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Advances in Environment Engineering

Q: Evaluate the role of decentralized approaches in implementing effective lockdowns during the COVID-19 pandemic. What are the key findings from recent studies on this topic?

Decentralized lockdown approaches have shown mixed results in effectively managing the COVID-19 pandemic. Decentralization allows for tailored responses catering to local needs, potentially accelerating decision-making and resource allocation. It facilitates the implementation of lockdowns in a manner sensitive to regional variations in infection rates and healthcare capacity . However, a major challenge lies in the coordination between different levels of government and the disparity in resources and capabilities across regions, which can hinder the uniformity and effectiveness of response measures . Additionally, decentralized approaches may encourage innovative solutions and community engagement but demand on regional leadership and expertise becomes critical for successful outcomes . Consequently, the effectiveness of decentralized lockdowns largely depends on the balance between local autonomy and coherent national strategy to manage public health interventions effectively across regions.

Q: What are the challenges linked with maintaining a strong safety culture in organizations, and how can these be addressed according to recent research?

Challenges in maintaining a strong safety culture in organizations include insufficient management commitment to safety, prioritization of productivity over safety, and lack of training. To address these issues, organizations need to foster management commitment at all levels, involve employees actively in safety initiatives, and conduct regular audits and training to reinforce the importance of safety. Good safety culture is characterized by effective communication across levels, appropriate resource allocation, and employees feeling comfortable reporting issues .

Q: What were the primary environmental and social changes observed during the COVID-19 pandemic, and how did these changes relate to sustainable development goals?

During the COVID-19 pandemic, primary environmental changes included improved air and water quality due to reduced industrial activities and transportation. Social changes involved increased remote work and reduced public gatherings. These changes are closely related to sustainable development goals, as they temporarily reduced environmental footprints and highlighted the potential for achieving sustainability targets through altered human activities. However, these benefits were largely unintentional and temporary, highlighting the need for structured policies to sustain these changes long-term .

Q: What are the main factors that dictate evacuation time in multi-story buildings, according to recent studies?

Evacuation time in multi-story buildings is primarily influenced by the number of floors, the number of occupants per floor, and the effective width of the staircase. The study showed that evacuation time increases with the number of floors and occupants. Additionally, evacuation time is longer for a staircase with a narrower width of 1.5 m compared to a wider staircase of 2 m. A mathematical model incorporating these factors provides an estimation of evacuation time .

Q: How did the COVID-19 lockdown impact the air quality and energy consumption in India as indicated in recent research?

The COVID-19 lockdown led to a significant improvement in air quality in India, as lockdown measures reduced industrial activities and vehicular movement. Air pollutants such as PM2.5, PM10, and NOx observed a notable decline. Concurrently, energy consumption patterns changed, leading to decreased demand due to reduced industrial and commercial activity during the lockdown period .

Q: Discuss how changes in the power consumption and generation pattern during the COVID-19 lockdown affected the electrical power sector in India.

The COVID-19 lockdown led to significant changes in power consumption and generation patterns in India. There was a reduction in demand due to decreased industrial and commercial activities, which directly impacted power generation strategies. Power generation had to adjust to the altered demand, creating operational and financial stress for power utilities. The lockdown delayed ongoing and upcoming projects, further complicating the situation. These factors underscored the need for resilient and adaptable power systems to handle such disruptions in the future .

Q: How does the application of the 5S methodology influence workplace organization in small-scale manufacturing companies?

The implementation of the 5S methodology in small-scale manufacturing companies significantly improves workplace organization by promoting cleanliness, orderliness, and efficiency. The 5S methodology, which includes Sort, Set in order, Shine, Standardize, and Sustain, leads to better space utilization, improved safety, reduced waste, and enhanced productivity. Employees become more aware of the workspace, contributing to a streamlined workflow and improved operational performance .

Q: How can the adoption of in-situ stress models in geomechanics contribute to improved safety and efficiency in industrial applications?

The adoption of in-situ stress models in geomechanics can greatly enhance safety and efficiency in industrial applications by providing detailed insights into subsurface stress distributions. These models help predict potential zones of mechanical failure and optimize fracture treatments in resource extraction. By incorporating site-specific geological and mechanical data, in-situ stress models allow for the design of more effective and safer engineering interventions, thus reducing risks associated with drilling operations and enhancing overall project profitability and sustainability .

Q: What beneficial effects did the enforcement of lockdown due to COVID-19 have on surface water quality globally, according to recent analysis?

The enforcement of lockdowns during COVID-19 had positive effects on surface water quality globally. Studies highlighted that reductions in industrial discharges and reduced human activity led to decreased pollution levels in water bodies. For instance, lake water quality improved due to reduced anthropogenic pressures, indicating a significant environmental benefit during the pandemic lockdowns .

Q: What methodologies have been suggested for predicting COVID-19 case occurrences, and what factors are considered crucial in these predictions?

Predictive methodologies for COVID-19 case occurrences involve mathematical and computational modeling approaches, which often consider factors such as viral transmission rates, social behavior, intervention measures (like lockdowns), and environmental variables. Simple models use growth trends to predict future cases, while more complex ones integrate epidemiological data to simulate outcomes. Environmental factors, such as weather conditions, were also found to influence viral spread, making them crucial for accurate predictions .

The document is a compilation of proceedings from the 1st National Conference on Sustainable Management of Environment and Natural Resources, focusing on advances in environmental engineering and management. It includes contributions from various scholars and experts discussing topics related to sustainability, natural resource management, and the impact of technology on environmental issues. The publication aims to provide the research community with authoritative reports on developments in environmental and earth sciences.

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Advances in Environment Engineering

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Springer Proceedings in Earth and Environmental Sciences

Nihal Anwar Siddiqui

Kanchan Deoli Bahukhandi
S. M. Tauseef
Nirmala Koranga Editors

Series Editors
Natalia S. Bezaeva, The Moscow Area, Russia
Heloisa Helena Gomes Coe, Niterói RJ Brazil, Brazil
Muhammad Farrakh Nawaz, Department of Forestry and Range Management,
University of Agriculture, Faisalabad, Pakistan
The series Springer Proceedings in Earth and Environmental Sciences publishes
proceedings from scholarly meetings and workshops on all topics related to
Environmental and Earth Sciences and related sciences. This series constitutes a
comprehensive up-to-date source of reference on a field or subfield of relevance in
Earth and Environmental Sciences. In addition to an overall evaluation of the
interest, scientific quality, and timeliness of each proposal at the hands of the
publisher, individual contributions are all refereed to the high quality standards of
leading journals in the field. Thus, this series provides the research community with
well-edited, authoritative reports on developments in the most exciting areas of
environmental sciences, earth sciences and related fields.

More information about this series at [Link]

Nihal Anwar Siddiqui ·
Kanchan Deoli Bahukhandi · S. M. Tauseef ·
Nirmala Koranga
Editors

Advances in Environment
Engineering
and Management
Proceedings of the 1st National Conference
on Sustainable Management of Environment
and Natural Resource Through Innovation
in Science and Technology
Editors
Nihal Anwar Siddiqui Kanchan Deoli Bahukhandi
University of Petroleum and Energy Studies University of Petroleum and Energy Studies
Dehradun, India Dehradun, India

S. M. Tauseef Nirmala Koranga

University of Petroleum and Energy Studies DBS (PG) College
Dehradun, India Dehradun, India

ISSN 2524-342X ISSN 2524-3438 (electronic)

Springer Proceedings in Earth and Environmental Sciences
ISBN 978-3-030-79064-6 ISBN 978-3-030-79065-3 (eBook)
[Link]

© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature
Switzerland AG 2021
This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether
the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse
of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and
transmission or information storage and retrieval, electronic adaptation, computer software, or by similar
or dissimilar methodology now known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication
does not imply, even in the absence of a specific statement, that such names are exempt from the relevant
protective laws and regulations and therefore free for general use.
The publisher, the authors and the editors are safe to assume that the advice and information in this book
are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or
the editors give a warranty, expressed or implied, with respect to the material contained herein or for any
errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional
claims in published maps and institutional affiliations.

This Springer imprint is published by the registered company Springer Nature Switzerland AG
The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
Preface

The concept of development is a multidimensional one, encompassing the economic,

social, cultural and political aspects of human society. Here, development is seen to
include not only growth, but also welfare improvement for all groups of the popula-
tion. New development strategies must therefore be shaped by the following compo-
nents: the satisfaction of basic human requirements; the eradication of poverty; self-
reliant and participatory development; and environmental consciousness. The envi-
ronmental resources of water, soil, plant and animal life constitute the natural capital
on which development itself must be based. At the same time, it is through the devel-
opment process that humans interact with and affect the natural environment. Thus,
environment cannot be seen in isolation from other factors which affect the devel-
opment process. It must be seen and dealt with in relation to population, its growth,
its distribution and its employment, natural resources, their availability, exploitation
and use. The development and deployment of technologies are major and interacting
elements within the large framework of development.
Society needs to adapt in order to provide the wealth that an increasing part of
the world population is getting used to. We are on a track to ecological and resource
collapse if actions are not taken soon. The environmental degradation is happening
at a very high rate due to over exploitation of natural resource and environmental
pollution. In order to save our environment, there is an urgent need to implement
sustainable development in all dimension of environment. Technology will have to
play a key role in the process of changing industrial society. But innovation has
to be embedded in social and organizational innovation. We need sociotechnical
change. Environmentally conscious design has been practiced in engineering design
for more than a decade. Its merits are sometimes blamed as futile, as the world has not
witnessed a significant contribution to the solution of the larger (global) problems.
Through this publication, the reader can update himself/herself with the advances
in environmental science and management. This book provides a wide range of
research article in the area of science and technology, sustainability, natural resource
management, ecology and its environmental fields, geosciences and geology, atmo-
spheric sciences, sustainability, climate change and extreme weather, global warming
and environmental change, effect of climate change on ecosystem, environment and
pollution.
v
vi Preface

This volume presents select papers on advances in environmental engineering and

management which were presented at the Ist National Conference on Sustainable
Management of Environment and Natural Resource through Innovation in science
and technology in the field of Natural resource management, sustainability and envi-
ronment, allied sciences and engineering (SMTST 2020), August 7 and 8, 2020, orga-
nized in collaboration with DBS (PG) College and funded by Uttarakhand Council
of Science and Technology (DST) at UPES. The conference was attended by leading
academic scientists, leading engineers, policy makers, budding scholars and graduate
students.

Kanchan Deoli Bahukhandi

Convener, SMTST 2020
Dehradun, India
Acknowledgements

This volume has benefitted from contributions from participants at the Ist National
Conference on Sustainable Management of Environment and Natural Resource
through Innovation in Science and Technology, SMTST 2020, August 07–08, 2020,
organized in collaboration with DBS (PGO College, H. N. B. Garhwal University
and supported by funded by Uttarakhand Council of Science and Technology (DST)
at UPES.
We thank Dr. S. J. Chopra (Hon’ble Chancellor, UPES) and Prof. Dr. Sunil Rai
(Vice Chancellor, UPES), for their support and encouragement. We are grateful to
the Chief Guests for SMTST 2020, Dr. Vandna Shiva, eminent Indian scholar, envi-
ronmental activist, food sovereignty advocate and anti-globalization author presided
the conference as the chief guest.
Conference witnessed five keynote address by eminent researchers in the
country—Dr. Sushree Swarupa Tripathy, Principal Scientist, National Physical Labo-
ratory, New Delhi; Dr. Suresh Jain, Associate Professor, Department of Civil Engi-
neering, IIT Tirupati; Dr. Virender Sethi, Professor, IIT Bombay; Dr. Vir Singh,
Professor, G. B. Pant University; and Dr. Nitin Endlay, Senior Scientist, CPPRI,
Saharanpur—on various aspects of sustainable development.
The organizers of SMTST 2020 wish to thank all the reviewers for their valuable
time and comments on the quality of the papers.
We acknowledge the support of our sponsors Uttarakhand Council of Science and
Technology (UCOST).
We also thank the chairs and members of various committees as under:

Steering Committee

Chief Patron

Dr. S. J. Chopra, Chancellor, UPES, Dehradun (India)

vii
viii Acknowledgements

Patron

Dr. Sunil Rai, Vice Chancellor, UPES, Dehradun (India)

General Chairs

Dr. Kamal Bansal, Dean, School of Engineering (SoE), UPES, Dehradun (India)
Dr. Jitendra Pandey, Head, R&D, UPES, Dehradun

Program Chair

Dr. Nihal Anwar Siddiqi, Programme Director Civil and HSE Engineering, UPES

Organizing Chairs

Dr. S. M. Tauseef, Professor and Head, HSE and Civil Engineering, UPES
Dr. Kanchan Deoli Bahukhandi, Assistant Professor, HSE and Civil Engineering,
UPES

Publicity Chairs

Dr. Kanchan Deoli Bahukhandi, Assistant Professor (SG), HSE and Civil Engi-
neering, UPES
Dr. Shefali Arora, Assistant Professor, Chemistry Department, UPES
Dr. Mamta Latwal, Assistant Professor, Chemistry Department, UPES

Public Relation Chairs

Dr. Jitendra Kumar Pandey, Head (R&D), UPES

Prof. P. Mondal, Assistant Professor (SG), HSE, UPES
Prof. Akshi Singh, Assistant Professor (SS), HSE, UPES
Acknowledgements ix

Session Management Chairs

Mr. Abhishek Nandan, Assistant Professor (SS), HSE, UPES

Prof. P. Mondal, Assistant Professor (SG), HSE, UPES
Dr. Shefali Arora, Assistant Professor (SG), HSE, UPES
Dr. Shilpi Aggrawal, Assistant Professor (SG), Chemistry Department, UPES
Dr. Masehswar Pathak, Assistant Professor (SG), Maths, UPES
Mr. Aksi Kuwar Singh, Assistant Professor (SS), HSE and Civil Engineering
Department, UPES
Mr. Arun P. A., Assistant Professor (SS), HSE and Civil Engineering Department,
UPES
Dr. Paritosh Singh, Assistant Professor, DBS (PG) College, Dehradun

Organizing Committee

Conveners

Dr. Kanchan Deoli Bahukhandi, Assistant Professor (SG), HSE and Civil Engi-
neering Department
Dr. Nirmala Koranga, Assistant Professor (SG), Department of Botany, DBS (PG)
College

Co–conveners

Dr. Madhuben Sharma, Assistant Professor, HSE and Civil Engineering Department,
UPES
Dr. Anupma Tripathi, Assistant Professor, DBS (PG) College

Organizing Secretaries

Dr. Shilpi Agarwal, Assistant Professor, UPES

Dr. Shefali Arora, Chemistry Department, UPES
Dr. Paritosh Singh, Assistant Professor, DBS (PG)
x Acknowledgements

Finance Committee

Mr. Venkat Krishankant, Assistant Professor (SS), HSE and Civil Engineering
Department, UPES
Mr. Survinder, Assistant Professor (SS), HSE and Civil Engineering Department,
UPES
Ms. Tabbasum Abbasi, Assistant Professor, HSE and Civil Engineering Department,
UPES

Advisory committee

Dr. Pankaj Kumar Sharma, UPES

Dr. D. K. Gupta, UPES
Dr. Manish Prateek, UPES
Dr. Sanjeev Kumar, UPES
Dr. Shailey Singhal, UPES
Dr. Piyush Kuchhal, UPES
Dr. Vijay Raj, UPES
Dr. Sunil Kumar Khare, UPES
Dr. Ajay Kumar, UPES
Dr. Bhawna Yadav Lamba, UPES
Dr. Shyam Pandey, UPES
Dr. Ajay Mittal, UPES
Dr. Sunil Kumar Khare, UPES
Dr. P. Vijay, UPES
Dr. Santosh Dubey, UPES
Dr. Ashutosh Mishra, UCOST
Dr. Anita Rawat, FRI

Technical Committee

Mr. Abhishek Nandan, UPES

Dr. Mukesh Kumar Dubey, UPES
Dr. Madhu Sharma, UPES
Dr. Bikarama Prasad Yadav, UPES
Dr. Harsingra Patel, UPES
Dr. Mukesh Singhal, UPES
Dr. Gagan Anand, UPES
Dr. Rajeeve Gupta, UPES
Dr. Pankaj Mishra, UPES
Acknowledgements xi

