20.25 1.00000004
Aluminium Solid 2719 202.4 871 1.000021
Iron Particle Solid 16.27 502.48 4000
Alumina abrasives Solid 3950 12 451 1
Copper magnet solid 8960 386 376.812 0.99
K. Srinivas et al.
Copper
magnet
workpiece
Fig. 1 Experimental setup showing magnetic poles around the workpiece
Fig. 2 Dimensions and Solid model of magnetic pole used in simulation
The third model is made when the two magnets are arranged at an angle of 120°
with each other. In this model on applying the cyclic current of 100 A on the surface
(made by Boolean operation) of each magnet a pattern is produced with maximum
magnetic field intensity of 4.00 × 10−2 T. Figure 5 shows the distribution of magnetic
field, when the arrangement o poles is 120° with each other. It can be observed that
Fig. 3 Distribution of magnetic field with 60°
the value of the maximum magnetic field produced changes with the change in the
angle. As it is 3.91 × 10−2 when the angle between the two poles is 60° and it
becomes 3.99 × 10−4 , when the angle becomes 90° and 4.0000 × 10−2 , when the
angle between the poles is 120°.
The fourth model is made when the two magnets are arranged at an angle of
180° with each other. In this model on applying the clockwise current of 100 A
on the surface (made by Boolean operation) of each magnet a pattern is produced
with maximum magnetic field intensity of 4.0064 × 10−2 T. Figure 6 Shows the

Fig. 7 Distribution of magnetic field with 3 magnetic poles
distribution of magnetic field when the arrangement of poles is 180° with each other.
The next model is made when three poles are taken at an angle of 60° apart from
each other. Figure 7 represent the arrangement of 3 poles at an angle of 60° with
each other. It can be seen that the maximum value of the magnetic field is 4.0217 ×
10−4 T in this arrangement.
The next model is made when 6 poles are taken at an angle of 60° apart from each
other. Figure 8 represent the arrangement of 6 poles at an angle of 60° with each
other. It can be seen that the maximum value of the magnetic field is 4.4456 × 10−4
T in this arrangement. It can be seen this is most preferred arrangement as it covers
the entire work piece and with this arrangement, machining may be done effectively
as Ferromagnetic particles would be aligned along the direction of machining of the
work piece.
4 Conclusion
After going through the simulation for various arrangements, a plot is drawn between
the Magnetic field intensity and the angle between the two poles for the combination
of two pole system. Which shows that the value of magnetic field raises up to 60°
then it goes down when the angle is 90° and then again raises as the relative angle
increases. The maximum value for two pole system is obtained for an angle of 180°.
The most suitable combination when two pole combination is taken as 180°. For a
3 pole system, it is when poles are situated at an angle of 120° as it covers the entire
surface evenly. However, it may be observed that two pole arrangement with 180°
Fig. 8 Distribution of magnetic field with 3 magnetic poles
angle gives higher values of magnetic field when compared to three pole magnetic
field. But, in three pole system symmetrical magnetic field is observed, which would
not be found in two pole magnetic system. The combination which covers the entire
surface is when 6 magnets are used at 60° as it would result in uniform magnetic
field, which results in uniform machining. However, 6 pole system also gives lesser
value of magnetic field (Table 2 and Fig. 9).
Table 2 values of magnetic

S. No. Number of poles Angle between Magnetic Field
field intensity with angle in
poles Intensity (T)
degrees
1 2 60 3.91 × 10−2
2 2 90 3.99 × 10−4
3 2 120 4.00 × 10−2
4 2 180 4.0064 × 10−2
5 3 120 4.0217 × 10−4
6 6 60 4.4456 × 10−4
Fig. 9 Variation of magnetic Field intensity with angle
References
1. Yan QS, Qiu TX, Gao WQ, Meng L (2009) Simulation and experimental analysis of electro-
magnetic inductor for magnetic abrasive finishing. In: Key engineering materials, vol 389–390.
Trans Tech Publications, Switzerlandpp, 193–198. Online: https://doi.org/10.4028/www.scient
ific.net/KEM.389-390.193
2. Kang J, Yamaguchi H (2012) Internal finishing of capillary tubes by magnetic abrasive finishing
using a multiple pole-tip system. Precis Eng 36:510– 516
3. Jain VK (2009) Magnetic field assisted abrasive based micro-/nano-finishing. J Mater Process
Technol 209:6022–6038
4. Kala P, Pandey PM, Verma GC, Sharma V (2017) Understanding flexible abrasive brush
behaviour for double disk magnetic abrasive finishing based on force signature. J Manuf Process
28:442–448
5. Rathod A, Sapate SG, Khatirkar RK (2012) shape factor analysis of abrasive particles used in
slurry abrasion testing. Int J Mech Ind Eng (IJMIE) 2(4). ISSN: 2231-6477
6. Li W, Li X, Yang S, Li W (2018) A newly developed media for magnetic abrasive finishing
process: material removal behaviour and finishing performance. J Mater Process Tech 260:20–29
7. Li X, Li W, Yang S Effect of coupling agent on interfacial bonding properties of viscoelastic
magnetic abrasive tools and finishing performance. ISSN: 1473-804, online 1473-8031. print
https://doi.org/10.5013/ijssst.a.17.28.17
8. Srinivas K, Murtaza Q, Aggarwal AK (2019) Variation of flow parameters and magnetic flux in
viscoelastic magnetic abrasive finishing process. 14:1940–1946. ISSN: 0973-4562
MHO Shape Slot Microstrip Patch
Antenna for X-Band
Palak Jain and Sunil Kumar Singh
Abstract In a research work, MHO-shaped slotted microstrip patch antenna is

proposed. An antenna proposed on Rogger duroid 5880 substrate with thickness
of 0.79 mm and relative permittivity of 2.2 have a dielectric loss tangent of 0.0009.
This antenna is composed of rectangular slots. There is HFSS software used to design
and analysis gain, directivity, VSWR, radiation pattern, and return loss.
Keywords Microstrip antenna · X-Band · VSWR · Gain
1 Introduction
Antenna is one type of transducer for switching electrical energy into electromag-
netic energy as a radiation. According to IEEE definition “A transmitting or receiving
system that is designed to radiate or to receive electromagnetic wave”. In antenna,
there is transmitter and receiver antenna which send signal and receive it. A transmit-
ting antenna is an antenna produce radio frequency radiation that propagate into space
and receiving antenna is an antenna receive radio frequency radiation and convert
them into required signals in the receiving device. In modern era, for microwave and
wireless engineering, the stipulation of mini-antenna is so huge that it is a need in
antenna theory and design [1]. Smaller size is key requirement for recent development
in communication system. In Communication engineering, 7–11.2 GHz frequency
band is set for X-band application whereas IEEE set 8.0–12.0 GHz frequency band
for radar engineering [2]. The primary goal of antenna producer is to design an
antenna which is compact in size, lightweight with less cost and ease of fabrication
[3]. An immense performance of aircraft, spacecraft, satellite, and missile applica-
tions where size, weight, cost, performance ease of installation, and aerodynamic
P. Jain (B) · S. K. Singh

Department of EC, Jabalpur Engineering College, Jabalpur, Madhya Pradesh, India
e-mail: jainpalak248@gmail.com
S. K. Singh
e-mail: sspjec2007@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_87
990 P. Jain and S. K. Singh
Fig. 1 Front view of

microstrip patch antenna
profile are restraint, small profile antennas may be required. Presently, there are
many other governments and commercial functions such as mobile radio and wire-
less communication that have identical specifications. To meet these requirements,
microstrip antenna can be used [4] (Fig. 1).
Microstrip patch antenna is also known as microwave antenna. Microstrip patch
antenna is a metallic strip mounted on a substrate with dielectric material on a ground.
A substrate is sandwitch between a patch and ground plane. There are different
dielectric substrate with different dielectric material. A patch antenna has various
patterns like circular, rectangular, triangular, square, and elliptical. In this paper,
microstrip patch antenna is proposed which is feed by microstrip transmission line.
A patch is in rectangular shape with rectangular slots.
2 Antenna Design Configuration
The geometry of the recommended antenna at frequency 11 GHz has been shown
in Fig. 2. The antenna contains substrate, ground plane, radiating patch, and feed
line. Rogger RT/duroid substrate with compact size of patch 10 × 9 mm, 0.79 mm
thickness, dielectric constant of εr = 2.2, and loss tangent 0.0009 mm is considered.
A radiated patch is located on top of substrate layer. A radiating patch contains
rectangular slots. There are five slots named as Slot A, Slot B, Slot C, Slot D, and
Slot E. Slot A contains two rectangular slots with a dimension of 1 × 2. Slot B contains
two rectangular slots with a dimension of 6 × 1. Slot C contains two rectangular
slots with a dimension of 1.5 × 4.
A 50 microstrip feed line is associated for designing patch antenna. The practical
and efficient dimension of microstrip patch antenna is calculated using the following
set of equations.
The width is calculated as
MHO Shape Slot Microstrip Patch Antenna … 991
Fig. 2 Design of mho shape slot patch antenna