Dr. Maheshwar Pathak, UPES

Dr. Sanjeev Kumar Dubey, UPES
Dr. Ravi Tomar, UPES
Dr. Hitesh Kumar Sharma, UPES
Mr. Prasenjit Mondal, UPES
Mr. Anand Kumar Singh, UPES
Dr. S. K. Joshi, UPES
Dr. Prashant Shambhudayal, UPES
Dr. Shalini Vohra, UPES
Dr. Nirlipta Priyadarshini Nayak, UPES
Dr. Sudhir Kumar Chaturvedi, UPES

Organizing Committee

Mr. Abhishek Nandan, UPES

Mr. Mopidevi Vijai Kishore, UPES
Mr. Akshi Kunwar Singh, UPES
Mr. Arun P. A., UPES
Mr. Surender, UPES
Mr. Ankur Chaudhary, UPES
Venkat Krishnakanth V., UPES
Susanta Kumar Sethy, UPES
Mr. A. N. Shankar, UPES
Mr. Durga Prasad Pandey, UPES
Mr. Rahul Silori, UPES
Ms. Tabbasum Abbasi, UPES
Dr. Nishu Goyal Bansal, UPES
Dr. Annapurna Boruah, UPES
Ms. P. Rose, UPES
Ms. Leena Kapoor, UPES
Ms. Shweta Sachdeva, UPES
Dr. Sapna Jain, UPES
Dr. Pratibha Pathak, UPES
Mamta Latwal, UPES
Dr. Rishi Dewan
Dr. Manjeet Singh Goyat, UPES
Contents

Water Quality Assessment of Streams of Doon Valley Dehradun,

Uttarakhand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Deepali Rana, S. K. Gupta, and Rahul Rana
Synthesis and Medicinal Importance of Benzoxazine,
Benzoxazinone and Their Derivatives: A Short Review . . . . . . . . . . . . . . . . 13
Manisha Singhal and Vinay Prabha Sharma
A Review on Onshore Drilling for Oil and Gas Production with Its
Safety Barriers and Well Control Methods . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Aarushi, Akshi Kunwar Singh, and V. Venkata Krishnakanth
Cultivating Effectiveness and Efficiency Using 5S Methodology . . . . . . . . 41
Abhishek Nandan, Ankita Sharma, K. Praveen Kumar,
Akshi K. Singh, and N. A. Siddiqui
COVID19: Impact on Environmental Parameters During
the Lockdown Period in India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
V. Balaji Venkateswaran and Devender K. Saini
Impact of Lockdown Due to COVID 19 Pandemic on Air Quality
of Global Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Madhav Saket, Kanchan Deoli Bahukhandi, Siddiqui Nihal Anwar,
Koranga Nirmala, Agrawal Shilpi, Singhal Shailey, and Vohra Shalini
Stress Condition Modeling to Optimize Mud Weight Window
for Efficient Drilling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
Dharmendra Kumar Gupta, Kamal Chandra Dani, and Pushpa Sharma
COVID-19 Fallout: India, Power Sector and Lockdown . . . . . . . . . . . . . . . 91
Deepali Yadav and V. Balaji Venkateswaran
Assessing the Impact of Novel Coronavirus (COVID-19)
on Renewable Energy Sector of India During the Lockdown . . . . . . . . . . . 103
Deepali Yadav and V. Balaji Venkateswaran

xiii
xiv Contents

Study of the Ecological Effect of Bismuth Layered Structured

Ferroelectric Materials Over Lead Zirconate Titanate . . . . . . . . . . . . . . . . 111
Gagan Anand
Convalescent the Ecosystem by Enhancing the Life Cycle
of Lubricants with Blended Nano Oxides . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
Harsh Gupta, Santosh Kumar Rai, Nippaani Satya Krishna,
and Gagan Anand
Traditional and Modern Agricultural Implements Used in Agro
Sciences – A Case Study in the Part of National Capital Region
of Uttar Pradesh, India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
Ganesh Datt Bhatt, Mahesh Singh, Archna Bharti, and Deepali Rana
Synthesis, Characterization and Evaluation of Iron-Molybdenum
Oxide Catalyst for the Hydrothermal Liquefaction of Wastewater
to Bio-oil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
Bhavish Kumar Reddy Koteru, B. Praveen Kumar,
and Gopalakrishnan Govindasamy
Synthesis, Characterization and Biological Aspects of Novel Indole
Derivatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
Indu Singh and Sanjeev Kumar Bhatt
A Review of Challenges and Safety Measures in Petroleum
Industry During COVID-19 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
Siddharth Sharma, Surajbhan Singh, Kanchan Deoli Bahukhandi,
and S. M. Tauseef
Sustainable City Planning Strategy Review for Next-Level
Technology, Earthquake-Resistant Buildings, Dehradun City . . . . . . . . . . 197
Geetanjli Rani, P. A. Arun, Nitty Ann Abraham, Shariq Ansari,
and Umar Muktar
Investigation of Energy Generation on Large Rotary Wing
Unmanned Aerial Vehicle’s Propeller Using Coupled Engineering
Approaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
K. Naveen Kumar, S. Meenakshi, K. Deviparameswari, R. Vaidegi,
R. Nandhagopal, M. Ramesh, and R. Vijayanandh
Beneficiation Study of Barsuan Iron Ore Slime to Produce Pellet
Grade Concentrate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225
Nirlipta Nayak
Effect of Different Temperature on Host Susceptibility
to SMV-Mild and SMV-Severe Isolates of Soybean (Glycine Max) . . . . . . 231
Nirmala Koranga and Kanchan Deoli Bahukhandi
Contents xv

Development of a Conceptual Safety Culture Framework

to Enhance Workplace Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237
Rishi Diwan, Yusuf Faizan, and Sandesh Mishra
Implementation of Total Quality Management in Construction
Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
Rishi Dewan, Ayush S. Patel, and Md. Obaid Kuraishy
Study on Effective Management of Total Suspended Particulate
Matter Generated at a High-Rise Building Construction Site . . . . . . . . . . 267
S. Sanjay, P. A. Arun, and N. A. Siddiqui
Women Empowerment and Sustainable Development
in Uttarakhand: Challenges and Strategies—A Case Study
of Selected Villages of Dehradun . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281
Shalini Vohra and Kanchan Deoli Bahukhandi
Varietal Reaction on the Cultivars of Cucurbita pepo Against Two
Different Isolates of Pumpkin Mosaic Virus . . . . . . . . . . . . . . . . . . . . . . . . . . 289
Shivani Jasrotia and Nirmala Koranga
A New Method for Estimation of Staircase Evacuation Time
in High Rise Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297
Suvek Salankar, S. M. Tauseef, and R. K. Sharma
Study of Carbon Emission During Taxi-Out Operation
at International Airport, India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
Totakura Bangar Raju, Sheetal Khanka, Arun Kumar Jagadeesan,
and Ashwani Khanna
Healthcare Sustainability Through Technological Innovations . . . . . . . . . 341
Ruchi Mehrotra and Kishor Joshi
Analysis by Benchmarking the Criteria of GRIHA in Performance
Assessment of Green Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 351
Jaideep Saraswat, Mainak Mukherjee, Nikhil Mall, and Surajit Mondal
Dependence of Physiochemical Features on Marine Chlorophyll
Analysis with Learning Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361
Subhrangshu Adhikary, Sudhir Kumar Chaturvedi, Saikat Banerjee,
and Sourav Basu
COVID-19 Spreading Prediction and Impact Analysis by Using
Artificial Intelligence for Sustainable Global Health Assessment . . . . . . . 375
Subhrangshu Adhikary, Sonam Chaturvedi, Sudhir Kumar Chaturvedi,
and Saikat Banerjee
xvi Contents

Smart Mucoadhesive Bio-flexy Film Former from Pulp

of Magnifera indica and Its In-Built Properties for Pharmaceutical
Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387
Sugandha Varshney and N. V. Satheesh Madhav
Varietal Evaluation in Okra for Yield and Yield Attributing Traits
Under Mid-Hill Conditions of Garhwal Himalayas . . . . . . . . . . . . . . . . . . . 413
Udit Joshi, D. K. Rana, T. S. Bisht, and Vivek Singh
Population Assessment and Phyto-chemical Screening
of Meconopsis aculeata Royle an Endangered Medicinal Plant
of Western Himalaya . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429
Vandana Shukla, Ankit Singh, and A. R. Nautiyal
Multi-disciplinary Analyses on Hydro Rotor Using Computational
Hydrodynamic Simulation (CHS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 445
R. Vigneshwaran, B. Surya, S. Tharani Tharan, M. Senthil Kumar,
M. Ramesh, and R. Vijayanandh
Sand-Gravel Mining as a Threat to Macro-benthic Assemblage
and Habitat Parameters: A Case Study of River Ganga, India . . . . . . . . . 463
Nitin Kamboj and Vishal Kamboj
Organizational Safety Perception Survey—A Tool to Identify
and Correct Organizational Contributors for Industrial Accidents . . . . . 477
N. N. Pisharody, Kanchan Deoli Bahukhandi, Prashant S. Rawat,
and R. K. Elangovan
Comparative Assessment of Performance and Emission
Characteristics of DI Diesel Engine Fueled with Combined
Blending of Biodiesel, Butanol and Conventional Diesel . . . . . . . . . . . . . . . 495
Shashank Pal, S. M. Tauseef, J. K. Pandey, Amit Kumar Sharma,
Sunil Kumar Tiwari, Tapas Goswami, and Tijendra Kumar
Water Quality Assessment of Streams
of Doon Valley Dehradun, Uttarakhand

Deepali Rana, S. K. Gupta, and Rahul Rana

Abstract Water quality of any stream depends on a variety of physico-chemical

parameters. The present study was conducted to assess the water quality of various
streams in Eastern and Western Doon. It was carried out on two river systems
comprising of five main rivers—Baldi, Song, Suswa, Tons and Asan. Sampling was
done regularly at 20 sampling stations established along these rivers. 15 physical and
chemical parameters like depth, width, water velocity, air temperature, water temper-
ature, dissolved oxygen, carbon dioxide, pH, turbidity, alkalinity, hardness, BOD,
nitrate, phosphate and total dissolved solids were analyzed. The study reveals that
the magnitude of different parameters is related to the climatic conditions, seasons
and river discharge. The interplay of these parameters determines the water quality
of the streams. The fluctuation pattern all through 3 different seasons reflected an
increment pattern from summer to rainy in the parameters like depth, width, water
velocity, CO2 , turbidity and TDS. The declining trend in the values of the aforesaid
parameters was noticed beyond rainy months. From rainy to winters, an increment
in values was noticed in DO, pH, hardness, alkalinity, BOD, nitrate and phosphate.
The parameters which showed increment in values from winters to summers include
AT, WT, CO2 . Width, depth and WV have been the chief physical factors with wide
range of variations. BOD, Hardness, NO3 − , TDS, DO and CO2 values seemed more
important from the quality of water chemistry point of view. Seasonal variation in
physical and chemical parameters have also been observed.

Keywords Water quality · Doon Valley · Physico-chemical parameters · Eastern

and Western Doon

D. Rana (B)
Department of Zoology, Dolphin (P.G.) Institute of Biomedical and Natural Sciences, Dehradun,
Uttarakhand, India
S. K. Gupta · R. Rana
D. B. S. (PG) College, Dehradun, Uttarakhand 248001, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 1

N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
2 D. Rana et al.

1 Introduction

The water quality of any aquatic ecosystem, whether lentic or lotic has a direct
bearing upon the welfare of fish and other aquatic life (plankton/plants/micro- or
macroinvertebrates etc.), which are vital links in the food chain of fishes. Therefore,
these and related aspects have been the subject of study for various workers abroad
and in different regions of Indian subcontinent.
After the pioneering works of F.A. Forel [vide1] on the ecology of lakes, the time
gone by has witnessed a striking growth of limnological accomplishments outside
India, particularly in America. In this regard a mention may be made of important
contributions on limnology, including a number of researches done in theis field, viz.,
[1–9]. Besides, the researches, which deal with various aspects of riverine ecology,
are of [10–26] etc.
In India, much progress has been made on freshwater ecology after 1950 when
various ecological studies were carried out on different rivers in various parts of
country. Special mention may be made here of the works done on North Indian
rivers viz., [27–30] etc. Few more surveys on different sections of the rivers were
conducted in order to assess the extent of damage caused to fish and other animal
communities due to pollution conditions. The water quality analysis and factors
controlling water chemistry of Doon valley has been carried out by [31–41].
It is an established fact that to keep the aquatic habitat congenial for existence of
fish and other biota, physical and chemical parameters of water exercise their influ-
ence individually or synergistically. Therefore, a comparative judgement of water
quality parameters at various stations in Eastern and Western Doon was undertaken
in the present endeavour with a view to work out the annual fluctuation regime in
water quality parameters and to estimate their impact on the fish fauna dwelling
therein.

2 Material and Methods

Doon Valley is part of district Dehradun (Latitude—29° 58 and 30° 32 N and Longi-
tude—77° 35 and 78° 20 E) comprises of 2 main river system, namely, the Ganga
river system and the Yamuna river system. The present enterprise was accomplished
on these two river systems which comprises of five main rivers—Baldi, Song, Suswa
in the East and Tons and Asan in the West. Sampling was regularly done for a period
of 2 years at the 20 sampling stations established along the rivers mentioned above.
The parameters taken into consideration were Depth, Width, Water Velocity, Air
Temperature, Water Temperature, Dissolved Oxygen, Carbon dioxide, pH, Turbidity,
Alkalinity, Hardness, BOD, Nitrate, Phosphate and Total Dissolved Solids.
The estimation of physical and chemical parameters (Air Temperature, Water
Temperature, Dissolved Oxygen, Carbon dioxide and pH), were analyzed in the
field by taking the help of field water and soil analysis kit. Also, parameters which
Water Quality Assessment of Streams of Doon Valley … 3

could not be analyzed in the field (like Hardness (Calcium + Magnesium), Alkalinity
(as bicarbonates), Turbidity, Biological Oxygen Demand, Nitrates as total nitrogen,
Phosphates as total phosphorous and Total Dissolved Solids) were analyzed in the
laboratory by following standard protocol [42].
Concurrently, the water samples were also submitted to the Central labora-
tory of Central Soil and Water Conservation Research and Training Institute
(CSWCRTI), Dehradun and Central Pollution Control Board (CPCB), Dehradun
for data verification analyzed in the field/laboratory before reaching to any final
result (Fig. 1).

3 Results and Discussion

The study of water quality parameters of the streams of Doon Valley reveals that
the magnitude of different parameters is certainly related to the climatic conditions,
season and river discharge. The interplay of these parameters determines the water
quality of the rivers.
The range values (minimum and maximum) along with the values of mean
and standard deviation of all the parameters during the study period have been
incorporated in Table 1.
The pattern of fluctuation all through 3 different seasons in streams of Eastern
and Western Doon reflected an increment pattern from summer to rainy (Figs. 2, 3
and 4) in the parameters like depth, width, water velocity, CO2 , turbidity and TDS.
The declining trend in the values of the aforesaid parameters was noticed beyond
rainy months. From rainy to winters, the increment in values was noticed in DO, pH,
hardness, alkalinity, BOD, nitrate and phosphate (Figs. 2, 3 and 4).
The parameters which showed increment in values from winters to summers
include AT, WT, CO2 (Figs. 2, 3 and 4).
The present findings, definitely, needed to be evaluated in the light of earlier
observations on physico—chemical parameters of various streams of Doon valley.
It is worth emphasizing that a variety of objectives were involved with these earlier
works e.g., [43–47] have evaluated water quality of river Song. Sharma and Mishra
[48] studied seasonal variations in water quality of river Ganga around Hardwar
including Song and Suswa. Ecological study of river Suswa was taken up [49]
whereas Mothronwala swamp part of Suswa river was also studied [50].
The physico—chemical parameters have also been worked out for Tons river in
the West with reference to macroinvertebrate density and diversity [51]. The water
quality parameters with their seasonal trend for Asan river have been given [52] in
the West.
A comparison of the seasonal trend recorded in the present observation with the
earlier observations have revealed similar increasing and decreasing trend based on
the fundamentals of climate, geography and geology of tropical regions in general
and Western Himalayan region [53–57] in particular, barring differences in the values
recorded.
4 D. Rana et al.