C 2
W = +1 (1)
2 fr εreff
where
1
C=√ (2)
μ◦ ε◦
C = free space velocity of light

εreff = dielectric constant of substrate
The effective dielectric constant of substrate material is calculated as:
εr + 1 εr − 1 1
εreff = + (3)
2 2 1 + 12 h W
The Length is calculated as
C
L= √ − 2L (4)
2 fr εreff
where
W
(εreff + 0.3) + 0.214
L = 0.412h h
W (5)
(εreff − 0.258) h
+ 0.8
Fig. 3 Simulated return loss
In the above equation, L is effective or correction length factor, h is height, and

f r is resonant frequency.
3 Results
The designed antenna is replicate and analyzed by HFSS software. The acronym of
HFSS is high-frequency structure. The simulated results are return loss, gain, VSWR,
directivity, and radiation pattern.
3.1 Return Loss
In this paper, return loss is shown in Fig. 3; here, the return loss achieved 32.02 dB
at a resonant frequency 11 GHz.
3.2 VSWR
The voltage standing wave ratio is obtained if impedance is equal to a transmission

line which is ≤2, so the proposed antenna in this paper obtained a VSWR 0.4351 as
display in Fig. 4.
Fig. 4 Simulated VSWR
3.3 Gain
A gain is defined as the correspondence of the intensity in a given direction, to the

radiation intensity that would be achieved if the power accepted by the antenna was
radiated isotropically. For the proposed antenna, obtained gain is 7.077 dB (Fig. 5).
Fig. 5 Gain of an antenna

Fig. 6 Directivity of an antenna
radiation intensity
Gain = 4π
total input power
3.4 Directivity
For the proposed antenna, directivity is 7.19 dB as shown in Fig. 6.
3.5 Radiation Pattern
A radiation pattern defined as a graphical representation of power flowing from

transmitting antenna to the receiving antenna as a function if direction angles from
the antenna. Radiation pattern of proposed antenna is shown in Fig. 7.
4 Conclusion
A rectangular microstrip patch antenna is proposed and presented. A designed

antenna is simulated at frequency near to 11 GHz which cover X-band frequency. The
antenna is in compact size and reasonable to use in radar, satellite communication,
Fig. 7 Radiation pattern
and for X-band application. A proposed antenna gives a low return loss, high gain,
and ease of fabrication.
References
1. Tamim AM, Islam SS, Chowdhury MA, Hossain MI (2018) Design of a high gain microstrip
patch antenna for X-band satellite applications. In: 2018 international conference on computer,
communication, chemical, material and electronic engineering (IC4ME2). https://doi.org/10.
1109/ic4me2.2018.8465588
2. Shahu BL (2015) A compact slotted microstrip antenna for X-band application in satellite
communication. Int Res J Eng Technol (IRJET) 02(06)
3. Goel A, Tripathy MR, Zaidi SA (2014) Design and simulation of inverted T-shaped antenna
for X band applications. Int Res Publ House 4 (6):565–570. ISSN: 0974-2239. http://www.irp
house.com
4. Balanis CA (1997) Antenna theory, analysis and design, 2nd edn. Wiley, Hoboken
5. Islam MM, Islam MT, Faruque MR, Hueyshin W (2013) Design of an X-band microstrip patch
antenna with enhanced bandwidth. In: 2nd international conference on advances in electrical
engineering (ICAEE 2013). Dhaka, Bangladesh, 19–21 Dec 2013
6. Sam CM, Mokayef M (2016) A wide band slotted microstrip patch antenna for future 5G. EPH
Int J Sci Eng 2(7)
7. Azeez AR, Hamed MM (2015) Microstrip patch antenna as dual bowtie shaped for X-band.
IOSR J Appl Phys (IOSR-JAP) 7(4):46–49. Ver. III (Jul–Aug 2015). e-ISSN: 2278-4861
8. Mubasshira S, Ali MT (2017) Dual-port microstrip antenna design for X-band satellite
applications. Int J Recent Trends Eng Res (IJRTER) 03(05). ISSN: 2455-1457
9. Immagulate PA, Rajam VJ, Chrysolite AS, Let GS Design and analysis of multiband microstrip
antenna using coaxial feed for C & X-band
10. Pozar DM (1998) Microwave engineering, 4th edn. Wiley, Hoboken
Optimization of Process Parameters
in Electric Discharge Machining
for SS420 Using Taguchi Technique
Sudhir Kumar, Sanjoy Kumar Ghoshal, and Pawan Kumar Arora
Abstract With growing need through the competitive industrial world, there is
acute need of ultra precision while machining the given material through different
machining processes, primarily nontraditional machining (NTM) processes. Thus
it’s needed to realize the specified output by regulating the process parameter as
per the requirement. This has given rise to a scenario which needs the data of
optimum values of varied input parameters to maximize or minimize the desired
output. Though there are different methods available, still Taguchi Method is one
of the capable methods for modeling of such problems. This paper deals with opti-
mization of Electric Discharge Machining process parameters for SS420 based on
the Taguchi technique. Also the effect of Gap voltage, Current, Duty Cycle and
Pulse on Time output responses on the EDM has been investigated. The Material
Removal Rate (MRR) is taken as output responses for the investigation. The experi-
ment is designed by Taguchi methodology orthogonal array (L16). These have been
conducted on the SS420 utilizing copper as Tool electrode by taking four levels of
each factor. It is found that the Pulse on Time is the most significant factor to affect
MRR and Gap Voltage is least. The result showed that the Gap voltage of 45 V,
Current of 10 A, Duty Cycle of 96% and Pulse on time 100 µ/s bears the optimal
quality characteristics.
Keywords EDM · MRR · Taguchi methodology
S. Kumar (B) · S. K. Ghoshal

Mechanical Engineering Department, Indian Institute of Technology (Indian School of Mines),
Dhanbad, Jharkhand, India
e-mail: skmeiitdhn@gmail.com
P. K. Arora
Mechanical Engineering Department, Galgotias College of Engineering and Technology,
Greater Noida, UP, India

https://doi.org/10.1007/978-981-15-5463-6_88
998 S. Kumar et al.
1 Introduction
With consistent growing industrial needs and requirements pertaining to high strength
materials e.g. high strength thermal resistant metals and alloys and difficult to
machine materials, there is thrust over the employment of NTM processes for preci-
sion and effective machining with optimum MRR [1]. EDM is one of the widely used
process for machining of complex or difficult to machine materials. EDM is a method
of fabric removal victimization an accurately controlled discharge (spark) through a
little gap of 10–50 µm, full of stuff fluid between an electrode and a workpiece [2].
The stuff fluid (e.g. kerosene) becomes ionizing within the gap to form a path for
every discharge. Alternatively, paraffin and oil may be used and the EDM process
is free from contact force and chatter vibration [3]. SS420 is very important mate-
rial mainly used for surgical instruments etc. and Inadequate Literature available for
machining investigations of SS420. The relevant literature review is present briefly
in Table 1.
The objective of this paper is to machine SS420 steel by EDM by taking various
parameters. Four process parameters viz. Gap Voltage, Current, Duty Cycle and
Pulse on time, were taken at four stages. Machining took place according to L16 OA
and for each run MRR was calculated. Then the four controllable parameters were
optimized using MINITAB 18.0.
2 Scheme of Experimental Procedure
The Authors have designed experiment and relevant details presented in Table 2. The
EDM set up (Figs. 1 and 2) has been employed for experiment.
The operational values of the input process parameters chosen under the present
experiment is shown in Table 3. For the present experiment L16 OA is considered. The
three repetition of each one experiment were conducted and average of these three
values was presented to reduce the experimental error. MRR is calculated according
to Eq. (1).
MRR
Weight of workpiece before machining − Weight of workpiece after machining
= gm/min
Time
(1)
Optimization of Process Parameters in Electric Discharge … 999
Table 1 Brief literature review

S. No. Author (Year) Response parameter Technique used Salient outcome
1 Anil et al. (2010) MRR, surface Grey relational Studied the effect
roughness (SR) analysis (GRA) of abrasives mixed
with dielectric fluid
[4]
2 Pradhan et al. SR Response surface Investigated the
(2011) methodology (RSM) effect of second
order response
model of
machining
parameters [5]
3 Azizul et al. (2012) SR Taguchi method Described the
effect of duty factor
and discharge
current interaction
on SR [6]
4 Khalid Hussain MRR EWR average Taguchi method Higher MRR,
Syed, Kuppan surface roughness Lower EWR, Ra
Palaniyandi (2012) (Ra ) white layer and WLT [7]
thickness (WLT)
5 Das et al. (2012) MRR Taguchi method Investigated the
effect of current on
MRR of EN31 tool
steel [8]
6 Dhanabalan et al. MRR, SR and TWR GRA Studied the
(2012) influence of
parameters on the
response
parameters [9]
7 Alikbari and Baseri MRR, SR, and TWR Taguchi technique Optimized the
(2012) process parameters
and see effect of
tool on response
parameters [10]
8 S Dhanabalan et al. MRR and EWR Taguchi method Demonstrates the
(2013) based GRA potency of
optimizing
aggregate
characteristics of
EDM [11]
9 Chen et al. (2013) SR Taguchi method Utilized taguchi
method to optimize
the process
parameters of EDM
[12]
(continued)
1000 S. Kumar et al.
Table 1 (continued)
S. No. Author (Year) Response parameter Technique used Salient outcome
10 Nikalje et al. (2013) MRR, TWR, SR and Taguchi design Used taguchi
relative wear rate methodology methodology to see
(RWR) the influence of
process parameters
EDM [13]
11 Aditya Kumar et al. MRR and SR Taguchi method and Performed the
(2015) hybrid genetic parametric analysis
algorithm (HGA) by taguchi method
and HGA [14]
Table 2 Brief description/details of experiment