Fig. 1 Study area showing the sampling stretches on various streams in Eastern and Western Doon
Valley
Water Quality Assessment of Streams of Doon Valley … 5

Table 1 Water quality of Doon Valley

S. No. Water quality Minimum Maximum Mean Standard deviation
parameters
1 Depth (m) 0.09 2.55 1.184 0.609
2 Width (m) 4.89 49.3 22.51 10.88
3 Air temperature (°C) 17.0 35.0 25.68 2.915
4 Water temperature (°C) 13.2 25.0 17.52 2.11
5 Water velocity (m/s) 0.3 2.21 1.06 0.52
6 Dissolved oxygen 4.4 10.4 7.5 1.4
(mg/L)
7 Carbon dioxide (mg/L) 0.89 4.57 2.15 1.19
8 pH 6.29 8.49 7.21 0.37
9 Hardness (mg/L) 61.50 1450 316.749 233.56
10 Alkalinity (mg/L) 44.80 322.0 150.52 63.09
11 Turbidity (JTU) 2.0 811.0 159.0 253.0
12 BOD (ppm) 0.11 34.8 3.18 6.155
13 Nitrate (ppm) 0.10 7.84 3.778 1.944
14 Phosphate (ppm) 0.0039 0.71 0.196 0.1649
15 Total dissolved solids 236.736 1243.32 410.684 207.692
(ppm)

No earlier work related to various streams of Doon valley has given the account
of width and depth variations except [58] who have given the depth and width values
for Song river without mentioning the seasonal variations.
A comparison of water quality parameters of Eastern and Western Doon had led
to few conclusions which are worth mentioning. Firstly, the depth was found to be
more in the streams of Eastern Doon as compared to Western Doon (Figs. 2, 3 and
4) because of the fact that most of them are perennial and hold water for most part
of the year as compared to Tons and Asan of Western Doon where most sections
(S16 , S17 ) remain dried—up for most part of the year. The fluctuations in the depth
are governed by width which was also more in most downstream section parts of
Baldi (S2 ), Song (S7 , S8 ) and Suswa (S11 , S12 ). Depth and width have been found to
affect not only the other water quality parameters but also density and richness of
fish species.
Secondly, as for hardness, the values for the streams of Eastern Doon were higher
than those of Western Doon (Figs. 2, 3 and 4). River Baldi needs a special mention
which recorded the highest values as compared to other streams of East or West viz.,
Song, Suswa, Tons and Asan. [59, 60], have given the hardness values for Baldi as 148
and 180–235 mg/L, respectively, quite different from the present observations. The
hardness values for Song were not available for comparison from the earlier works
but those recorded for Suswa were 239.33 ± 7.71 mg/L and 344.0–412.0 mg/L,
6

Fig. 2 Variations in water quality parameters (mean values for 2 years) at different stations during Summers. a Depth, Width, WV, DO, CO2 , BOD, nitrate,
phosphate. b AT, WT, pH, hardness, alkalinity, turbidity, TDS
D. Rana et al.
Water Quality Assessment of Streams of Doon Valley …

Fig. 3 Variations in water quality parameters (mean values for 2 years) at different stations during rainy Season. a Depth, Width, WV, DO, CO2 , BOD, nitrate,
phosphate. b AT, WT, pH, hardness, alkalinity, turbidity, TDS
7
8

Fig. 4 Variations in water quality parameters (mean values for 2 years) at different stations during winters. a Depth, Width, WV, DO, CO2 , BOD, nitrate,
phosphate. b AT, WT, pH, hardness, alkalinity, turbidity, TDS
D. Rana et al.
Water Quality Assessment of Streams of Doon Valley … 9

[49, 50], respectively. Hardness values for the streams of West, similarly were not
available for comparison from the published works mentioned in the foregoing.
Also, Nitrate (total nitrogen) and Phosphate (total phosphrous) values also
appeared higher for the streams of Eastern Doon (values of river Suswa) (Figs. 2, 3
and 4).

4 Conclusion

The present study highlighted the fluctuation pattern of various water quality param-
eters in different seasons and interplay amongst them. Also, the results reflected that
there exists a variation in the overall water quality of Eastern and Western Doon
Valley streams.

Acknowledgements Authors are indebted to Uttarakhand State Council for Science and Tech-
nology, Dehradun (U-COST) for carrying out a Major Research Project. Thanks are due to Zoolog-
ical Survey of India (Northern Regional Station), Dehradun, Forest Research Institute (FRI),
Dehradun and Central Soil and Water Conservation Research and Training Institute (CSWCRTI),
Dehradun for providing library facilities. Thanks to DBS (PG) College, Dehradun for providing
necessary resources. Special thanks are due to Laboratory staff at CSWCRTI, Dehradun for carrying
out sample analyses.

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Synthesis and Medicinal Importance
of Benzoxazine, Benzoxazinone
and Their Derivatives: A Short Review

Manisha Singhal and Vinay Prabha Sharma

Abstract The research in the pharmacology and medicine is in various ways

related with synthesis of medicinally important new compounds. The structural basic
skeleton of many drugs and compounds with biological activity contains heterocyclic
ring with oxygen, nitrogen and sulphur. Benzoxazin, benzoxazinone and many other
compounds having these skeleton are heterocyclic and are of great medicinal impor-
tance. The synthesis of benzoxazine, benzoxazinone and their derivatives has been
able to draw attention of researchers due to their various medicinal uses and phys-
iological activities. Chemically benzoxazine is a heterocyclic compound. It has an
oxazine ring fused with a benzene ring. Oxazine ring is a six membered heterocyclic
ring with oxygen and nitrogen atom. Benzoxazine and benzoxazinone are reported to
exhibit many useful pharmacological properties including anti-inflammatory, anal-
gesic, antifungal, neuroprotective, and antibacterial activities etc. This review is an
attempt to throw some light on synthesis and biological activities of benzoxazines,
benzoxazinones and their derivatives. This review motivates researchers to synthe-
size newer benzoxazine derivatives that can be found to be better drug than already
available with lesser toxicity.

Keyword Benzoxazine · Anti-inflammatory · Analgesic · Antifungal ·

Antibacterial

M. Singhal (B)
Department of Chemistry, RGPG College, Meerut, India
V. P. Sharma
Department of Chemistry, Meerut College, Meerut, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 13

N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
14 M. Singhal and V. P. Sharma

1 Introduction

Although there are a wide variety of antibiotics available that are used commercially
as medicines, but synthesis of new compounds is always of great use due to increasing
drug resistance. Heterocyclic compounds having nitrogen, oxygen or sulphur possess
numerous biological activities.
In past few decades a number of benzo[1,4]oxazin -3-one 1a and its isomer
1b and many other compounds having these systems have been emerged out as
compounds of high medicinal values. Like benzoxazinyl-3-chromones 2 have been
found to be antimicrobial [1]. 3,1-benzoxazine are inhibitors of interleukin-1 that
exhibits a number of immune and anti-inflammatory action [2]. Other activities of
benzoxazine have also been reported [3]. Benzo[3,1-] oxazin-4-ones are used as
starting compound for the synthesis of fused heterocycles like quinazolin-4-one 3
[4, 5]. Many benzo[1,4]oxazin-3(4H)-one 1a derivatives including a compound with
cardiotonic activity 4 [6], anticancer activity 5 [7], antiparasitic activity 6 [8], antibac-
terial activity 7 [9], antianxiety activity 8 [10] have been synthesized and screened
for their activities in past few years.

O
O

N O
H
O O
1a 1b
O

NH O

Benzoxazine and its biologically active derivatives

Synthesis and Medicinal Importance of Benzoxazine, Benzoxazinone … 15

o O Me

N O
N
H N
N

H N O
3 H

4
N

O
O

N SCN N O
N O H
H

5 6
S
O

F COOH

N N

N O
Me Me
7

O N CH2

O O

O N

Me
H N
8

Benzoxazine and its biologically active derivatives

Similarly many 1,3-benzoxazines and 1,3-benzoxazinones have been found to

play a very important role in various biological activities. A number of benzo[1.3]
oxazine derivatives were found to show anti-inflammatory [11], analgesic [11], anti-
fungal [12, 13] and antibacterial activity [14, 15]. A number of benzoxazinone deriva-
tives were synthesized and were found to possess analgesic [16], antimicrobial [17,
18], antibacterial, antifungal [19–22], antiplatelet aggregation activity [23], hypnotic
activities [24–26] etc.
In this paper a review of synthesis and medicinal values of various benzoxazine,
benzoxazinone and their derivatives have been given.
16 M. Singhal and V. P. Sharma

2 Medicinal Value of Benzoxazines, Benzoxazinones

and Their Derivatives

Various benzoxazine and benzoxazinone derivatives were reviewed for their medic-
inal activities. Some 1,4 benzoxazine imidazole derivatives 9 were synthesized by
Fringuelli et al. [27] and were examined by their antifungal activity. These 1,4 benzox-
azine derivatives showed immuno modulating activity and invivo activity against a
murine experimental model of candidiasis.

N O
N
N
CH3
R
R=-OH,-C6H4Cl
9

Ozden et al. [28] have synthesized few 4-hydroxy-2 H- benzo[1,4]oxazine-3 (4H)

-ones 10. Antimicrobial activities of these compounds were tested against E. coli, S.
aureus and C. albicans. Benzoxazine rings with long alkyl chain on 2-position were
found to have good antifungal activity.

O R'

O R=-Cl,-F,-OCH3
R'=-CH3,-C2H5
OH 10

Zamani et al. [29] synthesized a new class of benzo[b][1,4]oxazin 3(4H)-one

derivatives 11 by introducing different alkyl or aryl substituents at N-Position. Anti-
fungal as well as cytotoxic activities of these compounds were examined against some
standard strains of Candida dubliniensis (ATCC 8500) Candida ablicans (ATCC
10261) Candida krusei (ATCC 6258) Candida parapsilosis (ATCC 4344) Candida
tripcalis (ATCC 750). These were found to show medium to good activity.
Synthesis and Medicinal Importance of Benzoxazine, Benzoxazinone … 17

R N

R=H or Cl
R'=alkyl or aryl halide
O O
11

Waisser et al. [30] synthesized a series of 6-chloro-3-phenyl-4-thioxo-

2H-Benzo[1,3]oxazine-2 (3H)-ones and a series of 6-chloro-3-phenyl-2H-
benzo[1,3]oxazine-2,4 (3H)-diones 12. These compounds were then tested for their
in vitro activity against M. kansasil, M. tuberculosis and M. avium.

O X

N
X=O,S
Cl
R=H,CH3,Cl
R
12
S

Varshney et al. [31] synthesized 1,3-benzoxazine-4-one derivatives substituted

with fatty acids residue 13 and tested these compounds against gram positive (Staphy-
lococcus aureus SA 22, Bacillus subtillis MTCC 121) gram negative (Esherichia coli
K 12 Klebsiella pneumonial) and fungal strains (Candida albicans IOA-109). These
compounds were found to show moderate antibacterial and antifungal activity.
Patil et al. [32] synthesized many Benzoxazine derivatives 14 in excellent yields at
ambient temperature in PEG in solvent free conditions. They tested these compounds
for antifungal and antibacterial activity against Trichothecium, Rhizopus, E. coli and
S. auresis. It was found that presence of chloro and nitro gp decreases the antibacterial
activity of benzoxazines but increases antifungal activity of these compounds.

H
N R R N O O

O
O
O

O R=-Cl,-NO2,-CH3,-H
13 14
18 M. Singhal and V. P. Sharma

Eissa et al. [33] synthesized 6-iodo-2 methyl-4H-3,1-Benzoxazine-4-one 15 and

tested their antimicrobial activity against gram positive bacteria (Bacillus megatho-
rium) and gram negative bacteria (E. coli) and some fungi. Gilmore et al. [34] synthe-
sized a series of 2-aryl-4H-benzo[1,3]oxazin-4-ones 16 and tested these compounds
for their inhibitory action against C1r serine protease.

O
O
I

O
O
X=H,-CH3
X R=Ph
N CH3
15
N R 16

Hasieh et al. [35] synthesized a series of benzoxazinones having substitutions at

2-positions 17 and showed their proper effect to antihuman corona virus.

N
H R=Br,Cl,F
R
OCH3
17

Dong et al. [36] discovered a new benzoxazine 6-amino-2, 3- dihydro-3-

hydroxymethyl-1, 4-benzoxazine. It was found that this compound can improve
proliferation of human umblical vein endothelial cells.
Benzoxazine -3-indole alkyl amine 18 and Benzoxazine -3-indole tetrahydro pyri-
dine analogs 19 were synthesized by Zhou et al. [37]. They showed that benzoxazine
system is utilised to embrace 5HT1A pharmacophore along with the SSRI and 5HT1A
receptor activities. Most of compounds of this category were examined to function
as 5HT1A receptor agonists.
Synthesis and Medicinal Importance of Benzoxazine, Benzoxazinone … 19

N R3

R1
H
N CH2
O n

R1,R2,R3 = -H, -OCH3, -Cl

18 N
H

R1
N
O

R1= -H,-OCH3;R2=-H,-CH3,-C2H5
R3=-H,-F
19

3 Various Synthetic Routes of Benzoxazine, Benzoxazinone

and Their Derivatives

Shridhar et al. [38] reported a method which was very condusive for the
synthesis of benzo[1,4]oxazinone 1a. It involves the reaction of ortho-aminophenol
with chloroethanoyl chloride by refluxing in the presence of NaHCO3 and
methylisobutylketone (Scheme 1).

NH2
O
OH
Methyl isobutyl ketone
+ ClCH2COCl
NaHCO3
N O
H
1a

Scheme 1 .
20 M. Singhal and V. P. Sharma

In one method 2-aminophenols were reacted with Alpha-bromo-

gama-butyrolactone in DMF to give 2-hydroxyethyl-2,3-dihydro(2H)-
benzo[1,4]oxazinone 20 [39]. Reaction was done at room temperature in the
presence of NaH or K2 CO3 followed by reduction [40] (Scheme 2).
Shridhar et al. [41] reacted ortho aminophenols with maleic anhydride to prepare
benzo[1,4]oxazinones having- CH2 COOR at 2-position 21 in single step (Scheme 3).
Holly and Cope [42] reported the first synthesis of benzoxazine derivative 22
involving Mannich Condensation that involves reaction of HCHO and an amine
having acidic protons. In this method ortho-hydroxy benzylamine was reacted with
HCHO or any other aldehydes using H2 O or benzene as solvent (Scheme 4).

NH2 O
O
OH
Br O
O
O

NH2

O OH

N O
H

Scheme 2 .

NH2

OH O O
O O
COOR

+
N O
H
R=H,Me
21

Scheme 3 .

O NH
NH2
R
+
R R' O
OH R'
22

Scheme 4 .
Synthesis and Medicinal Importance of Benzoxazine, Benzoxazinone … 21

Burke [43] in 1949 proposed a simple method for synthesis of benzoxazine deriva-
tive 23. It was a one pot reaction that involved amine, phenol and formaldehyde in
[Link] molar ratio (Scheme 5) This method was studied for many years since the same
was convenient method as well as there was scope of groups that can be adopted on
benzene ring of benzoxazine by using functional group on phenol e.g. nitro [44]
aldehyde [44, 45] cyano [46] alkynyl [47] carboxyl [48] etc. were introduced on
benzene ring of benzoxazine by using functional phenol.
Burke et al. [49] synthesized hydroquinone based bifunctional benzoxazine 24,
25 from 1,3,5 hexahydrotriazine (Scheme 6).
Bilman and Dorman in 1963 [50] prepared difunctional benzoxazine 26 from bis
(ortho-hydroxybenzylamino) ethane and formaldehyde as shown in Scheme 7. Bis
(orthohydroxybenzyl amine is prepared by the reduction of Schiff’s base obtained
from salicyldehyde and primary amine [51, 52]. This method has an advantage that
various functional groups can be substituted on oxazine ring.

OH O

NH2
+ H H

Scheme 5 .

OH
N O

N N + + H H
HO

O
N

N
O
24

O O

N N

Scheme 6 .
22 M. Singhal and V. P. Sharma

H
N O
N
H
+
H H
HO
O

N
N

26 O

Scheme 7 .

Linda Akerbladh et al. [53] prepared 2-aminobenzo[1,3]oxazin-4-ones from

orthoidophenols by Domino carbonylation cyclization process. In this method
orthoidophenols subjected tocarbonylative coupling with cyanamide Mo(Co)6 in
the presence of pd catalyst followed by an intramolecular spontaneous cyclization
to give 2-amino benzo[1,3]oxazin-4-ones, 27 (Scheme 8).
Gao et al. [54] synthesized N-dichloro acetyl-3,4-dihydro-3-methyl-6-chloro-
2H-benzo[1,4]oxazine from 28. In this method 28 was mixed with toluene and
isopropanol and stirred at 60° C under hydrogen atmosphere for 9 h using Pt/C
as catalyst. The crude product was purified by column chromatography. It was
3,4-dihydro-3-methyl-6-chloro-2H-benzo[1,4]oxazine 29. Compound 29 was then
mixed with Na2 CO3 and benzene and dichloroacetyl chloride was slowly added to
this mixture. Stirring was done for 3 h at 25° C to give N-dichloroacetyl-3,4-dihydro-
3-methyl-6-chloro-2H- benzo[1,4]oxazine 30 (Scheme 9).
Alkhathlon [55] synthesized 4-alkoxy-4-methyl-benzo[1,3]oxazinones
and 4-alkoxy-4-fluoromethylbenzo[1,3]oxazinones from 2-
hydroxyacetophenoneshydrazones 31. Compound 31 on reaction with triphosgene in

R R
I NH2CN
Pd PPh3 N
,Et3N
4

Mo CO 6 ,DBU
OH O NH2

Scheme-8 27

Scheme 8 .
Synthesis and Medicinal Importance of Benzoxazine, Benzoxazinone … 23

O
O
Toluene,isopropanol

Pt/C,H2,55-600C Cl N
NO2 H
Cl 29
O
28
Cl
Cl

Cl N

COCHCl2
30

Scheme 9 .

presence of triethylamine and triphosgene undergo cyclization to give 4-methylene-

benzo[1,3]oxazinones 32 as product (Scheme 10). Compound 32 was refluxed
with ethanol to give 4-alkoxy-4-methyl-benzo[1,3]oxazinones33 (Scheme 11)
and 32 was reacted with 1-chloromethyl-4-fluro-1,4-diazabicyclo[2.2.2] octane
bis(tetrafluoroborate) (F-TEDA-BF4 ) in CH3 CN in the presence of CH3 OH to give
4-alkoxy-4-fluoromethyl-benzo[1,3]oxazinones 34 (Scheme 12).

H 3C
1
R N NH R3

Triphosgene

CH2Cl2,Et3N
31
OH CH2

R2
R1
N NH R3

O O

R2 32

Scheme 10 .
24 M. Singhal and V. P. Sharma

CH2

R1
N NH R3

Ethanol
O O
Heat
R2
32
H3 C OCH2CH3

1
R
N NH R
3

O O
33
R2

Scheme 11 .

CH2

R1
N NH R3

F-TEDA-BF4
O O CH3CN
CH3OH
R2
32 FH2C OCH3

R1
N NH R3

O O

R2 34

Scheme 12 .

4 Conclusion

A big number of derivatives of benzoxazine and benzoxazinones have been synthe-

sised and studied for their biological [Link] can be noticed that various modifica-
tions can be done on benzoxazine and benzoxazinone moieties to develop compounds
of potential biological importance. This review develops an interest to explore many
more new derivatives of this system.
Synthesis and Medicinal Importance of Benzoxazine, Benzoxazinone … 25

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A Review on Onshore Drilling for Oil
and Gas Production with Its Safety
Barriers and Well Control Methods

Aarushi, Akshi Kunwar Singh, and V. Venkata Krishnakanth

Abstract Throughout the world, Oil and gas industries are a highly risky platform
to work in. There is a high risk of injury to personnel engaged in drilling operations
and production of crude oil. During drilling and production of hydrocarbons many
operations occur electrically, manually or through the power system, so the proba-
bility of occurrence of incidents is very high throughout the process. Some incidents
occur in the industries because of unsafe conditions but most of the incidents occur
due to unsafe act, lack of knowledge, lack of attention and experience. If in any
condition all these factors are not the major reason of the incidents so we have to
know what are or could be reasons of incidents in oil and gas industries. So, at the
time of working at rig site everybody should know the reason of any failure or any
unsafe activity could be and after knowing the reason behind of that some serious
precautions and preventive actions or equipment’s should take and available at the
time of working at the rig site. The major accidents at the oil and gas rigs are related
to pressure underbalance and kick or blowout while performing drilling operations.
So, there are some safety barriers that should be available at the rig site during drilling
(Durrant in Safety Management in Drilling Operations, [1]). These safety barriers are
kind of well control equipment to prevent the unintentional flow from the wellbore
and to secure other equipment, rig personnel and the environment etc.

Keywords Drilling · Kick · Safety barriers · Well control

1 Introduction

In the paper an attempt has been made to review the onshore drilling with its safety
barriers and well control [Link] purpose of the oil and gas industries is to
extract and produce a good number of hydrocarbons by effective operations. These
industries are divided into 3 parts—Upstream, Midstream and Downstream. Drilling,
Rigless and Surface facilities are the parts of Upstream operations [2]. Drilling is

Aarushi (B) · A. K. Singh · V. V. Krishnakanth

University of Petroleum and Energy Studies, Dehradun, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 29

N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
30 Aarushi et al.

the process to drill a well to produce hydrocarbons. The well is drilled using drill
bit which is attached to drill pipe. Well is drilled up to a depth calculated based on
location, conditions and physical properties of the reservoir which are determined by
the geological surveys. For drilling, seismic survey is done to identify the reservoir
conditions.
While drilling, the main aim should be the safety at the drilling rig site. Safety of
personnel who are working on the rig, safety of equipment, safety of environment
and safety of any property which is present on the site. Some common reasons
of the occurrence of accidents are lack of knowledge, lack of competency, lack of
experience and unskilled nature, behavioural problems, not following the procedures
and standards related to the specific activities etc. These major causes could lead to
an accident. Apart from these some operational and technical problems can also
become a serious issue like pressure underbalance, improper density and weight of
the drilling fluid, equipment failure, reservoir conditions which could lead to the
kick and blowout [1]. Kick can be controlled by some operational measures such
as by maintaining the density of mud or maintaining the hydrostatic weight greater
than development pressure, but if there is any situation of blowout it becomes very
difficult to stop it. To mitigate blowout some specific well control equipment should
be available and ready to work every time on rig site. If these safety barriers fail due
to any reason, then it can have catastrophic results at the site. So the maintenance of
these well control equipment should be done periodically to perform safe activities
and operations [3].

2 Literature Review

2.1 Drilling

An oil or gas well is drill by use the of drill bit to form a hole to the certain depth
to bring hydrocarbons to the surface. The hole is drilled when drill bit rotates under
the earth surface with drill pipe or drill string attached to it. After a section is drilled,
casing (steel pipe) is placed into the hole. The casing provides strength and structural
integrity to the hole to prevent the leakage of drill fluid from the wellbore and isolate
dangerous pressure zones from the surface [4]. After putting casing, cement is placed
between the casing and wellbore which is called as annulus which provides strength
to the wellbore. This process continues for each section until the required depth of
wellbore is drilled.
A Review on Onshore Drilling for Oil and Gas Production … 31

3 Types of Drilling

In onshore there are different types of drilling which are used to drill a well. In
onshore, the following two types of drilling are generally used
• Rotary drilling
• Directional and Horizontal drilling.

Rotary drilling: Rotary drilling is often used to drill large holes like petroleum
extraction holes, open large pits etc. by using the three-cone drill bits which have
many teeth to crush the rock by applying enough weight on the rocks [5]. Electric or
hydraulic motors are used for the rotation of drill bit and rotation speeds vary with
certain rpm. Rotary drilling is used to drill the well vertically for the extraction of
hydrocarbons when the location of the reservoir is easily achievable vertically.
Directional drilling: Directional drilling is used when the target depth of the crude
oil or gas reservoir is difficult to achieve by vertical drilling [6]. This type of drilling
is used when the reservoir is located far away from the wellbore and the depth of the
well is larger than the vertical well. So, to increase the length of the pay zone and
for safe and effective production directional drilling must be used to drill such oil or
gas well.

4 Types of Onshore Drilling Rigs

• Carrier mounted manual rigs

• A-frame electric rigs
• A frame 3 stand rigs
• Joystick rigs.

5 Types of Systems

There are four types of systems at drilling rigs to perform the drilling operations.
These are:
• Power
• Hoisting
• Circulating
• Rotary.

Power system: It is the most important structure on drilling rig because it provides
energy and capacity to all the systems on a rig such as hoisting, circulating, rotary.
32 Aarushi et al.

Energy is usually generated by the diesel engines and then transmitted to the other
systems to perform the drilling related activies [1]. So, there are two types of powers:
• Diesel-electric drive power
• Mechanical direct drive power.

Hoisting system: It is used to perform all lifting activities at rig site. While drilling,
this activity is performed by lifting and lowering the assesories of the into and out
of the wellbore at the time of drilling the well. This structure is a chain of various
lifting apparatus such as—Derrick, Drawworks, Block and Tackle and some other
like Hooks, Tie-down Anchor.
Circulating system: It is used to circulate the water drilling mud and oil drilling
mud into the wellbore and to separate the cuttings and rocks from the total length of
the wellbore and surface at the time of drilling process. This structure and process is
completed by the different apparatus connected in series such as—Mud pumps, Mud
pits, Mud-Mixing apparatus, Contaminant removal apparatus. These systems having
connection of series for circulation of fluid to maintain the hydrostatic weight.
Rotary system: It is used for the purpose of drilling having a drill bit attached and
combination of various components which are connected to each other in series at the
rig floor to provide speed to drill bit. Basically drill bit works to eliminate the rocks
by applying excessive weight [6]. Without applying proper weight rotary system
would not work and it would not be able to maintain a deeper hole below the earth
surface. Process is done by Swivel, Kelly, Rotary drive, Rotary table and Drill pipe.

6 Procedure of Drilling

• Seismic survey
• Exploration well
• Appraisal well
• Development well
• BHA (bottom hole assembly)
• Casing
• Cementing
• Liner.

Seismic survey: These surveys are performed to determine the physical conditions
of the earth subsurface to identify the location of the oil and gas reservoir. Sound
waves are bounced off earth’s subsurface and reflect back to the surface in between
the time taken to reflect to the surface determine the conditions of underground rock
formations and oil or gas reservoir present [6]. It is also called as geophysical survey.
A Review on Onshore Drilling for Oil and Gas Production … 33

Exploration well: Exploration well is drilled to identify the presence of oil and gas
reservoir in a particular place for the information gathering purpose.
Appraisal well: It is drilled to gather more information about the geological condi-
tions of earth subsurface, rock formations and the size and properties of the reservoirs.
Once the conditions of appraisal well is met it can be drilled further successfully [5].
Development well: Development well or Drilling is a next step after the appraisal
well which is used to for the production of oil and gas after identifying the geological
conditions of the reservoir under the earth’s surface.
BHA Components: Drilling is done with the help of some assesories which are fixed
with drill pipe for the creation of an oil well. BHA components are:
Drill bit
Mud motor
Heavy weight drill pipe
Drill string
Drill pipe.

Casing: It is a pipe having a sufficient diameter which is brought down into the
wellbore and camented in place to protect the drilled sections from pressure and
forces which are present beneath the earth [7]. It provides strength and protect against
the shallow gas and also prevent contamination of fresh water well zones. There are
four types of casing:
• Surface casing
• Conductor casing
• Intermediate casing
• Production casing.

6.1 Causes of Well Control Incidents

• Lack of skills and knowledge about drilling and rig operations

• Lack of training in well control procedures
• Not following policies, standards and procedures
• Lack of proper maintenance and periodic inspection
• Lack of proper risk management
• Unintentional flow from the wellbore to the surface called kick.

Causes of kick
• Swabbing
• Lost circulation
• High pore pressure
• Reduction in hydrostatic pressure
34 Aarushi et al.

• Underbalanced drilling fluid weight

• Failure to fill the hole while tripping
• Failure to maintain the mud properties
• Mechanical failure.

6.2 Distribution of Incidents at Drilling Rig Site

INCIDENTS
2%

8%
9%

41%
14%

26%

Slips,Trips Exposure
Fires/Explosions Contact with Objects/Equipments
Transportaon Others

Source [Link]

7 Methodology

7.1 Safety Barriers

There are some safety barriers to prevent any kind of accident at the rig site, Accidents
related to kick inside the wellbore happen when the development pressure is higher
than the hydrostatic weight of the drilling mud. There are two types of barrier that
should be present at the rig site for well control in case any accident occurs [1].
A Review on Onshore Drilling for Oil and Gas Production … 35

Two types of barriers

• Primary barrier—Drilling fluid
• Secondary barrier—Well control equipments.

7.2 Mud Types

Water-based mud: It is used at first casing which is conductor casing, to protect the
water zones and it is also economically effective.
Synthetic oil-based mud: This type of mud is used on the surface casing and further
used throughout the drilling process [8]. This is utilize to expel the drill cuttings,
concrete or rocks from the well at the surface.

7.3 Testing of Drilling Fluid

Routine testing of the following

• Density or mud weight
• Viscosity
• Gel strength
• Filtration rate
• Sand content, solid, oil and water content
• Chemical properties.

8 Formula for Calculating the Mud Weight

Mud weight = Hydrostatic pressure/(TVD ∗ 0.052)

Functions of drilling fluid

• Maintain the wellbore stability
• Seals permeable formations
• Cooling of drill bit
• Support and lubricate the drilling equipment’s
• Pressure control
• Corrosion control
• Expel the concrete or rocks from the wellbore
• Clear the surface of the well from the solids
• Transmit the energy to bit and tools
• Reduce the environmental impact
36 Aarushi et al.

• Maintain hydrostatic pressures

• Support and facilitate the cementing
• Minimize the formation damage inside the wellbore.

8.1 Secondary Barrier

If the primary barrier fails due to any reason then secondary barrier should be available
at the rig floor to prevent the unintentional flow from the wellbore to the surface [7].
Well control equipment are—Wellhead, Diverter Line, BOP, Choke Manifold, BOP
Control unit etc.
BOP (blowout preventer)
It is a device which is used for well control when the drilling process is going on. It
seals the well around any kind of pipe, casing and collar to avoid the undisciplined
liquid of reservoir from the wellbore although the primary safety barrier has failed
[9].
BOP types
• Ram type preventer
• Annular preventer.

Ram type preventer: It seals the annulus by the contact of two front packing elements
with each other and seals around the object in the wellbore to prevent the blowout at
the time of kick. Different types of rams are:
Pipe rams: It seals the wellbore/annulus around the fixed size of the drill pipe for
which it is designed.
Blind rams: It seals the well if there is no pipe in the wellbore. Front packers come
in the contact of each other to seal the annulus.
Shear blind rams: It used to shear the pipe in the well with the help of steel blades
and seal the annulus/wellbore simultaneously.
Annular preventer
• There are four basic segments of annular preventer:

– Body, piston, head, and rubber packing element

• Annular preventer can be closed on drill pipe, casing pipes, drill collar, logging
tool and around the tool joint etc. [2].
• It is closed by applying the hydraulic pressure to the piston to move it upward.
This forces the packing element towards the wellbore and closes around the object
in the wellbore.
A Review on Onshore Drilling for Oil and Gas Production … 37

• Rubber element is opened by applying the hydraulic pressure to the piston in the
opposite direction.

Wellhead
• Wellhead is installed at the surface of the wells which is at the first casing.
• It ensures safe operation and manage the unwanted flow and pressure which is
coming from the wellbore at the time unwanted kick.
• Provide enough support to the casing, tubing and to the BOP stack [2].
• It provide means of casing, tubing suspension and for sealing the pressure of the
wellbore.

Diverter
• It is installed on a conductor casing with diverter line attached to it.
• It is used only when it is impossible to shut the well because of the chances of
lost circulation and formation damage.
• It diverts the flow away from the rig to protect the environment, rig personnel and
equipment.

Choke manifold
• Choke manifold is an arrangement of the valves, lines and chokes to control the
flow and pressure of mud and kick from the annulus during the well killing process
[3].
• It has two remote-controlled and two manually operated chokes and a straight
choke bypass line (to trip tank, poor boy degasser and to the pit).

Poor boy degasser

• It is an essential equipment which is used to remove the high percentage of the
gas from the mud which is coming out from the chokes during kicks. It provides
the means to vent out the gas in a safe manner away from the rig.

BOP Control unit

• It consists of accumulator bottles, a reservoir tank, charging system, pressure
regulating valves etc.
• It is used to regulate the pressure of ram preventers, annular preventers, casing
and drill pipe pressure while drilling a well [3].
• The purpose of the BOP control unit is to provide nitrogen pressurised hydraulic
fluid which will operate the BOP easily to seal the well.

FOSV/IBOP
FOSV/IBOP should always be available on the rig floor for the safety of the drill
pipe at the time of any accidental situation.
38 Aarushi et al.