S. No. Parameter Description
1 Material SS420
2 Dimension 50 mm × 20 mm × 12 mm (L × B × T )
3 Tool material Copper
4 Dimension (tool) Diameter: 12 mm; Length: 40 mm
5 De-electric fluid EDM Oil (Specific Gravity: 0.76)
6 Depth of Cut (fixed) 0.50 mm
7 EDM Spark type (model: ELECTRA PULS RT 20)
Servo control to Front Panel control

feed electrode and Display Unit
Working Area
Fig. 1 EDM experimental setup
Fig. 2 Work piece SS420 and tool material

Table 3 Input process parameters and their levels

Input parameter Symbol Unit I II III IV
Gap voltage A Volt 45 90 120 150
Current B Ampere 2 5 8 10
Duty cycle C % 32 56 80 96
Pulse on time D µsec 2 10 50 100
With growing industrial need and consistent thrust over optimal utilization of
machining facilities available, different optimization techniques have been employed
of which, Taguchi method is prominently used [15]. It has been considered as one
of simple technique with reliable, systematic and efficient tool for optimization of
different process parameters including machining processes [16]. The technique
involves application of OA experiments with reduced variance for the experiment
designed with optimal setting. OA provides optimal number of experiments and
calculation of S/N (signal to noise) ratio, which is a log function of desired output
of the objective function [17].
For LTB (maximize response), the model equation is as follows:

1
n
η = −10 log10 1/yi2 (2)
n i=1
where η denotes the S/N Ratio of experimental values, yi represent experimental

values of ith experiments and n is the total no. of experiments. Taguchi method alters
the values of objective function to S/N ratio as a measure of the performance char-
acteristics of the experiment. By using the Eq. 2, the S/N ratio values of machining
performance for experiment of L16 OA can be calculated for MRR and the values are
presented in Table 4. A higher S/N Ratio values corresponds to a better performance.
The main effect plot for S/N ratio for all the four input parameters were obtained
in the MINITAB 18.0 Software during the analysis. In the machining process the
last observation yields the highest MRR, having corresponding input variables viz.
45 V, 10 A, 96% and 100 µ/s. From Table 5 shows that Pulse on Time is the most
important factor to affect MRR and Gap Voltage is least. For this observation the
value of MRR is 0.0825 gm/min (Fig. 3).
The linear model of the different S/N ratio is developed by regression analysis
which is a statistical measure for predicting the relationship among variables. In this
analysis, we got the following important values.
1. Standard deviation (S) = 0.0125589
2. R-Sq = 74.37%
3. R-Sq(adj) = 65.06%.
Table 4 Experimental values of MRR, SR and TWR with corresponding S/N Ratio
Experiment number A B C D MRR (gm/min) S/N ratio (dB)
1 45 2 32 2 0.0005 −66.3151
2 45 5 56 10 0.0053 −45.7358
3 45 8 80 50 0.0387 −28.2683
4 45 10 96 100 0.0825 −21.6779
5 90 2 56 50 0.01 −39.1721
6 90 5 32 100 0.0119 −38.6363
7 90 8 96 2 0.0072 −42.9748
8 90 10 80 10 0.0083 −41.7591
9 120 2 80 100 0.0067 −43.5654
10 120 5 96 50 0.0135 −37.4363
11 120 8 32 10 0.0035 −49.807
12 120 10 56 2 0.0023 −53.4188
13 150 2 96 10 0.0052 −45.792
14 150 5 80 2 0.001 −60.2945
15 150 8 56 100 0.035 −29.456
16 150 10 32 50 0.028 −31.3727
Table 5 Response table for S/N ratios

Level A B C D
1 −40.61 −49.05 −46.40 −55.60
2 −40.73 −45.30 −41.90 −45.52
3 −45.74 −37.34 −43.27 −34.17
4 −41.42 −36.80 −36.92 −33.20
Delta 5.14 12.25 9.48 22.40
Rank 4 2 3 1
The calculated value of S/N ratio from Taguchi analysis is found to be −21.6779
which is the highest among any of the calculated values in the Table 4. Hence the
corresponding input factors are the most optimized controllable parameters. These
factors at their optimized levels are also predicted by the Taguchi analysis which is
depicted in Table 6.
Main Effects Plot for SN ratios

Data Means
Gap Voltage Current Duty cycle Pulse on Time
-30
-35
Mean of SN ratios
-40
-45
-50
-55
45 90 120 150 2 5 8 10 32 56 80 96 2 10 50 100
Fig. 3 Main effect plot for S/N ratio
Table 6 Predicted S/N ratio

A B C D S/N ratio
45 10 96 100 −21.6779
4 Conclusion
The experimental investigation of EDM on SS420 has been done using Taguchi
technique. Four important process parameters Gap voltage, Current, Duty cycle and
Pulse on time have been studied. The following conclusions are made:
• Pulse on time is the highest influencing factor in determining MRR during
machining of SS420 and Gap Voltage is least.
• The optimal levels of the four factors have been established to get higher MRR
using L16 OA.
• The result showed that the Gap voltage of 45 V, Current of 10 A, Duty Cycle of
96% and Pulse on time 100 µ/s bears the optimal quality characteristics.
• At these levels MRR was found to be 0.0825 gm/min.
References
1. Groover MP (2010) Fundamentals of modern manufacturing: materials, processes, and systems,

4th edn. Wiley, Danvers
2. Rajurkar KP (1994) Nontraditional manufacturing processes. In: Dorf RC, Kusiak A (eds)
Handbook of design, manufacturing and automation. Wiley, Hoboken, USA, p 1994
3. Ramakrishna R, Karunamoorthy L (2006) Multi response optimization of wire EDM operations
using robust design of experiments. Int J Adv Manuf Technol 29(1–2):105–112
4. Kumar A, Maheshwari S, Sharma C, Beri N (2010) A study of multi-objective parametric

optimization of silicon abrasive mixed electrical discharge machining of tool steel. Mater
Manuf Process 25. ISSN: 1024-6914
5. Pradhan MK, Biswas CK (2011) Investigation into the effect of process parameters on surface
roughness in EDM of AISI D2 steel by response surface methodology. Int J Precis Technol
2(1):64–80
6. Mohamad AB, Siddiquee AN, Quadir GA, Khan ZA, Saini VK (2012) Optimization of EDM
process parameters using taguchi technique. ICADME, Pennig, Malaysia
7. Syed KH, Palaniyandi K (2012) Performance of electrical discharge machining using
aluminium powder suspended distilled water. Turkish J Eng Env Sci 36, 195–207
8. Das M, Kumar K, Barman T, Sahoo P (2012) Optimization of material removal rate in EDM
using taguchi method. Adv Mater Eng Technol 626:270–274
9. Dhanabalan S, Sivakumar K, Sathiya Narayanan C (2012) Optimization of EDM process
parameters with multiple performance characteristics for titanium grades. Eur J Sci Res 68:297–
305
10. Aliakbari E, Baseri H (2012) Optimization of machining parameters in rotary EDM process
by using the Taguchi method. Int J Adv Manuf Technol 1041–1053
11. Dhanabalana S, Sivakumar K, Sathiya Narayanan C (2013) Optimization of machining param-
eters of EDM while machining Inconel 718 for form tolerance and orientation tolerance. Indian
J Eng Mater Sci 20:391–397
12. Chen D, Jhang J, Guo M (2013) Application of taguchi design method to optimize the electrical
discharge machining. J Achiev Mater Manuf Eng 57:76–82
13. Nikalje AM, Kumar A, Srinadh KVS (2013) Influence of parameters and optimization of EDM
performance measures on MDN 300 steel using taguchi method. Int J Adv Manuf Technol 1–9
14. Kumar A, Maheshwari S (2015) Optimization of submerged arc welding rutile based flux
constituents by hybrid grey fuzzy and taguchi analysis. Adv Mater Manuf Charact 5(2):63–70
15. Phadke MS (1989) Quality engineering using robust design. Prentice Hall, Eaglewood Cliffs
16. Ross PJ (1998) Taguchi techniques for quality engineering. McGraw-Hill, New York, pp 24–98
17. Ranjit K (2001) Roy, design of experiments using the taguchi approach: 16 steps to product
and process improvement. Wiley, New York
Improvement in Starting Characteristics
of a Hermetic Reciprocating Compressor
by Offset Cylinder Arrangement
Himanshu Kalbandhe, Anil Acharya, and Sumedh Nalavade
Abstract Better starting performance of hermetic compressor has become one of

the primary development targets due to variations in operating pressures of refriger-
ants. At starting reciprocating mechanism is subjected to critical conditions which
impose greater forces on piston this causes the starting process difficult. In this
work, an Excel program is developed to calculate the torque requirement of hermetic
compressor by considering gas force, inertia of components, and frictional resis-
tance. This saves time and cost associated with testing and performing iterations for
motor selection. It is observed that 90% of total torque is required to overcome gas
force, 9% for inertia, and 1% is loosed in friction. For reducing torque demand and
improving starting ability, various methods were studied but offset cylinder method
is implemented. Compressor prototype was built with cylinder offset by 0.6 mm
which causes reduction in torque demand by 27% as compared to inline cylinder
compressor. Prototype is tested on calorimeter for startability and results show that
compressor has better starting ability than inline cylinder compressor and it can start
satisfactorily in specified voltage range. Also, effect of various refrigerants on torque
demand is discussed.
Keywords Torque · Startability · On-off cycling · Hermetic reciprocating

compressor
Nomenclature
R Crank length m
dp Diameter of piston m
A Area of piston m2
H. Kalbandhe (B) · A. Acharya