9 Well Control Procedures

SHUT IN METHODS: If a kick is detected while drilling, then the main objective
is to shut the well to prevent unintentional flow from the wellbore [3]. So, there are
two methods to shut the well, those methods are:

Soft Shut in Hard Shut in

• Choke closed all the time Choke closed all the time
• Open HCR valve Close BOP
• Close blowout preventer Open HCR valve
• Gradually close both types of choke Record SIDPP, SICP
• Record SIDPP, SICP and pit gain

9.1 Well Kill Methods

There are mainly three types of techniques:

• Wait and weight
• Driller’s
• Concurrent.

Wait and weight method: The wait and weight method involves circulating out
the kick with kill weight mud in one circulation. Using this method kick is being
removed from the wellbore by increasing the kill mud weight, it requires longest
time to circulation if the annulus is full of drill cuttings [10].
Driller’s method: In this method, there are two processes. First, remove all the
influx from the well and shut in well and then maintain the mud weight up to desired
kill mud weight which is then pumped into the well [11]. This is also called Two
circulation method.
These two methods are mostly preferable as a well kill methods.

10 Safety at Rig Site

• PPE—safety helmet, safety shoes, safety gloves, safety glasses, earplugs, SCABA,
bodysuit.
• First Aid
• Fire exit/egress
• Fire resistive buildings
• Fire alarms
A Review on Onshore Drilling for Oil and Gas Production … 39

• Fire extinguisher
• Fire hydrants
• Fire hoses
• Firewater tank
• Water pump.

As per OISD 189, requirements of firefighting systems at rig site

Area Fire extinguisher requirement

At rig floor 2 no. 10 kg DCP
Engine area 1 no. 10 kg DCP
Mud preparation pump area 1 no. 6.8 kg CO2 or 10 kg DCP
Mud mixing tank area 1 no. 10 kg DCP
Control room 2 no. 10 kg DCP
Diesel storage area 50 L foam mechanical extinguisher
DIC office, Bunk house area 3 no. 10 kg DCP or 3 no. and 6.8 kg CO2

Source [Link]
hting-Equipment-for-Drilling-Rigs-Work-Over-Rigs-and-Production-Installations

10.1 Standards (Maintenance and Inspection)

Maintenance and inspection, both are important for the safety of equipment, the safety
of personnel and property and for the safety of the environment. Periodic inspection
of every device or equipment should be done as per the standards. Following are the
standards which are to be used:
• OMR (Oil mines and Regulations)
• OEM (Original Equipment Manufacturer) prescriptions
• OISD (Oil Industry Safety Directorate)
• NDT (Non-Destructive test)
• API (American Petroleum Institute).

10.2 Conclusion

Overall, while performing drilling there is a possibility of the failure of well barriers
or well integrity during the extraction of hydrocarbons from the well, so two safety
barriers policy at every stage of drilling operations should be followed to prevent
any unintentional flow from the wellbore. If primary barrier (drilling fluid/mud) fails
because of any reason (For e.g., if hydrostatic weight of the mud is not maintained
40 Aarushi et al.

according to the development pressure of the reservoir, it may cause the failure of
primary barrier), there should be secondary barrier available at the rig to prevent any
hazardous situation. Apart from the barriers of well control, other mandatory safety
devices should be available at the rig site every time, because accident/incident
can also be related to any equipment damage, property damage, fire, environmental
pollution etc. So as per OISD 189 required amount of firefighting equipment (fire
extinguisher, fire hydrants, fire hoses, fire water tank, fire pump etc.) should be
present at the rig site and proper maintenance and inspection should be done of
every equipment on time for the safety of environment, property and personnel.

References

1. Durrant, J. (1991). Safety Management in Drilling Operations. [Link]

06-ms. SPE Asia-Pacific Conference.
2. Chaney, M. (1990). Planning the Operations for Drilling a Well. [Link]
30-ms. SPE/IADC Drilling Confrence.
3. Santos, O. (1991). Well Control Operations in Horizontal Wells. [Link]
05-pa. SPE Drilling Engineering.
4. Hollis, J. W. (1968). Onshore Drilling Operations in Abu Dhabi. [Link]
2-ms. Regional Technical Symposium.
5. Well Drilling Methods. [Link] (1911).
6. Simpson, D. A. (2017). Well-Bore Construction. [Link]
3.00002-x. Practical Onshore Gas Field Engineering.
7. Dodds, R. (1989). Remote and Difficult Onshore Drilling Logistics. [Link]
18668-ms. SPE/IADC Drilling Operations.
8. Ramalho, J. (2006). Well Control aspects of Underbalanced Drilling Operations. [Link]
10.2118/106367-ms. IADC/SPE Asia Pacific Drilling Technology Conference and Exhibition.
9. Maduro, W. (1989). Enchova Blowout: Record Relief Time. [Link]
SPE/IADC Drilling Conference.
10. IADC Well Classification System for Underbalanced Operations and Management Pressure
Drilling. [Link] (2008). Managed Pressure
Drilling.
11. 2. Cormack, D. (2017). An Introduction to Well Control Calculations for Drilling Operations.
[Link]
Cultivating Effectiveness and Efficiency
Using 5S Methodology

Abhishek Nandan, Ankita Sharma, K. Praveen Kumar, Akshi K. Singh,

and N. A. Siddiqui

Abstract 5S is a systematic technique used by organizations that comes from five

Japanese words: Seiri (Sort), Seiton (Set in order), Seiso (Shine), Seiketsu (stan-
dardize), and Shitsuke (sustain) (Patel and Thakkar in J Eng Res Appl 4(3):774–779,
[1]). The common problem that arises in an organization is defects in material,
quality of the human resource, downtime in production, improper safety for the
workers, working condition, etc. This paper deals with the implementation of 5S in a
small-scale industry and to analyze the effectiveness in terms of search time, safety,
productivity, cost, etc. The implementation of 5S can also result in considerable
improvements in efficiency, maintenance, quality, better, more committed employees,
and a stepwise reduction in unnecessary items. The 5S also intend to build a stronger
work culture within management and workers and keeps them moving towards to
have continual improvement.

Keywords 5S · Efficiency · Quality · Safety · Reliability

1 Introduction

The level of competition among the industries has been largely affected by the fast
and rapid growing globalization and innovation. The secret of any organization to
survive in this competition is depends upon their product and quality. Improvements
and innovations breakthroughs have become necessity to stay in growth. Normally
this can be achieved by implementing best practices such as lean manufacturing,
JUST-IN-TIME (JIT), six sigmas. Lean manufacturing is fact is survival and success
of any organization by minimizing the waste. The 5S implementation is the best
methodology to achieve lean manufacturing [2].
The detailed review of the implementation in various organizations such as bank,
health care, industry, hotels has been discussed. Patel and Thakkar [1] explains the
methods and techniques of 5S uses to increase the efficiency of all processes in

A. Nandan (B) · A. Sharma · K. Praveen Kumar · A. K. Singh · N. A. Siddiqui

University of Petroleum and Energy Studies, Energy Acres, Bidholi Via Premnagar, Dehradun,
Uttarakhand 248007, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 41

N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
42 A. Nandan et al.

the company. Thus, this results effective improvement in various organization and
detailed explanation of various organization implementation. The definitions of these
terms are explained below [3–6].
1. SORT is the basic for the standard, which follows the principle: “Just What Is
Needed, In Quantities It Is Needed Only and Only When Needed”. This refers
to removing any unnecessary items from the organization to perform the task.
2. SET-IN-ORDER refers to the principle: “A Place for Everything and Every-
thing in Its Place”. This is a means by which keeping all our equipment in
order and label both our equipment and shelf in order, so that anyone in the
organization can figure the equipment at required time.
3. SHINE takes in every organization, which includes cleaning, sweeping and
removal of dust/dirt/waste. It is to be done in a daily basis to make a healthy
and regular live environment.
4. STANDARDIZE refers to establish standards of the best practice in the orga-
nization and to ensure that the standards are compiled and to undertaking that
the organization is clean and tidy at all times. It is to ensure that “Everyone
Should Know Their Responsibility”. It is also to make document of record and
to ensure 5S as a part of organization culture.
5. SUSTAIN refers to the process of forming a habit of continuous improvement.
Without implementation of other 4S, it is impossible to make sustain. In this
the top management should take the responsibility. The management shall help
the workers to know about the importance of 5S. This can be done by the help
of training and keep updating about the importance of 5S and displaying 5S
boards in all the prominent areas.
The five Japanese words and there English meanings are Marshettiwar and
Sangode [6] (Fig. 1).

Fig. 1 5S
seiri
(Sort)

shitsuke seiton
(Sustain) (Set in order)

seiketsu seiso
(Standardise) (Shine)
Cultivating Effectiveness and Efficiency Using 5S Methodology 43

5S is a technique used as path for improve the performance and to organize

the whole system, which has been used first time by Japanese. It comes from five
Japanese words start with S, which is translated into English words to give the best
explanation for them [7]. The methodology of 5S helps in the organization to create
and maintain a well-organized, clean, safe, high efficiency and high quality place [8].
Implementing 5S lean manufacturing training has a number of benefits [2, 9] such
as:
• The main objective of implementing 5S in an organization is to increase the
productivity. It works as an enabler to improve performance by reducing the
turnover time which, in turn increases the productivity of the organization, thus
increases the overall return on investment [10].
• The organized and segregated workplace especially a manufacturing line results
in significant reduction in turnover time leading to less pressure of work due to
which number of injuries is reduced, resulting increased confidence level of the
artisans [8].
• By implementing 5S aids in on-time deliveries, reducing processing time eventu-
ally by the flattened curve of lost or defected goods at the workplace. This enables
the improved turnover of the organization.
• The artisans’ commitment is the main goal in the implementing 5S lean
manufacturing training for the ground level implementation.

2 Methodology: Implementation of 5S

The gain of 5S implementation can be achieved by the joining hands of both

management and the entire team. Thus, before the process of implementation, all the
employees are briefed about the 5S and should be made aware of effectiveness and
benefits of implementation. They should be made to believe and understand that the
implementation is going to serve good for both the employees and the organization.
The objectives can be achieved by the combined effort of training and the attitude
of the employees in the organization. This also helps in the satisfaction of both the
organization and the workers.
The way it is done:
1. The numbers of items, their name and size in the storeroom is determined.
2. The data of time studies for one worker to search SEVEN different items in the
storeroom before and after set in order implementation is recorded.
3. The collection of historical data of accidents before 5S implementation from
December 2017 and recent data of minor injuries after 5S implementation until
march 2018.
4. Data analysis has done to measure the improvement after 5S implementation
processes. 5S weekly audit data is obtained based on 5S audit checklist for seven
weeks and analyzed with line chart to evaluate the overall 5S implementation,
44 A. Nandan et al.

measure the improvement and improve 5S condition at the storeroom. Measure-

ments have been done three improvement during these 5S implementation
activities.
5. The cost data has been analyzed before and after implementation of 5S. The
cost is analyzed in terms of search time.
6. The Likert scale questionnaire is made and given to 10 employees and analyzed
using SPSS software in order to do reliability test.

3 How It Is Implemented

We had been implemented 5S in both office and industry different organizations. The
techniques and methodology used in these organizations vary with respect to time
and location.

3.1 Administrative Office

The various steps that has been taken to implement 5S in an administrative office in
order to decreases the search time of any file or data and also to provide a peaceful
environment for the employees and visitors.
The way it was done is:
1. The various questions regarding the management are asked to the head. Some
of them include
• What is the main motive of the office
• What is the various equipment and tools that are stored here?
• Total number of rooms and what are they
• Number of employees
• Frequency of cleaning and sweeping
• How the documents are retained either file or e-base.

2. Once these questions are asked. Then the walkthrough survey of the office is
done and the various process are analyzed.
3. The photos and pictures of shelf, rooms, tables, are taken.
4. Once it is done, next is to implement the first s by removing unnecessary items
from the office and to make a RED-TAG AREA.
5. Once the first S is implemented then to arrange and label the various available
items. The office consists of various files such as feedback file, attendance file,
trainer document, courses document etc. These documents are arranged in a
proper order depending on frequency use in different color file. The various
tools that are available are motherboard, solder, microchips etc.
Cultivating Effectiveness and Efficiency Using 5S Methodology 45

6. The rooms and the necessary locations are labeled. This includes labeling the
place where shoes should be removed, place where files, tools should be placed
etc.
7. It is too implemented third S, in this the frequency of cleaning and sweeping
done in the office is determined and a person should be kept responsible for
inspection and proper checklist and made and given. E.g.
• Checklist for cleaning
• Checklist for generator maintenance
• Checklist for AC maintenance
• Checklist for restroom cleaning.
8. The final step is to standard the way of approach within the office and taken
final image after implementing and analyzed the improvement.

3.2 Industry

Various process is available in an industry in order to complete the product. Since

5S cannot be implemented in each process due to time concern. The major process,
which includes major cause to improvement, is determined and then implemented in
that process. PARETO DIAGRAM is also known as ‘80/20’ analysis, which defines
the process to determine the process, which causes a major problem, and to eliminate
it [11, 12].
Example: In this search time, tool missing, safeties are major factors, which results
in 80% of problems. Hence, priority must be given to these factors and must be
eliminated (Fig. 2).
The various steps included are:
1. Determining the major process which affects the major problem

Fig. 2 Pareto chart

46 A. Nandan et al.

2. The manufacturing and assembly unit is selected

3. The various processes are determined
4. The various tools, equipment and necessary safety accessories used in the
process are determined.
5. Then first s in implemented by removing unnecessary scrap and making a RED-
TAG AREA. These scraps are removed in a proper disposal method.
6. The second s is implemented by labeling and keeping the tools such as grinder,
abrasive, driller, surface finisher is kept in a proper-labeled place.
7. And the dangerous place is labeled with cautions.
8. The third s is implemented by having a proper checklist for cleaning process.
9. Then the importance of 5S is explained to workers and help to understand the
benefits of achieving it.

4 Result and Discussion

The various results are obtained by making a proper evaluation of data that are
obtained before and after implementation. Some of the data are search time, safety,
audit score, cost analysis in search time, area, and process and production quantity.

4.1 Evaluation in Terms of Search Time

Waste of time for searching items, waiting and motion are occurred because of the
increasing in delay during the parts searching where the workers need to move around
to find out the items needed among unnecessary items. The proper labelling system
has been done for every rack based on the respective categories in order to reduce the
delays. Thus, a worker has done the time study in order to measure the improvement
in reducing the delays and waste of time for searching, waiting and motion by 50%.
The time study has been conducted to measure searching time for seven different
items in the storeroom before and after 5S implementation and the data collected
as shown in the Table 1. The timings are obtained from evaluating a single worker
(Fig. 3).
The graph represents the data that has been obtained in table. The blue indicated
the search time before implementation and red indicates the implementation after 5S
(Fig. 4).
Highest time is consumed for searching basic tools such as hammer, screwdriver,
spanner etc. It is reduced to a percent of 65 by proper arrangement depending on
frequency use. It is done by a help of making a Shadow Board.
Cultivating Effectiveness and Efficiency Using 5S Methodology 47

Table 1 Material search time

Material/equipment Before (s) After (s) Reduction in time (%)
Valve 190 105 43.58
Flange 200 93 53.5
Filter Bag 113 90 20.35
Filter cartridge 123 95 22.75
Bolts and nuts 285 150 47.3
Hammer/screw-driver/spanner 400 140 65
Electrode 240 110 54.1

ELECTRODE
TOOLS AND EQUIPMENTS

HAMMER/SCREW DRIVER/SPANNER
BOLTS AND NUTS
FILTER CATRIGE
AFTER(sec)
FILTER BAG
BEFORE(sec)
FLANGE
VALVE

0 50 100 150 200 250 300 350 400

TIME(SEC)

Fig. 3 Material search time

Searching Ɵme per day

35
VALVE,
43.58 30
ELECTROD
E, 54.1 25
TIME (mins)

FLANGE, 20
HAMMER/ 53.5
SCREW 15
DRIVER/SP
BOLTS 10
ANNER, 65 FILTER
AND
NUTS, BAG, 20.35 5
47.3 FILTER
CATRIGE, 0
22.75 BEFORE AFTER

Fig. 4 Reduction time (LHS); search time per day (RHS)

4.2 Evaluation in Terms of Cost (Search Time)

The cost improvement is shown by decreasing the number of defect parts and by
increasing the production rate and red-tag improvement. Thus by the help of RED-
TAG some of the parts that are to be thrown away are sold to nearby customers. Also
48 A. Nandan et al.

before implementation of 5S there has been a number of defect and poor surface
finish products which results in decrement of cost. After 5S his has been overcame
by proper abrasive material usage.
Cost analysis in terms of search time:
Worker wage per month = Rs 7500/-
The average number of working hours per day = 8
The average labour rate per minute = 7500/ (30 * 8 * 60 *) = Rs.0.52/-
Minutes saved per day = (25.84 − 13) = 12.84 min
Total amount of money saved per day = 12.84 * 0.52 = Rs 6.687/-
The total amount of monthly saving per worker = 6.68 *3 0 = Rs 200/-

4.3 Evaluation in Terms of Relaibality

Ghodrati and Zulkifli [13] the accuracy of hypothesis for any type of research relies
on the collected data and analysis of the gathered information. Under this section,
real-time collected data will be analysed using SPPS software.
By calculation α in reliability test, the reliability of the collected data is checked.
There is unanimity that database with Cronbach alpha greater than 0.7 is reliable.
Greater values of Cronbach alpha represent repetitive questions but natural same issue
on the 5S system for many of the responses. Based on the 5S system, ten questions
were asked to each employee and the responses were analysed for reliability.
Cronbach’s Alpha value:

Cronbach’s Alpha value Number of samples (N)

0.733 10

Thus, the value of alpha is greater than 0.7; the implementation of 5S is stable
and good.

4.4 Evaluation in Terms of Safety

Safety importance is lacked due to sudden accident, felled and tripped by workers
because of their careless. It caused by the items that are placed on the floor without
proper arrangement and jammed the work area and due improper evaluation of safety
procedure. The storeroom is packed and messy consisted with necessary and unnec-
essary items. The improvement measurement in terms of safety importance by 50%
has achieved. Improvement in term of safety importance after 5S implementation
achieved successfully by reducing the number of incidents (Table 2 and Fig. 5).
Cultivating Effectiveness and Efficiency Using 5S Methodology 49

Table 2 Number of Incidents

Days No. of incidents Total Reduction rate (%)
Before 5S December (15–31) 2017 2 5 80
January (1–20) 2018 1
January (21–31) 2108 2
After 5S February (1–15) 2018 1 1
February (16–28) 0
March (1–7) 0

NUMBER OF ACCIDENTS
2.5
2
1.5
1
0.5
0 NUMBER OF ACCIDENTS

Fig. 5 Number of accidents

The percentage of accidents has been reduced more than 50%, which is 80%. By
sorting activities, unnecessary items, which are stored on the rack, are sorted and
removed out based on red tag strategy.

4.5 5S Evacuation and Scoring

The audit process at the workshop storeroom is enabled the organization to identify
the potential level of improvement [14]. The 5S auditing criterion that is used is
relevant to the working environment. The 5S Audit Team does the 5S weekly audit.
The 5S audit checklist was structured in which a specific assessment criteria and
control point based on five pillars of 5S. Each assessment criteria has its own score,
which is: 0 = worst, 1 = bad, 2 = average, 3 = good and 4 = very good (Table 3
and Fig. 6).
The curve shows the classification in incremental level until the week 7 where the
sorting activity is done systematically where the useful items placed on their previous
place, unknown items moved to red tag area, and useless items have disposed. So
as compared to the initial week and the final week in the graph, it is seen that the
workers have accepted the implementation of 1st S i.e., the classification of materials
(Fig. 7).
50 A. Nandan et al.

Table 3 5S weekly audit data for 7-weeks

5S activities Sort Set-in-order Shine Standardize Sustain Total Average
(weeks)
1 0 1 0 1 0 2 0.4
2 3 1 2 1 2 9 1.8
3 8 3 3 2 2 17 3.4
4 11 4 4 2 4 25 5
5 12 9 8 3 4 36 7.2
6 12 13 12 6 5 48 9.6
7 15 15 15 9 6 60 12

sort
20

10
sort
5

0
1 2 3 4 5 6 7 8

Fig. 6 Sort weekly audit

set in order
20
15
10
set in order
5
0
1 2 3 4 5 6 7

Fig. 7 Set-in-order weekly audit

Set in order has been implemented within the week 3–4. Thus, in the graph it can
be seen that there is a linear line between week 3 and 4. Set in order is carried out
by items arrangements based on specific rack and categories, systematic labelling
system for racks, items and document files, systematic floor tapping and renovated
document racks (Fig. 8).
The curve showing the classification score which is indicate a very vertical curve
in incremental level till the week 7 since the shine activity is done systematically by
setting the cleaning as a habit and daily routine. The shine is improved continuously
with the application of proper shine schedule where the shine areas are specifically
divided to workers by using a 5S schedule. This has been evaluated by the help of
checklist (Fig. 9).
Cultivating Effectiveness and Efficiency Using 5S Methodology 51

shine
20
15
10
shine
5
0
1 2 3 4 5 6 7

Fig. 8 Shine weekly audit

standardize
10
5
standardize
0
1 2 3 4 5 6 7 8

Fig. 9 Standardize weekly audit

sustain
10
5
sustain
0
1 2 3 4 5 6 7

Fig. 10 Sustain weekly audit

Though the scores do not show great differences between the first few weeks,
after the proper implementation of other 3S the curve has a standardized increment.
This reflects that the first three criterion activities conducted under 5S activities are
applied in a well manner. This standardized is evaluated by the help of maintaining
checklist for various factors such as safety, cleaning, attendance etc. (Fig. 10).
The graph shows a well understanding of application of rules and procedures,
utilization of appropriate equipment and materials and interaction between workers
achieved good progress.

5 Conclusion

Thus, implementation of 5S varies from organization to organization depending on

the process they carry out and their task to achieve and time. Anyway, it results in
improvement within organization by making it a suitable place for work.
Thus, on implementing these 5S methodology, the following advantages are anal-
ysed and proved efficiently by the proper evaluation of various terms and the test is
said to be stable by the help of sustainability test.
52 A. Nandan et al.

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COVID19: Impact on Environmental
Parameters During the Lockdown Period
in India

V. Balaji Venkateswaran and Devender K. Saini

Abstract The coronavirus pandemic has entirely changed the current situation and
has led people to realize the living scenario is no longer similar to before. The
present-day situation is majorly subjugated with studies on developing strategies
that can defer the spread of this virus, and to invent the vaccination. One of the
prominent solution followed by many countries is to apply regional or country-level
lockdown. This has affected the lives of many industries and become a challenge for
its economic development. In this paper, we examine the correlation between the air
pollutants (such as PM2.5 , PM10 , Ozone, CO, SOX and NOX ) and weather parameters
(such as temperature, humidity and dew point) with the coronavirus disease 2019
(COVID-19) by considering the six major red-zone hotspots identified in India. The
effect of these parameters on major hotspots is examined based on Spearman’s corre-
lation coefficients for the lockdown period announced by the Government of India.
From the results, it is evident that the highest correlation is obtained for different
parameters for different red-zone districts. The study results may guide the author-
ities to develop a decentralized approach for effective implementation of lockdown
and take appropriate measures in these red-zone hotspots.

Keywords Coronavirus · Air pollutants · Temperature · Humidity · Dew point ·

Sustainable development goals

1 Introduction

COVID-19 is a highly infectious and communicable disease that was initially found
in December 2019 in Wuhan, China. Later, this virus was spread to many countries
across the globe and therefore, the World Health Organization (WHO) has declared

V. Balaji Venkateswaran (B)

School of Technology, Woxsen University, Hyderabad, Telangana, India
D. K. Saini
Electrical and Electronics Engineering Department, University of Petroleum and Energy Studies,
Dehradun 248001, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 53

N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
54 V. Balaji Venkateswaran and D. K. Saini

this as a pandemic. As of May 3rd, 2020, there were about 3,272,202 confirmed
cases, 230,104 deaths, worldwide [1]. In a country like India, where the population
is more than 1.32 billion, handling this situation is very challenging [2]. Even though
the first case reported in India was on 31st January 2020, the significant spread of
this virus was noticed on 14th March 2020. As of 2nd May 2020, the total number
of tests carried was 11,529,433, and it is identified that the confirmed cases were
26,535 and the number of deaths recorded was 1223 ([Link]
id-19). From these data, it is clear that the ratios of confirmed cases are 0.2% and
the death rate is very low. However, the number of cases recorded in major cities
like Mumbai, Chennai, Hyderabad, Bengaluru, Kolkata, and New Delhi is high and
therefore these are identified under red-zone hotspot region [3] The ratio of confirmed
cased in these cities (or district) to the total number of cases in the state is Fig. 1.
There are about 3761 confirmed cases in Delhi, where the district wise numbers are
under reconciliation.
Initially, many researchers were developing a growth model for prediction of the
effect of COVID-19. In [4] a simple growth model is proposed based on cumu-
lative distribution function (CDF) to predict the spread of this virus. Meanwhile,
many researchers confirmed that this virus can be transferred from human-to-human
through droplets and direct contact of the materials used by the affected ones.
Concerning this, many articles were found in recent times, where the correlations
between the entire number of cases and weather conditions are identified to model
the spread of this virus. In [5], a study is conducted in major cities of Turkey and
was found that the temperature is highly correlated with the total number of cases.
Conversely, a study conducted in New York City reveals that there is no signifi-
cant scientific evidence found to conclude that, the warmer conditions will suppress

Fig. 1 Ratio of confirmed cases in major red-zone hotspot to the total number of cases in that State
of India
COVID19: Impact on Environmental Parameters During the Lockdown … 55

the effect of COVID19 [6]. In [7], a study was performed to evaluate the effect
of climatic parameters such as average temperature, precipitation, humidity, wind
speed, and solar radiation on COVID-19. Here, the Partial correlation coefficient
(PCC) and Sobol’-Jansen methods are used to analyze the spreading rate. From the
analysis, it was identified that the population density and intra-state movement are the
direct cause for the outbreak of infection. In [8], the positive and negative effects on
the environment due to COVID-19 were identified for countries like China, France,
Germany, Spain, and Italy. A similar kind of research based on suspended particle
matter (SPM) was performed in Vembanad Lake, in India with the help of satel-
lite images [9]. It is identified that during the lockdown period, the SPM level has
decreased on an average by 15.9% compared to pre-lockdown conditions.
Similar to other countries, in containing the spread of this infection, the Govern-
ment of India has announced a nationwide lockdown that started on 24th March
2020. However, considering the spread of this virus, the lockdown was extended for
the third time for two weeks starting from 4th May 2020. To improve and enhance
the financial situation of the country, the government has classified the COVID-19
affected districts into red, orange, and green zones and has provided the guidelines
to be followed in these regions [3]. According to these guidelines, most of the activ-
ities are not permitted in red-zones. Nonetheless, few relaxations are provided to
orange and green zones. Even after taking various steps to contain the infection, the
confirmed cases are in the increasing trend, especially in some red-zone districts.
The major objective of this paper is to analyze the correlation between the climatic
parameters and the COVID-19 confirmed cases in major red-zone hotspot districts
in India. This study has been carried for the entire duration of the lockdown period.
Thus, from this study, corrective measures can be derived for the identified red-zone
districts to convert them into orange and then green.

2 Methodology

India is a highly populated country and has less per capita land space, especially
in major cities. For example, Delhi and Mumbai are the second and the fifth highly
populated city in the world [10]. Therefore, it is essential to identify unique ways in
which the virus can be contained.

2.1 Dataset

The dataset for PM2.5 , PM10 , Ozone, CO, SOX , NOX , temperature, humidity and
dew point are taken from the archives of U.S. Embassy and Consulates’ Air Quality
Monitor in India, National Air Monitoring Programme (NAMP) of Central Pollution
Control Board and World Air Quality Index Project (NAMP; “U.S. Embassy and
Consulates’ Air Quality Monitor in India,”; WAQI Project.). Figure 2 shows the
56 V. Balaji Venkateswaran and D. K. Saini

Fig. 2 Variation of PM2.5 in identified red-zones of India

dissimilarity of PM2.5 during the lockdown period (from 24th March till 4th May
2020) in the identified major red-zone districts of India. It refers to particulate matter
in the atmosphere which has a diameter of less than 2.5 µm.
Figure 3 shows the variation of PM10 during the lockdown period in the identified
major red-zone districts of India. It refers to particulate matter in the atmosphere
which has a diameter of less than 10 µm. The variations of air pollutants such as O3,
CO, NOX , and SOX during the lockdown period are shown from Figs. 4, 5, 6 and 7
respectively.
Figures 8, 9 and 10 shows the temperature, humidity, and dew point variations
during the lockdown period in the identified major red-zone districts of India. Table
1 shows the total confirmed cases in major states such as Maharashtra, Karnataka,

Fig. 3 Variation of PM10 in identified red-zones of India

COVID19: Impact on Environmental Parameters During the Lockdown … 57

Fig. 4 Variation of O3 in identified red-zones of India

Fig. 5 Variation of CO in identified red-zones of India

Tamil Nadu, Telangana, West Bengal, and Delhi till 4th May, and Fig. 11 shows the
trend of the number of confirmed cases between 14th March 2020 to 4th May 2020
in these states. Figure 12 shows the population density (in per km2 scaled by 100) of
identified red-zone districts and corresponding means sea level (MSL) in meters.
58 V. Balaji Venkateswaran and D. K. Saini

Fig. 6 Variation of NOX in identified red-zones of India

Fig. 7 Variation of SOX in identified red-zones of India

2.2 Spearman’s Correlation Analysis

The Spearman’s correlation is a non-parametric analysis from which the correlation

rank is derived. This rank provides a measure of strength and direction of relation-
ship between the chosen two variables. Here, the correlation coefficients are derived
between the two datasets x and y, if the coefficient is greater than zero, it implies that
x increases with an increase in y and if the coefficient is less than zero, it implies that
x increases with decrease in y. The Spearman’s coefficient can be calculated using
the Eq. (1).
COVID19: Impact on Environmental Parameters During the Lockdown … 59

Fig. 8 Variation of average temperature (°C) in identified red-zones of India

Fig. 9 Variation of average humidity (%) in identified red-zones of India

2
dr
rs = 1 − 6 × (1)
n n2 − 1

where d r denotes the change in rank between the variables, n is the total quantity of
cases. Therefore, in this study, the Spearman rank coefficient test is used to observe
the correlation between the air pollutants, weather parameters with the confirmed
cased of COVID-19 in six major red-zone hotspot regions of India.
60 V. Balaji Venkateswaran and D. K. Saini

Fig. 10 Variation of average dew point (°C) in identified red-zones of India

Table 1 Total confirmed

State Total confirmed cases
COVID cases in the Major
States of India Maharashtra 12,974
Karnataka 642
Tamil Nadu 3023
Telangana 1082
West Bengal 963
Delhi 4549

Fig. 11 Number of confirmed cased in the Major States of India

COVID19: Impact on Environmental Parameters During the Lockdown … 61

Bengaluru 920
170

Kolkata 17
240

Hyderabad 536
184.8

Chennai 6
265.53

NewDelhi 216
193

Mumbai 14
338.5

0 200 400 600 800 1000

MSL Popula on Density

Fig. 12 Population density and MSL of identified red-zone districts in India

3 Results and Discussion

Table 2 represents the result of Spearman’s correlation analysis. As mentioned earlier,

air pollutants such as PM2.5 , PM10 , Ozone, CO, SOX, and NOX and weather parame-
ters such as average temperature, average humidity, and dew point are considered for
this study. All these parameters are evaluated for the duration of lockdown between
24th March till 4th May 2020.
In Table 2, the positive correlation coefficients are in italic and the negative correla-
tion coefficients are in bold. By comparing the Fig. 12 and Table 2, expect Kolkata, all
the other red-zone districts are having positive temperature correlation with COVID-
19 cases. From the results, it is evident that for the Mumbai district, all the air pollu-
tants are having negative correlation coefficient with a maximum for SOX which is −
0.73162. The maximum value of the positive coefficient is for the dew point which is

Table 2 Results from Spearman’s Correlation Analysis

Mumbai Bengaluru Chennai Hyderabad Kolkata New Delhi
PM2.5 − 0.53081 − 0.30462 − 0.52129 0.139179 − 0.78619 − 0.23106
PM10 − 0.5335 − 0.41196 − 0.07703 − 0.21973 − 0.78224 − 0.14839
O3 − 0.53388 − 0.05906 0.274844 0.111364 − 0.28197 0.694413
CO − 0.69787 − 0.55868 − 0.07287 − 0.11002 − 0.72236 − 0.19363
NOX − 0.71124 − 0.17373 0.064664 − 0.05174 − 0.74995 − 0.4349
SOX − 0.73162 − 0.3357 − 0.53746 − 0.0486 − 0.78756 − 0.27337
Avg. temperature 0.587189 0.231033 0.630225 0.382372 − 0.13478 0.479886
Avg. humidity 0.320102 − 0.03885 0.187166 − 0.28948 0.713122 − 0.57176
Dew point 0.775292 − 0.00647 0.537491 − 0.13348 0.578741 − 0.17347
62 V. Balaji Venkateswaran and D. K. Saini