Government College of Engineering Karad, Karad, India
e-mail: himanshu.kalbandhe@gmail.com
S. Nalavade
Emerson Climate Technologies (India) Pvt. Ltd. Karad, Karad, India

https://doi.org/10.1007/978-981-15-5463-6_89
1006 H. Kalbandhe et al.
L Length of connecting rod m

D Offset distance m
Fp Force on piston N
pc Cylinder pressure Bar
ps Suction pressure Bar
ω Angular velocity rad/s
r Radius of bearing m
b Width of bearing m
Crank angle degrees
Connecting rod angle degrees
α Angle between the force F a and extension of force F c N
µ Dynamic viscosity of oil Ns/m2
Fa Vertical component of F c N
Fc Connecting rod force N
Fg Gas pressure force N
Fth Side thrust force N
mb Reciprocating Mass Kg
LBP Low back pressure
MBP Medium back pressure
CBP High back pressure
1 Introduction
Small-scale hermetic reciprocating compressors are widely used to compress refrig-

erant in household refrigerators and air-conditioners. In hermetic reciprocating
compressors, the crankcase and motor are mounted on the same shaft inside the
housing. When compressor is started, it is subjected to critical operational condi-
tions such as sudden decrease in pressure at suction line, and an increase in pressure
at discharge would increase pressure difference in suction and discharge. Frequent
on-off creates redistribution of refrigerant within the system which promotes pres-
sure differential also large quantity of liquid refrigerant is suddenly dumped into the
compressor this causes more torque requirement instead of this during startup motor
has to overcome the inertia of rotating components [1].
The compressor is an important component of the refrigeration system. Whether
the compressor will start under certain conditions or not is the most important task
for the manufacturer. It is required that the compressor must start in these conditions
without any problem. Startability test is performed in order to verify whether the
compressor will start or not. The induction motor is used to drives the crankshaft.
The torque produced by motor must overcome high pressures, Inertia of rotating
components, and bearing friction. Starting ability is dependent on type of refrigerant
used in the system. Upcoming refrigerants may have unexceptional pressures so it
is very important to study starting characteristics. Torque requirement reduction can
Improvement in Starting Characteristics … 1007
Fig. 1 Hermetic
reciprocating compressor
be obtained by replacing the inline slider-crank mechanism by offset slider-crank

mechanism. This will help to improve starting characteristics also it will reduce side
thrust on the cylinder wall.
When the compressor is started after a prolonged period, pressures on suction
and discharge sides are equal. So, the starting process is relatively easier. But if the
compressor is in running condition and electric supply is switched off and restarted,
unequal pressure differential is developed due to unequal distribution of refrigerant,
which causes very high starting resistance on the motor. Time required to equalize the
pressures is about one or two minutes. But sudden on-off is takes place in fraction of
second. When the compressor operates during the sudden on-off situation, unequal
pressures create a tremendous force on the piston and electric motor is unable to
overcome these forces to maintain the compression process. Base compressor model
does not have a good start ability. Starting characteristics are improved by employing
offset cylinder mechanism to the current model (Fig. 1).
2 Load Torque Calculation for Inline Compressor
Conventionally reciprocating compressors are having inline cylinder arrangement.

First step to improve starting characteristics of compressor is to find out accurate
load torque which is going to act during suction and discharge strokes. The following
equations can be utilized to find torque demand due to gas force, inertia, and friction
(Fig. 2).
Fig. 2 Inline slider mechanism
Compression torque, assuming volumetric efficiency 100%

R cos φ π · dp 2
Tc = Fc · R sin φ · 1 + , Fp = ( pc − ps ) (1)
L cos ψ 4
Inertia torque is given by,

mb 2 2 R 3R
Ti = R ω sin Θ − sin 2Θ sin 3Θ (2)
2 2L 2L
Power losses in bearing given by Petroff’s Equation,
2π μr 3 bω
TF = (3)
h
Using the above equations, we can find out torque at each crank angle position.
Addition of above torque gives resultant load torque for operation [2].
Startability issues take place due to overpressure during starting and running
condition so it is necessary to evaluate the total load torque for motor selection based
on gas force, inertia of component and frictional resistance of bearing. Evaluation
of the total load torque needs to consider the summation of these parameters which
actively contributes to starting resistance.
3 Load Torque Calculation for Offset Type Compressor
It is common practice in the industry to mount standard-sized motor for a compressor.

There are several reasons for this: (1) to save manufacturing costs, (2) to standardize
installation, and (3) to enable the use of equipment for a different application. Some-
times the problem of startability arises due to insufficient motor torque. Using a bigger
motor is not a solution because it will affect superheat losses and power consumption.
Fig. 3 Offset slider crank mechanism
To handle such situations offset mechanism is of great help. But offsetting causes an
increase in stroke length. This can be restored by reducing crank length (Fig. 3).
Conventional reciprocating compressors are built with the axis of the piston
cylinder and the axis of rotation of the crankshaft is the same. But offsetting the
axis of rotation of the crankshaft from the axis of piston cylinder benefits in less
torque demand due to change in position of connecting rod angularity when the
piston reaches to top dead center. To maximize benefit in torque; iterations can be
done to find out offset distance at which more torque reduction is possible.
3.1 Advantages of Offset Mechanism
1. It can be done with little modifications in the existing model.

2. Reduction in load due to the reduction in reaction force on crankshaft.
3. Increase in working volume leads to compact arrangement as compared to inline
mechanism.
4. As load on crankshaft reduces, it require less strong components.
5. Mechanism accelerates faster to rated speed causes faster development of
hydrodynamic lubrication regime would reduce frictional losses.
But more offset creates imbalance of mechanism which increases side thrust on
cylinder wall and shaking forces but this can be managed by better balancing.
Following equations are worked out to find torque demand of offset slider-crank
mechanism [3].
Slider Acceleration is given by
(R sin Θ + d)2 R 2 ω2 cos2 Θ

a = Rω2 cos Θ + 3
L 2 − (R sin Θ + d)2
(R sin Θ + d)Rω2 sin Θ + R 2 ω2 cos2 Θ

− (4)
L 2 − (R sin Θ + d)2
Force in connecting rod,
(P ∗ A − m ∗ a)
FC = . (5)
cos ϕ
F a , vertical component of F c ,

−1 R sin θ + d
Fa = Fc · cos 90 − sin (6)
L
Combined Gas load and inertia torque,
T = Fa · R (7)
4 Excel Program
Defining starting torque of compressor motor is the most important task for manu-
facturer. Usually, motor is designed on the basis of the service factor. Sometimes
this causes motor becomes overdesign or under design. To find optimum torque
value for best starting performance this Excel program is developed. Achieving a
quick start is simple—just apply a very large motor to the pump assembly. This is
impractical because of the costs associated with a large motor and a drive train must
be strong enough to withstand the strain of a high torque startup. For defining the
starting torque of the motor to start satisfactorily at a given voltage range, depends on
unequal pressure on the suction and discharge side. It is observed that refrigeration
reciprocating compressors have a tendency to stop at a specific crank angle position
near the bottom dead center. It is determined by taking the start-stop tests at various
pressure conditions and at various line voltages for various refrigerants. The manu-
facturer can perform these simple tests on its compressor model. This will help to
define starting torque and other motor selection parameters for new developments
(Fig. 4).
It is experimentally identified that 220–230° crank angle is the most favorable
stopping position. Every time compressor stops at this position. Therefore, it will
start from where it stops. This will give an estimation of starting torque value. Also,
the program calculates that percentage of torque used to overcome gas force, inertia
and friction Usually, the manufacturer does a lot of iterations to define this value and
it takes a lot of time. This simple method can be of great help to the motor designer.
Fig. 4 Excel program
5 Comparison of Inline and Offset Cylinder Compressor
The main objective of offset cylinder arrangement is to reduce torque demand. Calcu-
lations are performed by varying offset amount from 0 to 3 mm in steps of 0.6 mm.
Figure 5 shows torque before and after the offset. It shows that torque is decreases
suddenly at 0.6 mm offset by 27.15%, later as the offset distance increases; torque
is also increasing. Another parameter on which offset amount is decided is thrust
force. It is the horizontal force on cylinder wall exerted due to floating motion of
the connecting rod which is responsible for friction. Figure 6 shows maximum side
thrust in a cycle. At offset of 0.6 mm, there is a minimum side thrust but afterward,
it increases gradually. Therefore 0.6 mm is best value to achieve maximum benefit
in terms of torque and side thrust.
Figure 8 shows the torque comparison between inline (without offset) and
offset slider-crank mechanism. The curve for the offset mechanism lies below the
conventional mechanism. This is the indication of a reduction of torque demand.
The requirement of compressor with a refrigerant choice as R-404A imposes
very large starting a resistance. So, pressure and inertia of rotating components are
not controllable parameters but friction can be reduced by reduction of side thrust
force. So, this additional benefit can be achieved by offset slider-crank arrangement.
Figure 7 represents inline and after offset position. By offsetting cylinder to right-
hand side, the mechanism becomes an offset slider crank also angularity of the
connecting rod is reduces by a few degrees angle. This results in reduction in side
thrust during compression stroke on cylinder which is responsible for friction between
piston skirt and cylinder wall.
Fig. 5 Torque versus offset
Fig. 6 Offset versus side

thrust
6 Experimental Analysis
An experimental unit is used to study single-stage VCRS system. This unit has been
designed to validate offset cylinder arrangement based on mathematical calculations.
During the development of compressor, various iterations were performed such as
downsized displacement with inline cylinder and offset cylinder arrangement and
tested on calorimeter for startability test. It is observed that improvement in starting
performance of the offset cylinder arrangement compressor. Offset cylinder is done
by shifting the cylinder bore relative to the cross bore and geometrical parameters
kept the same as the base case model (Table 1).
Fig. 7 Offset position for

friction reduction
Fig. 8 Compariosn of crank

angle versus torque for inline
and offset mechanism
Table 1 Specifications of
Parameters Dimension
hermetic compressor
Cooling capacity 1063.84 W
Power consumption 864 W
EER 4.2
Shaft eccentricity 11.68 mm
Connecting rod length 49.98 mm
Piston diameter 34.92 mm
Displacement 22.4 CC
Frequency 60 Hz
Figure 9 shows an experimental prototype equipped with necessary connections on

test facility. Startability tests were performed successfully on this setup. Instruments
for pressure, mass flow, temperature measurement are connected and values are
shown on the control panel of the calorimeter. Test were performed as per industry
standard conditions for low back pressure appliances (Fig. 10).
Fig. 10 Modifications in crankcase

7 Effect of Refrigerants on the Startability
Startability test is performed according to the application group such as LBP, MBP,
CBP. Figure 5 shows a comparison of differential pressure for R-134a, R-404A,
R-22, R-290 at standard ASHRAE conditions [4].
It shows that pressures differential of R-404A is about 40% higher than R-134A
for LBP group. The presented compressor is working on R-404A. Therefore, the
compressor operating on R-404A has more chances of occurring starting problems
as compared to R-134A. Startability greatly depends on the type of refrigerant used
in the system. It is better to use low operating pressure refrigerant in the system
(Fig. 11).
For LBP application group compression ratio is much higher because the temper-
ature inside the evaporator is to be maintained between −30 and −10°C and the
condensing temperature is mostly depending on the ambient temperature. There-
fore, chances of occurring startability issues are higher in these applications due to
large pressure differential.
Figure 12 shows a comparison of torque demand of similar compressor model
for various refrigerants evaluated using the presented Excel program. This graph
indicates that greater the pressure differential, greater will be the torque demand of
compressor for that refrigerant. R-404A would require high torque producing motor
as compared to other refrigerants.
Offset crankshaft mechanism reduces force on crank which reduces torque
demand during operation. Also, there is a significant reduction in thrust forces and
torque at particular offset value improves the starting ability. According to new regu-
lations for environmental protection, new refrigerants are introduced in the market
which is either natural or environment friendly substances. These next-generation
refrigerants may have very high operating pressures, so it is necessary to design the
systems with reduced load on the motor to have a better starting ability. This purpose
can be fulfilled using an offset cylinder arrangement.
Fig. 11 Pressure differential comparison of different refrigerants

Fig. 12 Torque demand comparison for different refrigerants
8 Conclusion
Excel program predicts starting torque based on stopping position of the crank, fairly
accurately within a 2% error.
Offset cylinder arrangement is helpful to reduce torque demand as compared to
inline cylinder arrangement.
Experimental test results of the prototype show that the offset cylinder arrange-
ment compressor is having better starting ability as compared to inline compressor
prototype of the same configuration.
Torque is greatly depending on operating pressure of refrigerants, more the
operating pressure of refrigerant greater is the torque demand.
References
1. Diniz MC, Melo C, Deschamps CJ (2018) Experimental performance assessment of a hermetic

reciprocating compressor operating in a household refrigerator under on-off cycling conditions.
Int J Refrig
2. Bukac H (2002) Modeling compressor start up. International compressor engineering confer-
ence, paper 1549, Purdue University
3. Hassan TE (2018) Theoretical performance comparison between inline, offset and twin
crankshaft internal combustion engines. Proc World Congr Eng II
4. Indian standard hermetic compressors specification IS 10617 (2013)
Stair Shape Microstrip Patch Antenna
for X Band
Nivedita Dash and Sunil Kumar Singh
Abstract A Stair shape microstrip patch radiator is designed and analyzed in this
research paper by using HFSS 13.0 version. Designed microstrip patch radiator is
in shape of rectangular with circular sots for X band application. In this radiator,
substrate material is used FR4 epoxy, which dielectric constant is 4.4. Microstrip
feeding technique is used with lumped port. Resonant frequency is 8 GHz, it is within
‘X’ band. Mostly X band frequency range is used for satellite & radar communication.
Keywords Microstrip · Patch · Gain · Return loss · VSWR
1 Introduction
An antenna plays an important role in signal communication. It is a radiator which

is used for transmission or reception of electromagnetic waves. Microstrip antenna
basically mounted on printed circuit board using microstrip technique. Microstrip
antenna mostly used at microwave frequency and it is an internal radiator. Microstrip
antenna is also known as a patch antenna. Different patch’s shape can be design
in form of triangle, square, rectangle, dipole, circle, etc. Thin strip, circle, square,
rectangle shapes are mostly used because these shapes are easily examined and
manufacture [1].
For wireless application, satellite communication, spacecraft, microstrip patch
antenna use because of its low planer configuration and light weight. Basic model of
microstrip patch radiator is shown in Fig. 1, which is fed by microstrip transmission
line. To construct ground, patch antenna, and transmission line, a high conductive
material like copper is used. L, W, h shows the patch’s length, patch’s width and
height of substrate respectively.
N. Dash (B) · S. K. Singh

EC Department, Jabalpur Engineering College, Jabalpur, MP, India
e-mail: nivedita.333@gmail.com
S. K. Singh
e-mail: sspjec2007@gmail.com

https://doi.org/10.1007/978-981-15-5463-6_90
1018 N. Dash and S. K. Singh
Fig. 1 Microstrip patch antenna
Generally, height h of Substrate is very small but not much smaller than 0.05
of a wavelength. To excite radiator, feeding technique is used. Feeding can be
direct or indirect contact. Some most popularized techniques are Aperture coupling,
microstrip, coaxial and proximity coupling used to provide feeding. In microstrip
line feeding, coupling feed between the patch and transmission line in the form of
edge.
In this article, a rectangular size with stair shape microstrip antenna with four
circular slots designed and studied, with return loss, radiation pattern, gain and
VSWR [2].
1.1 Antenna Design Configuration
Length, width and height of patch are important parameters to design a microstrip
patch antenna. First determine practical width of patch, which provide good radiation
[3].

W =
1 2
=
C 2
√
2 fr μ◦ ε◦ 1 + εreff 2 fr 1 + εreff
where,
reff = substrate’s Dielectric constant
C = velocity of light
After determining width of patch, the effective dielectric reff can be represented
by,

εr + 1 εr − 1 h
εreff = + 12 + 1
2 2 W
Stair Shape Microstrip Patch Antenna for X Band 1019
Fig. 2 Design of stair shape

patch antenna
Patch’s width and effective dielectric constant found, now the extension of the
length L can be expressed as,
W
+ 0.214 (εreff + 0.3)
L = Wh 0.412 h
h
+ 0.8 (εreff − 0.258)
Length of patch can be determined by solving for L [3].
C
L= √ − 2 L
2 fr εreff
In this paper proposed microstrip patch antenna resonant frequency is 8 GHz and it
is consisting of ground, substrate and patch. For substrate, FR4 epoxy material is used
whose relative permittivity is r = 4.4. Shape of patch is in form of Stair. Rectangular
patch has four circular slots. These four circular slots have 1 mm radius. Length and
width of conducting ground rectangular are 22 × 16 mm. Length and width of patch
is 11 mm and 8 mm. Applied microstrip feedline is 50 . In this antenna, patch and
ground are made finite conductor with the help of boundary condition of perfect E.
For making free space radiation, antenna design needs a radiation box. Radiation
box designed in infinite free space, which also provide radiation pattern of an antenna.
It will minimize the reflection and maximize the absorb from the antenna. Figure 2
shows the proposed antenna structure (Fig. 3).
In this paper proposed antenna performance is measured through high frequency

structural simulator (HFSS 13). The simulation of return loss S11 is shown in Fig. 4.
When signal is transmitted through any transmission line, some of signal power is
Fig. 3 Antenna design in HFSS
Fig. 4 Simulated result of

return loss S11
reflected to the source, which is known as return loss S11. The radiator’s return loss
should be less than −10 dB for better performance. In this research work return loss
of −36.22 dB is obtained at frequency 8 GHz. Simulation of the VSWR is shown
in Fig. 5. VSWR defines mismatching between transmitting or receiving element to
transmission cable. Ideally VSWR should be less than 2, and in this proposed antenna,
it is obtained 0.2683. Radiation pattern shows radiated energy by the transmitting or
receiving radiator. Proposed radiator’s far field pattern is shown in Fig. 7. Achieved
far field pattern is almost omnidirection (Fig. 6).
Fig. 5 Voltage standing wave ratio of antenna
Fig. 6 Antenna gain
2.1 Simulated Result in Tabular Form
Antenna parameter Simulated result (dB)