0.775292. In other words, in Mumbai, as the dew point increases the confirmed cases
are also increasing and the SOX is decreasing with an increase in confirmed cases.
For the Bengaluru district, all the air pollutants are having negative correlation coef-
ficient along with humidity and dew point. Here the maximum negative correlation
coefficient is obtained for PM10 which is − 0.41196. In other words, in Bengaluru,
as the confirmed cases increase the level of PM10 is decreasing, and as the temper-
ature increases the number of COVID-19 cases increases. For the Chennai district,
air pollutants such as PM2.5 , PM10 , CO, and SOX are having negative correlation
coefficient out of which the maximum is for SOX (− 0.53746). The other param-
eters such as O3 , NOX , average temperature, average humidity, and dew point are
having positive correlation coefficients out of which the maximum is for temperature.
For the Hyderabad district, except for parameters such as PM2.5 , O3 , and average
temperature, all the other parameters are having negative correlation coefficient out
of which the maximum is for humidity which is − 0.28948. For the Kolkata district,
all the parameters are having a negative correlation coefficient except for humidity
and dew point. The maximum value of negative correlation is for PM2.5 . For New
Delhi district, expect O3 and average temperature all the other values are having
negative correlation coefficient out of which humidity is having maximum value (−
0.57176).
The average temperature was found to be highly correlated with COVID-19 cases
in Turkey [8]. Whereas from this study, it is clear that, there is no single parameter
which is having a negative correlation coefficient for all the districts. A comparison of
correlation results for temperature between [8] and the current study is shown Fig. 13.
From Fig. 13, it is clear that the temperature is not having negative correlation in
majority of the major cities of India. From this study, it is clear that, the guidelines to
be formulated must be regional-specific rather than a nationwide framework under
the current situation to convert these red-zones to orange and then to green.
This study may have a few limitations. The study results may not reflect the
actual situation in the selected red-zones. In recent reports, it was found that people
are traveling between districts due to various reasons. One among those is intra-state

6
5
4
3
2
1

-0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8

Current study Şahin 2020

Fig. 13 Comparison of temperature correlation coefficient of major cities of Turkey and India
COVID19: Impact on Environmental Parameters During the Lockdown … 63

transportation to carry the essentials goods to maintain the supply chain. Therefore,
without the knowledge of people traveling between these major cities, converting
the red-zone to orange and then green is challenging.

4 Conclusion

Compared to other developed and developing countries, India, having the largest
population has controlled the spread of the virus more effectively. However, it is
still challenging for those red-zone districts which have a positive trend in confirmed
cases in the current scenario which provides an alarming sign. In this study, the
impact of air pollutants (such as PM2.5 , PM10 , Ozone, CO, SOX and NOX ) and
weather parameters (such as average temperature, average humidity, and dew point)
from 14th March 2020 to 4th May 2020 on confirmed COVID-19 cased using data
in India is presented. The results obtained show that the correlation coefficient is
diverse for all the regions of India. Therefore, in the current situation, it is essential
to have a decentralized control and guideline mechanism among the red-zone districts
identified in India to convert those into orange and then green.

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Impact of Lockdown Due to COVID 19
Pandemic on Air Quality of Global
Environment

Madhav Saket, Kanchan Deoli Bahukhandi, Siddiqui Nihal Anwar,

Koranga Nirmala, Agrawal Shilpi, Singhal Shailey, and Vohra Shalini

Abstract In present time countries all over the world are facing lockdown to slow
down the transmission of COVID 19, an infectious respiratory disease with human
to human transmission. The name COVID 19 represents the disease Corona Virus
Disease 2019. The outbreak took place in December 2019 in Wuhan, Hubei province,
China. Severe Acute Respiratory Syndrome Corona Virus 2 (SARS-CoV-2) is known
to be accountable for occurrence of this disease. As per the latest report of World
Health Organization, a total of 3,588,773 cases has been reported worldwide. It is
believed that the number of total cases will increase in coming days which will
force countries worldwide to extend lockdown. Due to this throughout the world
are following work from home culture, schools and colleges have been shut down.
Malls, shopping complexes, amusement parks, multiplexes and all other places of
social gatherings are facing closure; peoples worldwide are not allowed to come out
of their homes. On road vehicular movements, flights, cruises are at halt. In this
research paper an attempt has been made to compare the air quality index during
lock down and prelock down period.
Graphical Abstract

M. Saket · K. D. Bahukhandi (B) · S. N. Anwar · K. Nirmala · A. Shilpi · S. Shailey · V. Shalini

School of Engineering, UPES, Dehradun, India
e-mail: kanchan@[Link]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 65

N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
66 M. Saket et al.

Keywords Covid 19 · Global pandemic · Ambient air quality

1 Introduction

In late December 2019 COVID 19 pandemic originated in Wuhan, China and spread
globally [1]. COVID 19 spreads through human to human transmission, till date it
has spread worldwide. Until now there is no vaccine, the only way to put an end
on the spread is to control human to human transmission. Countries worldwide are
following lockdown to do so which has led to shut down of industrial activities
globally. All types of transport road, air as well as sea came to halt.
The restrictions on these activities due to lockdown has led to reduction in release
of air pollutants. National Aeronautics and Space Administration (NASA), European
Space Agency (ESA) released data indicating that the pollution level globally has
reduced [2]. On one hand the COVID 19 pandemic has resulted in worldwide destruc-
tion by taking many lives, causing lockdown and demobilizing global economy but
on the other hand it has put a positive impact on air quality globally [3]. The objective
of this paper is to study the changes in quality of air before and during COVID 19
pandemic worldwide.
The quality of air worldwide is degrading rapidly, which has both acute and chronic
effects on human health. 91% of the total world population in 2016 was living in
the areas where air quality parameters did not met WHO guidelines [4]. The disease
caused by air pollution is irritation in respiratory tract, heart disease, lung cancer,
bronchitis, asthmatic attacks and several others [5]. According to World Health Orga-
nization the estimated death caused by air pollution is 7 million per year [6]. The
major pollutants contributing to air pollution are PM10, PM2.5 , CO, NO2 , SO2 and
O3 [5] with mean value set by WHO are 20 µg/m3 (annual mean), 10 µg/m3 (annual
mean), 30 ppm, 40 µg/m3 (annual mean), 20 µg/m3 (24 h mean) and 100 µg/m3
(8 h mean) respectively [4]. Air Quality Index is defined as a number for reporting
quality of air with respect to its effects on human health and is calculated by using
concentrations of pollutant in some mathematical formulae, different countries have
different air quality indices [7]. The WHO air quality guidelines indicates that air
pollution related deaths can be checked by 15% by reducing the PM10 concentration
from 70 to 20 µg per m3 [4]. Nitrates, ammonia, sodium chloride, mineral dusts,
water, black carbon are major components of Particulate Matter (PM).

2 Result and Discussion

The countries which are most affected by COVID 19 globally and facing lockdown
are India, China, United States of America and European countries. The effect of
lockdown on air pollution in each of the mentioned country is discussed below.
Impact of Lockdown Due to COVID 19 Pandemic on Air Quality … 67

2.1 Air Pollution in India During Lockdown

To prevent human to human transmission of COVID 19, restrictions on human activ-

ities were imposed on public by initiating a 21 days lockdown from 24th of March
which was followed by lockdown of another 21 days from 14th of April contin-
uing till 4th of May. The lockdown resulted in reduced emission of pollutants from
transportation and other industries. The process industry, power plant, construction
activities, automobile emissions are the major sources of emission i.e. SO2 , NO2 , CO,
RSPM (Respirbale particulate matter), SPM (Suspended Particulate matter), PM 2.5.
Nation wide lockdown significantly improved the quality of air. The AQI in Delhi
and NCR region was largely under moderate category in first week of lockdown 1
[8]. The emission level of PM2.5, PM10 and NO2 were reduced significantly during
lockdown period. The PM 2.5 was reduced to 46%, PM 10 reduced to 50% in Delhi.
The NO2 and CO were significantly reduced up to 56% and 37%. The reduction of
Benzene was 47% and SO2 was 17%. The hourly trend of PM2.5 ranged from 127
to 244 µg/m3 . In Gujarat the AQI (Air Quality Index) was reduced up to 37%. The
AQI reading was 220 in the month of January before lock down and after lockdown
it was 98 (on 31st March) showing good improvement in air quality index of Gujarat
(Energy [Link] April 2020).
The Odisha state which is famous for its coal reserve and number of underground
and open caste mine where the pollution level was reduced up to 52% during lock-
down period. The AQI reading was ranged from 96 to 204 on 30th March while in
January it ranged from 166 to 416 and came under severe category of AQI Index.
Talchar situated in eastern coast of Vishakhapatnam is a major industrial center
where the large scale establishment of producing steel, metal, petroleum and Heavy
engineering equipment. The AQI before lockdown was 118 considered under poor
category and during lockdown it was 63, considered under satisfactory category of
AQI (Table 1).
The AQI further improved to good AQI. In March the AQI were ranged from 45
to 192, during April 73 to 155 [8] in Delhi.
The Kanpur which is famous for leather industry has improved air quality up
to 60% during lockdown (March and April 2020) when compared with the data of
previous year (2019). The AQI was 163 during March 2019 which further improved
and its value was 64 during (31st March 2019) (CPCB [Link] [Link]

Table 1 Air quality index (AQI)

[Link]. Characteristics AQI Range
1 Good 0–50
2 Satisfactory 51–100
3 Poor 101–200
4 Very poor 301–400
5 Severe 401–500
68 M. Saket et al.

[Link]). The PM 10 and PM 255 were reduced by about 51.84% and 53.11%
respectively during lockdown period in Kanpur. The NO2 , CO, SO2 and NH3 were
decreased around 52.8%, 30.35%, 12.33% respectively during lockdown at Kanpur
state of UP.
Air Quality Index in north, south, east, central and western India reduced by 44, 33,
29, 15 and 32% respectively. A reduction of 43, 31, 10, 18% were observed in quantity
of PM2.5 , PM10 , CO and NO2 throughout India [9]. According to Central Pollution
Control Board (CPCB) the air quality index has significantly reduced throughout
India. The AQI in India is on a scale of 0–500 with 0–50 representing good air
quality which have minimal impact on humans, 51–100 shows that air quality is
satisfactory in which sensitive people may experience minor breathing discomfort,
101–200 shows that air quality is moderate and people with asthma, heart and lung
disease will face breathing discomfort, 201–300 shows that air quality is poor and its
prolonged exposure will cause discomfort to most people, 301–400 shows air quality
is very poor and prolonged exposure will cause respiratory illness, 401–500 shows
that air quality is severe and effects both healthy and unhealthy people [10]; It is
calculated by using concentrations of 3 pollutants out of which 1 is either PM2.5 or
PM10 , the remaining are any 2 of CO, NO2 , SO2 , Pb, O3 , NH3 of which minimum
concentrations are available [9]. The Chart shown below compares air quality index
in prominent cities of India like Delhi in North, Mumbai in West, Kolkata in East,
Indore in Centre and Chennai in South on 30/04/2019 to 30/04/2020 [10] (Fig. 1).
The satellite image of India published by NASA shown below clearly displays
that Aerosol level in terms of Aerosol Optical Depth in India are at 20 year low. Tiny
liquid and solid particles suspended in the air are termed as Aerosols; they reduce
visibility and can damage human lungs and heart [12]. While on the other hand
Aerosol Optical Depth (AOD) is measurement of absorption and reflection of light
by airborne particles in the atmosphere. AOD of 1 or more indicates hazy condition
where as AOD less than 0.1 indicates clean and clear condition [12] (Fig. 2).
The first 5 maps show AOD in India during March 31 to April 5 periods starting
from 2016 till 2020. The 6th map (Anomaly) show AOD in 2020 compared to
previous years.

Fig. 1 Air quality index in 250

different cities of India on
30/04/2019 [11] and 200
30/04/2020 [8]
150
30/04/2019

100 30/04/2020

0
Delhi Mumbai Kolkata Indore Chennai
Impact of Lockdown Due to COVID 19 Pandemic on Air Quality … 69

Fig. 2 Aerosol optical depth of India [12]

2.2 Air Pollution in China During Lockdown

Initially the COVID 19 outbreak took place was in China. In late December 2019
cases of fever, sore throat, dry cough, chest pain, rashes caused by COVID 19 were
reported in Wuhan. Later spread of COVID 19 was confirmed throughout the country
[13]. In January 2020 World Health Organization confirmed human to human trans-
mission. To slow down the transmission of COVID 19 pandemic the Wuhan was
placed under lockdown followed by Hubei province and subsequently the whole
China on January 23rd [2]. There was a huge reduction in urban transportation and
industrial activities throughout China which resulted in decline of coal and energy
consumption. Since burning of coal produces major air pollutants like CO, SO2 ,
NO2 , PM and heavy metals [13], a decline in consumption of coal resulted in reduc-
tion in air pollutants. The Air Quality Index was better than previous years in China
during January 2020 and February 2020. The China included PM2.5 and O3 concen-
trations as two new indicators to the National Ambient Air Quality Standards in the
year 2012s [14]. The Air Quality Index of China reduced from 71.6 (lockdown) to
70 M. Saket et al.

Fig. 3 Concentration of air 120

pollutants in µg/m3 in China
[13] 100

60 2019

2020
40

0
PM2.5 PM10 NO2 SO2 O3

89.6 (before lockdown) [15]. The satellite image published by NASA have shown
decrease in air pollution level (Figs. 3, 4 and 5), [2, 13].

Fig. 4 Concentration of NO2 in China in January and February 2020 [16]

Impact of Lockdown Due to COVID 19 Pandemic on Air Quality … 71

Fig. 5 Concentration of NO2 in Wuhan [12]

2.3 Air Pollution in United States of America During

Lockdown

The first COVID 19 case reported in USA on January 15, 2020 and within in short
period of time USA became the epicenter of COVID 19 Pandemic [17]. To keep
a check on increasing number of cases restrictions were laid down on the public
USA which affected its economy in a negative manner and substantially improved
air quality of ambient air. In USA Air Quality Index uses six major pollutants PM10 ,
PM2.5 , CO, NO2 , SO2 , O3 [18]. But the most hazardous pollutant among all of
them is PM2.5 which concentration was reduced during lockdown period (March
23–April 13, 2020). Los Angeles saw a drop of 31% in concentration of PM2.5, its
average value came down to 5.5 µg/m3 from 7.97 µg/m3 . New City saw a drop
of 25% in concentration of PM2.5, its average value came down to 4.4 µg/m3 from
5.86 µg/m3 [19]. The satellite image captured by NASA showed a reduction of
30% in concentration of NO2 during March in north eastern part of United States as
compared to average concentration in March 2015–2019 (Fig. 6) [2].
72 M. Saket et al.

Fig. 6 Concentration of NO2 in northeastern America before and after lockdown [12]

2.4 Air Pollution in Italy

Italy is one of the worst affected countries and to keep a check on the rising number of
COVID 19 cases Italy went into lock down from early March. Restrictions on human
activities resulted in less vehicular movements which in turn resulted in decline of
NO2 concentrations [20]. The reduction in NO2 emissions across Italy was 20 to 30%
[2]. The satellite image published by ESA has shown reduction in NO2 concentration
in March 2020 when compared to March 2019 (Fig. 7).
France implemented lockdown from mid of March; it resulted in drop of NO2
concentration. The satellite image of France captured by ESA showing reduction in

Fig. 7 Reduction in NO2 in Italy [16]

Impact of Lockdown Due to COVID 19 Pandemic on Air Quality … 73

emissions of NO2 concentration in March 2020 compared to March 2019 (Fig. 8)

[2]. Spain went into lockdown from March 23 [19], during lockdown the reduction
in emissions of NO2 observed compared to March 2019 (Fig. 9) [2]. There was
reduction of 11% in concentration of PM2.5 in comparison to last year, its value
reduced to 6.4 µg/m3 from 7.19 µg/m3 [19] in Madrid, Spain.
UK implemented lockdown from March 23 to curb rising number of corona virus
cases, the reduction in human activities improved the quality of air. A reduction of
9% in the concentration of PM2.5 was noticed in London during the lockdown period,
the concentration of PM2.5 reduced to 16.2 µg/m3 from 17.80 µg/m3 [19].