Return loss −36.22
VSWR 0.2683
Gain 5.6914
Fig. 7 Far field pattern of radiator
3 Conclusion
In this article a rectangular size with stair shape microstrip patch antenna is proposed.
It has 4 circular sots, which are having 1 mm radius. Designed antenna is very small
in size and it can reduce the price of antenna, because slots reduced the copper. In
this X band range designed antenna can be useful for satellite and radar application.
In this research article, proposed antenna has high gain, very low return loss, small
in size and easy fabrication. Proposed radiator is appropriate for X band application.
References
1. Balanis CA (1997) Antenna theory, analysis and design, 2nd edn. Wiley, Hoboken
2. Sran SS, Sivia JS (2016) Quad staircase shaped microstrip patch antenna for S, C and X Band
applications. International conference on computational modeling and security (CMS 2016).
Procedia Comput Sci 85:443–450
3. Sidhu AK, Sivia JS (2016) Microstrip rectangular patch antenna for S and X band applications.
In: IEEE WiSPNET 2016 conference, IEEE. 978-1-4673-9338-6/16/$31.00c2016
4. Islam MM, Islam MT, Faruque MRI, Hueyshin W (2013) Design of an X-band microstrip patch
antenna with enhanced bandwidth. In: Proceedings of 2013 2nd international conference on
advances in electrical engineering (ICAEE 2013). Dhaka, Bangladesh, 19–21 Dec 2013
5. Singh V, Mishra B, Singh R (2015) A compact and wide band microstrip patch antenna for
X-band applications. In: 2015 second international conference on advances in computing and
communication engineering, IEEE. 978-1-4799-1734-1/15 $31.00 © 2015 https://doi.org/10.
1109/icacce.2015.135
6. Saini H, Kaur A, Thakur A, Kumar R, Kumar N (2016) A parametric analysis of ground slotted
patch antenna for X-band applications. In: 2016 3rd international conference on signal processing
and integrated networks (SPIN)
7. Adams RS, O’Neil B, Young JL (2008) Integration of microstrip circulator with planar yagi
antennas of several directors. IEEE Trans Antennas Propag 56(11)
8. Ferrero F, Luxey C, Jacquemod G, Staraj R (2005) Dual-band circularly polarized microstrip
antenna for satellite applications. IEEE Antennas Wirel Propag Lett 4
9. Pozar DM (2004) Microwave engineering, 3rd edn. Wiley, Hoboken
Power Consumption Estimation
of SHA-3 for the Internet of Things
Applications
M. Tariq Banday and Issmat Shah Masoodi
Abstract Recent trends of Internet of Things (a network-connected wirelessly

between smart devices and the Internet) and ubiquitous/pervasive computing require
everything to be IP addressable and accessed on the Internet. Internet of Things
(IoT), a rapidly developing market which not only connects people and things but
also billions of devices and smart objects. A steady increase in security vulnerabil-
ities has been witnessed with the widening of the Internet of Things. The accuracy
and reliability of data also referred to as data integrity makes certain that data is not
modified while its transfer, storage, or retrieval. For the verification of data integrity,
generally, hash functions are used. In order to provide the real-time or near real-time
checking of data integrity, hardware implementation of cryptographic hash functions
is necessary for the Internet of Things. The IoT world constitutes billions of devices
that can sense the data, share information, and communicate it over Internet Protocol
(IP) network. The present work presents an implementation of the Secure Hash Algo-
rithm—3 (SHA–3) on NS2 and undertakes power analysis of the algorithm for the
Internet of Things applications.
Keywords Cryptography · Secure hash algorithm · Data integrity · Internet of

Things
1 Introduction
The Internet of Things (IoT) is transpiring to be an emerging deliberation in the

field of research and practical implementation in recent years. IoT is a representation
that includes all the objects with the capability to sense, process, and communi-
cate with other devices making use of the Internet. In recent years, the increase in
addition to sensors and the gadgets connected to the Internet has grown immensely
because of reduced connectivity cost and general access of broadband Internet [1–3].
M. Tariq Banday (B) · I. S. Masoodi

Department of Electronics and Instrumentation Technology, University of Kashmir, Srinagar,
Jammu and Kashmir 190006, India
e-mail: sgrmtb@yahoo.com

https://doi.org/10.1007/978-981-15-5463-6_91
1026 M. Tariq Banday and I. S. Masoodi
These conditions provide the platform for the growth of the Internet in the modern-
day world. But at the same time, the complexities have increased since we wish
to approach and get access to all the objects connected to the Internet anywhere in
the world. The polished chips and cultivated sensors are embedded in the physical
objects around us, each sensing and transceiving the valuable information [4, 5].
This process of sharing a large amount of information begins with the devices that
are securely communicating with the IoT platform. The IoT platform blends the data
obtained from many devices and applies analytics to share the most valuable with
the applications. The conventional Internet, Wireless sensor networks, and mobile
networks are taken to another level by the advent of the Internet of Things (IoT). The
data integrity is maintained by using Hash functions. Hash functions are one-way
deterministic procedure having input data block of arbitrary size called message and
the output fixed-data string called message digest or hash value [6]. In other words,
a message digest is the fingerprint of the information. If the information is manip-
ulated the fingerprint automatically changes. In addition to that, if the hash value is
kept hidden such that no one can predict the message digest of the corresponding
data, we can use the secret in the process to generate the hash like HMAC (Hash
generated Message Authentic Code) [6]. Prediction of the corresponding digest of
the data cannot be made due to HMAC and determination of hashed data from the
hash value because hashing is a one-way function. That is the reason we call it a
one-way process. The calculated hash value is appended with the data. When data
is transferred the message is received at the destination or the data is retrieved in
case of the storage of data, the hash is calculated again and is compared with the
hash value earlier appended with the original data. If the hash value is the same that
means the data is in its original forms otherwise the data is altered. SHA-1, SHA-256,
SHA-512, RIPEMD, MD4, and MD5 are the most commonly used hash functions,
however, serious vulnerabilities have been found in some of them.
2 Security Challenges in the Internet of Things
The advancement in the Internet of Things has resulted in that more number of devices
are connected to the Internet. But with every day these smart things are becoming
prone to the risk of information security. Unless efficient and appropriate security
measures are used to secure the Internet of Things, the Internet is at a greater risk
than it has been to date [7]. To ensure reliability and security of IoT, it is required
to place efficient security measures at its all four basic layers namely application
layer, perception layer, network layer, and physical layer [8, 9]. During monitoring
of these devices, the way must be found such that the data is not lost or altered.
Due to the security issues in the application layer, this layer is compromised and
shut down easily which results in the application failure to carry on the services
for which they were programmed or they carry out the authenticated services in the
wrong manner. The bugs are incorporated in the program code in order to trigger the
malfunctioning of the application services. The common threats in the application
Power Consumption Estimation of SHA-3 … 1027
layer include Malicious-code attacks, Node-based application tempering, inability

to receive security patches.
Perception Layer security concerns lie at the node level as the nodes which
are made up of sensors become the primary target for hackers. They utilize these
sensors in order to replace the code with the malicious code. The majority of threats
in the perception layer comes from the outside world mostly regarding the data-
gathering devices or sensors. The most occurring threats in the perception layer
include Eavesdropping, Snipping attacks, and Noise in data.
The acclaimed and eminent things in the network layer require the authentication
and retaining the data integrity which needs to be carried over the network. The
serious issue in the network layer is when an attack from intruder compromises the
node or devices in the network. Most of the familiar attacks in the network layer
include DoS, gateway, unauthorized access, and storage attacks.
The physical layer of IoT also constitutes of many security issues as well. There is
an immense requirement of such technologies so that power sources and also physical
security systems might be safe and may not be affected by the physical attacks from
weather and environmental conditions and from an individual perspective keeping
in mind the power efficiency during the process.
3 Related Work
The limitations of Internet of Things (IoT) in terms of use for constrained devices
have been discussed exhaustively in [10–12] which suggests the need for the use of
lightweight cryptographic algorithms in place of a full-fledged version of these algo-
rithms for security control. Many lightweight cryptography algorithms have been
developed but there is a trade-off between security offered and their efficiency of
execution on IoT devices. Among stream ciphers, block ciphers and hash ciphers,
block ciphers and hash ciphers are shown to perform considerably better. Crypton, a
new block cipher [13], following the construction of [14] was proposed as an alterna-
tive of 64 bits, 96 bits, and 128-bit key size. However, the functions of each and all the
components have been simplified in order to increase the performance of the hard-
ware. Various serious vulnerabilities have been found after performing cryptanalysis
of various hash algorithms [15–17]. SHA-1, SHA-256, SHA-512 has commonly used
hash functions in addition to these hash functions RIPEMD, MD4, and MD5 are also
used. Till now no successful attack has been reported on the SHA-2 and its variants,
but apprehensions of cracking SHA-2 are very high as it is algorithmically similar to
SHA-1. National Institute of Standards and Technology (NIST), USA [17], Keccak
was announced as the winner for the title of SHA-3 [18]. In [19], the inheritor of
Hummingbird-1 [20] is put forward as Hummingbird-2 (HB-2). Hummingbird-2 has
been verified and tested to stay unaffected previously known attacks because of the
use of 64-bit initialization vector and 128 bits of the key. The cryptanalysis of HB-2
algorithm [21] highlights its weaknesses and indicates that the initial key of the algo-
rithm can be recovered. The energy consumption of different encryption algorithms
including IDEA, RC4, and RC5 was studied and measured in a recent research work
[22]. On different platforms, the computational cost of RC4 [23], IDEA [24], and
RC5 ciphers were computed. A study [25] estimated the energy consumption and
execution time of AES [26], XXTEA [27], Skipjack, and RC5 block ciphers. The
study concluded that the extended execution process is because of the longer key size
in the AES algorithm. The key size has relatively a greater impact on the encryption
phases, decryption phases, and key setup in AES encryption. It is deduced from the
conclusions of the presented studies that a lightweight cryptographic algorithm that
takes care of security and energy efficiency and at the same time the encryption time
is reduced needs to be implemented for the Internet of Things.
4 Energy Consumption Estimation
The SHA-3 [18] which belongs to a class of sponge functions. SHA-3 is characterized
by bitrate r, and capacity c. The sum of bitrate and capacity, (r + c) determines the
width of SHA-3 function permutation. The selection of parameters r and c depend
on the desired value of hash output. As an example; for a for 512-bit hash output r
= 576 and c=1024 and for 256 bit hash output, r =1088 and c=512 is selected. The
1600-bit state of SHA-3 constitutes of 64-bit words across 5 × 5 matrix. 24 rounds
in core compression function of SHA-3 are performed and in each round five steps
are done in each step namely: θ (Theta), ρ (Rho), π (Pi), χ (Chi) and i (Iota) as
shown in Eqs. (1) to (6) [18].
Step:
(0 ≤ x, y ≤ 4)
R[x] = P[x, 0] ⊕ P[x, 1] ⊕ P[x, 2] ⊕ P[x, 3] ⊕ P[x, 4]; (1)
S[x] = R[x−1] ⊕ ROT(R[x + 1], 1); (2)
P[x, y] = P[x, y] ⊕ S[x]; (3)
ρ and π Step:
(0 ≤ x, y ≤ 4)
Q[y, 2x + 3y] = ROT(P[x, y], r [x, y]); (4)
Where Cyclic Shift Offset is given by r [x, y]

χ Step:
(0 ≤ x, y ≤ 4)
P[x, y] = Q[x, y] ⊕ ((NOT Q[x + 1, y]) AND Q[x + 2, y]); (5)
I Step:
P[0, 0] = P[0, 0] ⊕ RC; (6)
Modulo 5 operations are performed on all the above equations, within indices. In
Eq. (1) the state of the matrix of 1600-bits is denoted by P and a particular 64-bit word
in that state is denoted by P[x, y]. The intermediate variables are Q[x, y], R[x] and
S[x]. Other operations like bitwise XOR, bitwise AND, and NOT logical operation.
Finally, bitwise cyclic shift operation is done using the ROT command. The constant
r[x, y] represents the cyclic offset shift and the constant RC represents round constant
[18]. The SHA-3 hash function operation comprises of an initialization phase which
initializes the state matrix (A) with all zeros, an absorbing phase in which each r-bit
wide block of the message is XORed with the current matrix state and 24 rounds
of the compression functions and a squeezing phase where truncation of the state
matrix is simply done to the desired length of hash output.
In this study, the Keccak-512 algorithm with a value of 512 and 1088 for r and c,
respectively, has been used.
Initialization and Padding Phase: A 1600-bit number needs to be defined and
then initialized as 0. This number is classified into 25 groups. Each and every group
represents a state and 0 is set as the value of the initial state. A message M having an
L is inputted. If L is a multiple of 576 bits, it is not padded, however, if it is not, it is
padded as the smallest multiple of 576 bits. The following padding rule is applied:
the bit 1 is padded once, next n number of 0’s are padded which is followed by the
last padding byte is 0 × 80.
Absorbing Phase: The padded message obtained after the padding phase is divided
into n number of 576-bit message blocks. Each of the 576-bit message blocks is
further divided into nine states which perform the XOR operation on 9 states. These
nine states are from initial 25 states and output the results into these 9 states. This
result becomes the initial state for the processing of the next 576-bit message block.
Till the time these 576-bit message blocks are absorbed these operations are repeated.
In the round operation, final states are used.
Squeezing Phase: The final stage of the output is obtained from the compression
function. In this paper, fixed 512-bit output length is used, from 25 states we need
to take the 64-bit data from one among those states. This process is repeated 8 times
and by executing the round operation these 25 states are obtained at each iteration.
The flowchart of the proposed process is given in Fig. 1 and shows how the data
is encrypted using multiple rounds of hashing.
The frame of the nodes deployed is shown in Fig. 2 where the data is seen broad-
casted which is encrypted using SHA-3 hash technique after the successful key
Start
Take next 512 bits of

message
Split into 16 32 -bit

words
Expand to 80 32 -bit
words
Perform 80 rounds
hashing
Update hash vectors
Y More of
Messages ?
N
Append Hash Vectors
Output Hash Value
End
Fig. 1 Flowchart of SHA-3 process
Sending Broadcast
1 Key Authenticated
5
2
3
Key Authenticated Sending Broadcast
Key Authenticated
Fig. 2 Framework
Fig. 3 Average energy consumption
authentication, data is retrieved by the other node. Evaluation of energy consump-

tion is vital in estimating the lifetime of node. The applications with limited access
to a continuous power supply, it is crucial to conserve the energy.
The experimentation is done on NS2 platform. In order to evaluate the algorithms
falling in symmetric cipher or hash category or even in MAC, we calculate the run
time and energy consumption of the relevant operation. The script is written in TCL
language and is used for extracting the run time and power consumption parameters
from the output file. Figure 3 shows the consumption of energy in Millijoules with
respect to the size of data in Bytes. The energy is consumed least when the size of
data is small and it increases on the increase in the size of the data.
Figure 4 shows the average encryption time for the encryption operation from
which one can note SHA-3 encryption can be used in real-time operations because
of least time utilization during the encryption process. Figure 5 depicts the throughput
of various data sizes ranging from 50 to 300 MBs. Throughput is defined as amount
of data in bits conveyed within a time component in seconds. From the graph, we
can deduce the amount of data transmitted increases with the increase in data size
making it favourable for the Internet of Things applications.
Fig. 4 Average encryption time for each block cipher

Fig. 5 Throughput versus data size
5 Conclusion
The paper presents a detailed overview of security concerns in IoT and also discusses
various cryptographic measures already implemented to address the issues. Since
in an IoT environment, low resource devices do the computations. These devices
are resource-constrained in terms of memory, battery life, power consumption, and
computations. The major challenge IoT devices face is the challenges of security
and privacy as well as the issue of how to maintain trust between IoT users. The
present works make use of SHA-3 algorithm to overcome the energy consumption
issue while encryption and also proves this algorithm requires a minimum time to
encrypt the data resulting in increasing its importance in IoT because of its real-time
applications.
References
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architectural elements, and future directions. Futur Gener Comput Syst 29(7):1645–1660
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the industrial internet of things
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the zone: how the internet of things can improve energy efficiency and demand response in a
commercial building
6. Xiaoyun Wang XL, Feng D, Yu H (2004) Collisions for hash functions MD4, MD5, HAVAL-
128, and RIPEMD. Cryptology ePrint Archive, Report 2004/199, pp 1–4 (2004). http://eprint.
iacr.org/2004/199
7. Lai X (1992) On the design and security of block ciphers. Ph.D. dissertation, Diss. Techn. Wiss
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and modeling encryption overhead for sensor network nodes. In: Proceedings of the 2nd ACM
international conference on wireless sensor networks and applications. ACM, pp 151–159
9. Miorandi D, Sicari S, De Pellegrini F, Chlamtac I (2012) Internet of things: vision, applications
and research challenges. Ad Hoc Netw 10(7):1497–1516
10. Suo H, Wan J, Zou C, Liu J (2012) Security in the internet of things: a review. In: 2012
international conference on computer science and electronics engineering (ICCSEE), vol 3.
IEEE, pp 648–651
11. Ho G, Leung D, Mishra P, Hosseini A, Song D, Wagner D (2016) Smart locks: lessons for
securing commodity internet of things devices. In: Proceedings of the 11th ACM on Asia
conference on computer and communications security. ACM, pp 461–472
12. Airehrour D, Gutierrez J, Ray SK (2016) Secure routing for the internet of things: a survey. J
Netw Comput Appl 66:198–213
13. Lim CH (1998) Crypton: a new 128-bit block cipher. NIST AEs Proposal
14. Mourouzis T, Song G, Courtois N, Christophe M (2015) Advanced differential cryptanalysis
of reduced-round simon64/128 using largeround statistical distinguishers
15. Szydlo M (2005) SHA-1 collisions can be found in 263 operations. Crypto Bytes Tech Newsl
16. Stevens M (2006) Fast collision attack on MD5. ePrint-2006-104, pp 1–13. http://eprint.iacr.
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17. Federal Register 72(212), Friday (2 Nov 2007) Notices. http://csrc.nist.gov/groups/ST/hash/
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18. National Institute of Standards and Technology (NIST). SHA-3 Winner announcement. http://
www.nis.gov/itl/csd/sha-100212.cfm
19. Engels D, Saarinen M-JO, Schweitzer P, Smith EM (2011) The hummingbird-2 lightweight
authenticated encryption algorithm. In: RFID security and privacy. Springer, Berlin, pp 19–31
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Springer, Berlin, pp 363–366
Joining of Metals Using Microwave
Energy
Uma Gautam and Vipin
Abstract Welding is a joining process in which metals are joined to form a perma-
nent joint. This is done by melting the edges of the substrate to form weld pool
which becomes a strong joint after cooling. Research reveals that the processing of
microwave energy in materials is not only a green manufacturing process but also
a more versatile, rapid, and cleaner process in relation to low cost and has a huge
impact on production. Microwave welding is a form of welding using electromagnetic
energy, similar to laser, radio frequency, IR, and induction, using radiation energy
having a frequency of 2.45 GHz. Facileness of processing and hazards related to the
environment are the issues related to conventional welding that need to be addressed,
so this type of welding evolved. Microwave materials processing leads to high energy
consumption heating method generally used in industries. In microwave processing,
electromagnetic waves energy is directly transferred to the material through the inter-
action of molecules that lead to volumetric heating. Heat is induced internally within
the material, instead of emerging from the external sources, and transfer in an outward
direction. Microwave having unique characteristics of volumetric heating, selective
heating, lower energy consumptions, and lower processing time due to which its
applications are increasing rapidly.
Keywords Microwave hybrid heating · Domestic oven · Heating · Refractory brick
1 Microwave Processing
Metaxas and Meredith reported that microwaves are a part of the electromagnetic
spectrum like visible light, radio waves, and X rays. Microwaves having a frequency
between 300 MHz and 300 GHz corresponding to wavelengths ranging from 1 m to
1 mm [1–3]. Previously, microwaves were used extensively for telecommunication
such as radar, sensing, and so on during the World War II. Recently, microwave
processing has been emerging as an innovative method for sintering, cladding,
U. Gautam (B) · Vipin

Department of Mechanical Engineering, Delhi Technological University, Delhi, India
e-mail: uma_mech_2k3@yahoo.co.in

https://doi.org/10.1007/978-981-15-5463-6_92
1036 U. Gautam and Vipin
Fig. 1 Electromagnetic spectrum having different frequencies and wavelengths
and welding of ceramics and ceramic composites, polymer and polymer compos-
ites, metals, and metal powders also [4–6]. Microwave hybrid heating abandons a
strong microwave absorbing material into the surrounding insulation. Initially, this
absorbing material absorbs more microwaves and transfer to the material that is
being processed. It is advantageous to use microwave hybrid heating (MHH) to heat
most materials in a domestic oven. The combined effect of insulation and absorbing
material is called the microwave susceptor [7–9] (Fig. 1).
2 History of Survey
Telecommunication system was the first implemented application of microwaves.

Later on, many research going on the heating effects of microwaves energy and further
development leads to many successful applications which include food processing,
vulcanization of rubber, drying of wood, add to chemical reactions, processing of
ceramics material, composites and metallic materials, making of steel, and recovery
of energy. First successful area of heating materials using microwave radiation was
the sintering of some ceramic materials in the year 1999. The task for researchers
was to weld bulk metal and on metal at room temperature, and it seems very difficult
because metals have characteristics to reflect microwaves at room temperature and
causes the formation of plasma but after many research, it is possible to process bulk
material using microwave hybrid heating [10, 11]. Srinath et al. weld the copper
Joining of Metals using Microwave Energy 1037
Fig. 2 Chronological developments of microwave in the processing of metals
joint, which was characterized by various tests including analysis of microstruc-

tural elements, mechanical properties, and phase analysis using different process
parameters [4] (Fig. 2).
3 Setup Requirement for Microwave Welding
3.1 Domestic Microwave Oven
Microwave oven is the foremost equipment used for joining. Joining of substrate is
done using a domestic microwave. Required specification of microwave oven is as
follows:
Microwave of frequency—2.45 GHZ
Power of microwave—900 W.
3.2 Refractory Bricks
Refractory bricks are used to place the substrate inside slot. According to the size
of metal pieces, slots are prepared on the bricks and then fit the metal pieces inside
slot, after that brick is placed over the glass plate of microwave, and hence heating
process of metal starts.
1038 U. Gautam and Vipin
3.3 Acetone (C3 H6 O)
This is used to clean the edges of metal pieces before applying slurry near the joints.
3.4 Nickel Base Powder and Epoxy Resin
This nickel- and chromium-based powder having particle size of 40–50 µm, which is
used as a sandwich layer between the metal pieces. In this process, it mixed with glue
called epoxy resin to make paste-like slurry. Then apply this slurry at the substrate
interface and it acts as a heat absorber.
3.5 Susceptor
Stone susceptor used to quick absorb microwave radiations and transfer heat to the
interface joint which leads to selective heating. For this purpose, wood charcoal,
stone charcoal in powder form may be used. Wood charcoal is cheap and easily
available.
3.6 Methodology Used
First slot is cut on refractory based brick material, which is used to place the bulk
metallic specimen in order to avoid direct interaction of metal with magnetron as
metals reflect microwave at room temperature. Slurry is prepared by mixing the
epoxy resin with nickel alloy based powder. The substrate interfaces are cleaned
ultrasonically in an acetone bath. The prepared slurry is equally spread over the joint
interfaces between the metal pieces. A sheet of graphite is used to separate the slurry
from charcoal powder. The whole setup is called the principle of hybrid heating
using microwave and is effectively used to join the metallic pieces. Stone Charcoal
powder is placed over the graphite sheet, which acts as a susceptor medium to start
the interaction with microwaves which initiate heating. The stone charcoal powders
are spread over and around the joint area so as to initiate selective heating in the weld
zone. Then, whole setup placed inside the oven.
Joining of Metals using Microwave Energy 1039
4 Conclusion
From the past research, Microwave welding has evolved as one of the most important
types of welding and has found tremendous applications in various areas due to its
special characteristics which include processing of food, ceramics processing, glass
processing, minerals and polymers, chemical reaction systems, engineering-related
with environmental, biomedical, and biosciences.
References
1. Metax AC, Meredith RI (1983) Industrial microwave heating. Peter Peregrinus, London, UK
2. Singh K, Sharma S (2017) Development and characterizations of co-based microwave clad.
ELK Asia Pac J ISBN: 978-93-85537-06-6
3. Gautam U, Vipin (2017) Overview of welding using microwave radiation. In: International
conference on advanced production and industrial engineering. Paper id ICAPIE-2018-PE MT
226
4. Srinath SM, Sharma AK, Kumar P (2011) A new approach to 240 joining of bulk copper using
microwave energy. Mater Des 32:2685–2694
5. Sharma AK, Srinath MS, Kumar P (2009) Microwave joining of metallic materials. Application
No 1994/Del/2009
6. Dwivedi SP, Sharma S (2014) Effect of process parameters on tensile strength of 1018 mild
steel joints fabricated by microwave welding. Metallogr Microstruct Anal 3(1):58–69
7. Gupta P, Kumar S, Kumar A (2013) State of art: joining of microwave processed materials.
Indian Weld J 46
8. Gupta P, Kumar S (2014) Investigation of stainless steel joint fabricated through microwave
energy. Mater Manuf Process 29(8):910–915
9. Bansal A, Sharma AK, Das S (2013) Metallurgical and mechanical characterization of mild
steel-mild steel joint formed by microwave hybrid heating process. Sadhana Acad Proc Eng
Sci 38(4):679–686
10. Mishra RR, Sharma AK (2015) Microwave-material interaction phenomena: heating mecha-
nisms, challenges and opportunities in material processing. Compos: Part A. https://doi.org/
10.1016/j.compositesa.2015.10.035
11. Singh S, Gupta D, Jain V (2015) Recent applications of microwaves in materials joining and
surface coatings. J Eng Manuf 1–15

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Lecture Notes in Mechanical Engineering

More information about this series at http://www.springer.com/series/11236

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Dr. V. C. Pandey is Director and Professor in HMRITM, Delhi. He obtained his

Dr. P. M. Pandey is currently working as Professor in IIT Delhi. He completed his

Dr. S. K. Garg is Pro Vice Chancellor and Professor in Delhi Technological

Rakesh Kumar Phanden, Rahul Sindhwani, and Lalit Sharma

Keywords Flexible job shop scheduling · Variable neighbourhood search ·

R. K. Phanden · R. Sindhwani · L. Sharma (B)

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Fig. 1 VNS-based modified

4.2 Generation of Initial Population

Table 1 Steps of crossover operation in modified GA

Table 2 Steps of VNS-based mutation operation in modified GA

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Table 1 Experiment trials

2.2 Experimental Design

In this study, the belt speed was varied as given in Table 1.

2.3 Microstructure Analysis

2.5 Statistical Modeling

3 Results and Discussion

3.1 Microstructure Results (After Eighth Forging Stage)

3.2 Microhardness and Statistical Regression Model

of the specimen in the fifth-stage annealing. Similar to the second-stage annealing,

Keywords FGM composites · Collapse response · SFEM · Uncertain parameters ·

Aij, Bij, etc. Laminate stiffnesses

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D Elastic stiffness matrices

A lot of investigations using modeling of thermomechanically induced deformation

Solution approach: Perturbation technique, variance of postbuckling load are given

A computer oriented MATLAB [R2010a] code has been developed to investigate

4.1 Validation for Mean Values of Postbuckling Load

Temperature considered is 300 K. Validation study parameters are as (Ń cr =

Table 1 Comparison of deforming force parameter Ń cr = N cr a2 /π 2 D0 of the Al/ZrO2 Plate, a/h =

4.2 Validation for Random Postbuckling Load

Figure 2 shows investigation of average deformed force of CCCC functionally graded

(k 1 = 100, (7.0145) (6.5583) (6.0506) (5.5000) (3.9190) (3.4730) (3.3492) (2.9769)

(k 1 = 100, (7.1836) 6.7199) (5.9430) 5.5364) (7.5936) 8.7810) (6.2131) (7.0642)