Fig. 8 Reduction in NO2 in France [16]

Fig. 9 Reduction in NO2 in Spain [16]

74 M. Saket et al.

3 Conclusion

The quality of air have been improved due to Covid 19 Pandemic lockdown in various
part of the world. The major air pollutants like PM10, PM2.5, CO, NO2, SO2, O3 were
found to be decreased during lockdown period.

References

1. S.A. Meo, T. Al-Khlaiwi, A.M. Usmani, A.S. Meo, D.C. Klonoff, T.D. Hoang, Biological and
Epidemiological Trends in the Prevalence and Mortality due to Outbreaks of Novel Coronavirus
COVID-19, J. King Saud Univ. Sci. (2020) [Link]
2. S. Muhammad, X. Long, M. Salman, COVID-19 pandemic and environmental pollution: A
blessing in disguise?, Sci. Total Environ. 728 (2020) 138820. [Link]
env.2020.138820.
3. I. Chakraborty, P. Maity, COVID-19 outbreak: Migration, effects on society, global environment
and prevention, Sci. Total Environ. 728 (2020) 138882. [Link]
2020.138882.
4. World Health Organization, 2018. Ambient ( outdoor ) air pollution [WWW Document]. Who.
5. M. Kampa, E. Castanas, Human health effects of air pollution, Environ. Pollut. 151 (2008)
362–367. [Link]
6. WHO | CLEAN AIR FOR HEALTH: Geneva Action Agenda [WWW Document], 2018. .
Who. [Link]
7. B. Bishoi, A. Prakash, V.K. Jain, A Comparative Study of Air Quality Index Based on Factor
Analysis and US-EPA Methods for an Urban Environment, 9 (2009) 1–17.
8. CPCB, 2020. Central Pollution Control Board LIST OF AQI STATIONS.(b)
9. S. Sharma, M. Zhang, Anshika, J. Gao, H. Zhang, S.H. Kota, Effect of restricted emissions
during COVID-19 on air quality in India, Sci. Total Environ. 728 (2020) 138878. [Link]
org/10.1016/[Link].2020.138878.
10. CPCB, 2014. National Air Quality Index. Cent. Pollut. Control Board 1–44.
11. CPCB, 2019. Central Pollution Control Board LIST OF AQI STATIONS.(a)
12. “Live: Launch America — NASA’s Spacex Demo-2 Mission To The International Space
Station". 2020. NASA. [Link]
2-mission-to-the-international-space-station.
13. Q. Wang, M. Su, A preliminary assessment of the impact of COVID-19 on environment – A
case study of China, Sci. Total Environ. 728 (2020) 138915. [Link]
env.2020.138915.
14. Zhan, D., Kwan, M.P., Zhang, W., Yu, X., Meng, B., Liu, Q., 2018. The driving factors of air
quality index in China. J. Clean. Prod. 197, 1342–1351. [Link]
06.108
15. Y. Wang, Y. Yuan, Q. Wang, C. Liu, Q. Zhi, J. Cao, Changes in air quality related to the control
of coronavirus in China: Implications for traffic and industrial emissions, Sci. Total Environ.
731 (2020) 139133. [Link]
16. European Space Agency [WWW Document], 2006. . Choice Rev. Online.
17. M.F. Bashir, B. Ma, Bilal, B. Komal, M.A. Bashir, D. Tan, M. Bashir, Correlation between
climate indicators and COVID-19 pandemic in New York, USA, Sci. Total Environ. 728 (2020)
138835. [Link]
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18. M. Mirabelli, S. Ebelt, S. Damon, Air Quality Index and air quality awareness among adults
in the United States, Environ. Res. 183 (2020) 109185. [Link]
109185.
19. IQAir, 2020. Covid-19 Air Quality report 1–14.
20. Anjum, N., Good in The Worst: COVID-19 Restrictions and Ease in Global Air Pollution Naser
A. Anjum, (2020). [Link]
Stress Condition Modeling to Optimize
Mud Weight Window for Efficient
Drilling

Dharmendra Kumar Gupta, Kamal Chandra Dani, and Pushpa Sharma

Abstract Geomechanical instability refers most significant incidents during drilling

operations such as wellbore collapse or failure. In general, wellbore instability is
related to drill pipe sticking, tight spots, caving production, wellbore collapse and
unscheduled sidetracks. These mechanical conditions are mostly cause by unknown
rock stress conditions and lead to increased costs during drilling and completion
operations. Wellbore instability issues are important in the success of drilling opera-
tions. One of the main goals of any drilling mission is to drill the well economically
viable. Wellbore instability can be detrimental to this goal and it is included during
well planning stage. Therefore, It is quite difficult to measure the state of stress acting
on a borehole wall. The uses of inclined and horizontal wells in the exploitation of
natural resources have increased considerably and so the need of wellbore insta-
bility while drilling arises. This is particularly true for long reach, highly deviated
and horizontal wells where the cost of downtime is very high. During the develop-
ment phase engineers seek to optimize wellbore instability through determination of
optimal well trajectories and safe mud weight window. The response of the wellbore
to the drilling process can monitored and compared to the rock failure criterion.
Therefore, wellbore instability is a function of several factors such as well bore incli-
nation and azimuth, in situ stresses, mud weight, rock strength properties etc. Some
of these factors are controllable and some are not. Among the controllable factors
are inclination, azimuth and mud weight. By changing these parameters, one can
reduce instability problems significantly. Theoretically, it is possible to design the
well trajectory in a way to face least instability problems. Present paper describes that
the linear elastic model along with Mohr’s-Coulomb failure criterion can be utilize
to calculate optimum mud weight window to avoid wellbore instability problems.

D. K. Gupta (B) · P. Sharma

School of Engineering, University of Petroleum and Energy Studies, Dehradun, Uttarakhand
248007, India
e-mail: dkgupta@[Link]
K. C. Dani
Drilling and Completion, Division of Exploration and Production, Reliance Industries Limited,
Mumbai 400021, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 77

N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
78 D. K. Gupta et al.

Keywords Drilling · In-situ stress · Mohr’s coulomb failure criterion · Wellbore

instability · And mud weight

1 Introduction

Wellbore stability modeling is relevant to the full lifecycle of oil exploration and
production. Wellbore stability analysis has therefore been included at the well plan-
ning stage and been studied extensively. Increasingly, drilling programs are incorpo-
rating a more proactive approach to mitigate this frequent and expensive source of
drilling cost over-runs [1]. Therefore, to maintain wellbore integrity, geomechanical
modeling techniques are using available data to provide a solid technical foundation
from which to manage the drilling process. Mostly stability problems occur in shale
formations. The main causes are high original pore pressure and drilling-induced
pore pressure perturbations. In addition to well-known shear failure, tensile failure
of shales is one of the most troublesome and hard-to-predict forms of wellbore desta-
bilization. Modeling of the near-wellbore stress environment requires consideration
of the complex interaction of wellbore mechanical and hydraulic forces (Fig. 1).
Number of platforms can be minimize just by implementing deviated production
wells. The directional and horizontal wells expose more area for flow of crude oil,
result increase in production. However, if azimuth and inclination angle are not
analyzed properly, other problem like transportation of cutting, well bore stability
becomes the key challenges.
Initially, the subsurface formation is in equilibrium condition under in situ stress
balance. After drilling, remove cuttings that create mechanical disturbance to the

Fig. 1 Typical stability

problems during drilling
Stress Condition Modeling to Optimize Mud Weight … 79

Fig. 2 Pipe sticking problem i.e. pack-off/hole bridge

equilibrium condition. Hence to overcome the new situation, stresses around bore
well are developed and are known as induced stresses. If induced stresses are not
managed properly than well may collapse or tensile failure (Fig. 2).

2 Model Structure and Methodology

The overriding objective of present research work is to develop conceptual learning

of most confusing and complicated area of Geomechanics and to investigate the
effect of stresses on wellbore stability under varying borehole orientation. The work
is classify into three stages as describe below.
A. Model Development
It emphasizes the estimation techniques of in-situ earth stresses, transposition
of in-situ earth stresses from global earth co-ordinates to wellbore co-ordinates
and the variation of induced wellbore stresses along the periphery of the well-
bore. Wellbore stability analysis is carry based on present field procedures and
techniques involved in the geomechanical model development.
B. Programming
Since manual calculation to solve wellbore stability analysis takes so much
time because of the very lengthy calculation procedure, a suitable C-Program
was develop for various output conditions to simplify the calculation work to
determine the induced wellbore stresses for various borehole inclination and
azimuth angles.
C. Computational Analysis
80 D. K. Gupta et al.

With the aid of C-Programs, the induced wellbore stresses for various well
profiles namely vertical, directional and horizontal wellbore were determined.
Based on the calculated stress values, various wellbore stress plots were
generate with the help of Matlab software to understand the stress concen-
tration variation around the wellbore and can easily inferred from the stress
plots that stress concentration varies strongly as a function of position around
the wellbore.

3 Stresses Around Borehole

Before drilling, rock stress can describe by the in-situ stresses and effective stresses.
As the hole was drill, the support provided by the rock is remove and replaced by
hydrostatic pressure. This change alters the stresses. The stress at any point on or
near the wellbore can now be described in terms of
1. Radial stress σrr acting along the radius of the wellbore
2. Hoop stress σθθ acting around the circumference of the wellbore (tangential)
3. Axial stress σzz acting parallel to the well path and
4. The additional shear stress components designated by (τrθ , τθz , τzθ ).
These stresses are perpendicular to each other and for mathematical convenience
is use as a borehole coordinate system.
Considering Cartesian (x, y, z) and cylindrical (r, θ, z) co-ordinate systems for
the analysis of stresses around wellbore as shown in figure. Following equations are
useful for the modeling of the problem (Figs. 3, 4 and 5):
The most complicated stress solution around well bore are given as
o
σxo + σ y0 a2 σx + σ y0 a4 a2
σr = 1− 2 + 1 + 3 4 − 4 2 cos 2θ
2 r 2 r r

a4 a2 a2
+ σx0y 1 + 3 4 − 4 2 sin 2θ + Pw 2 .
r r r

0
σx + σ y
o
a2 σx + σ y
o 0
a4
σθ = 1+ 2 − 1 + 3 4 cos 2θ
2 r 2 r
4 2
a a
− σx0y 1 + 3 4 sin 2θ − Pw 2 .
r r

a 2
a2
σs = σs0 − v 2 σxo − σ yo 2 cos 2θ + 4σxoy 2 sin 2θ .
r r
o 2
σx − σ yo a 4
a a4 a2
σr θ = − 1 − 3 4 + 2 2 sin 2θ + σx0y 1 − 3 4 + 2 2 cos 2θ.
2 r r r r

a2
σθ z = −σx0z sin θ + σ yz 0
cos θ 1 + 2 ,
r
Stress Condition Modeling to Optimize Mud Weight … 81

Fig. 3 Stress transformation from Cartesian to cylindrical system

Fig. 4 Far field stress co-ordinate system

a2
σr z = σx0z cos θ + σ yz
0
sin θ 1 − 2 ,
r

Note as,
a—radius of the wellbore
Pw —internal wellbore pressure
ν — Poisson’s ratio
82 D. K. Gupta et al.

Fig. 5 Stress transformation system for arbitrary borehole

θ—Angle measured clockwise from the x-axis.

Moher’s Coulomb Criterion
This rock failure criterion states that the material resists the shear stress across a
plane Cohesion (C) and normal stress (σ ) such that (Fig. 6):

|τ| = C + σ tan ∅

Fig. 6 Coulomb strength

envelopes in terms of shear
and normal stresses
Stress Condition Modeling to Optimize Mud Weight … 83

4 Results and Discussion

Results
Various wellbore stress plots were draw for different well conditions to understand
the stress concentration around the wellbore.
Reservoir Data for Stress Plots (Vertical and Horizontal Well)
Considering following wellbore data:
Wellbore Pressure Pw = 5000psi.
Poisson Ratio v = 0.2
Vertical In-situ Stress = 12,000 psi.
Max Horizontal Stress = 10,000 psi.
Min Horizontal Stress = 9000 psi.
Using this field data, we plotted Induced Tangential stress, Axial Stress versus
Circumferential.
Angle (θ) for a vertical and horizontal wellbore.

4.1 Stress Plot for Vertical Wellbore

Discussions
• Referring to Fig. 7 for a vertical wellbore orientation, the induced wellbore hoop
stress is always greater than the induced wellbore axial stress
• The induced wellbore stresses namely hoop stress and axial stress are indepen-
dent of transposed wellbore in-situ stresses and are depending only on wellbore
circumferential wall angle.

4.2 Stress Plot for Horizontal Wellbore

Discussions
• Referring to Fig. 8, for a Horizontal wellbore orientation, the induced wellbore
hoop stress is always greater than the induced wellbore axial stress
• The induced wellbore stresses namely hoop stress and axial stress are dependent on
transposed wellbore in-situ stresses and are depending on wellbore circumferential
wall angle.
84 D. K. Gupta et al.

Fig. 7 Stress plot for vertical wellbore

Fig. 8 Stress plot for horizontal wellbore

Stress Condition Modeling to Optimize Mud Weight … 85

Fig. 9 Comparision of stresses-vertical and horizontal wellbore

4.3 Comparision of Stresses-Vertical and Horizontal Wellbore

Discussions
• Referring to Fig. 9, when we compare a vertical wellbore orientation and hori-
zontal wellbore orientation, the induced wellbore hoop stress in a vertical well is
always greater than the induced wellbore hoop stress in a horizontal well.
• The in-situ stress acting along the horizontal well bore axis greatly influences the
magnitude of induced hoop stress
• Referring to Fig. 10, when we compare a vertical wellbore orientation and hori-
zontal wellbore orientation, the induced wellbore axial stress in a vertical well is
always greater than the induced wellbore axial stress in a horizontal well.
• The in-situ stress acting along the horizontal well bore axis greatly influences the
magnitude of induced axial stress.

4.4 Variation of Hoop Stress with Mud Weight

and Circumferential Wall Angle

Discussions.
• Referring to Fig. 11, Decrease in mud weight increases Hoop Stresses.
86 D. K. Gupta et al.

Fig. 10 Comparison between axial stresses

Fig. 11 Variation of hoop stress with circumferential angle

Stress Condition Modeling to Optimize Mud Weight … 87

• Increase in mud weight increases Radial Stresses as radial stress is directly

proportional to Mud Weight as seen from the previous mathematical expressions.

4.5 Validity of Results

• The discussions in above sections matches with Sect. 3 of Amoco’s Wellbore

Stability-Drilling Handbook.
• The pattern of various stress concentration plots around the wellbore wall we
obtained using Matlab is matching with pattern of stress concentration plots
around the wellbore wall of Sects. 6.3 and 6.5 of Reservoir Geomechanics by
M. D. Zoback.
• The results we got in above section is matching with the published SPE Paper
20405.

5 Safe Mud Weight Determinations

By computing the stresses at points around the circumference of the wellbore using
equations and comparing them with various failure criterions, we calculated at what
mud weights either tensile or compressive failure is initiated. The critical stress points
are manually calculated first around the periphery of the wellbore wall by varying
angle θ from 0 to 90. C-Programming was also developed to make complicated
calculations as simple as possible.
Field Data Assumptions
When no direct measurements of the horizontal stresses (minimum and maximum
principal horizontal in-situ stresses) in the reservoir were available, an arbitrary value
equivalent to 0.75 psi/ft was choose for both horizontal stresses. The vertical stress is
assume as 1 psi/ft. The formations were normally pressured equivalent to 0.45 psi/ft.
Minimum Mud Weight Comparison

Well inclination (°) Collapse pressure Minimum mud SPE 20405 (ppg) Error (%)
(psi) weight (ppg) manual
0 3992 8.999 8.9964 0.3
30 4250 9.5815 9.8294 2.5
50 4422.6 9.9707 10.6624 6.48
70 4594.8 10.359 11.0789 6.5
90 4767.07 10.747 11.4121 5.8
88 D. K. Gupta et al.

Fig. 12 Minimum mud weight required

Wellbore Stability Plot (Mohr Coulomb)

The calculated optimum mud weights were draw against well inclination to obtain
the wellbore stability plot (Fig. 12).
Discussions
• The Minimum mud weight required is directly proportional to the well inclina-
tion and Maximum mud weight required is inversely proportional to the well
inclination.
• Hoop stress contributes to collapse failure (ie, stress induced failure) whereas
Radial stress contributes to tensile failure (ie, drilling induced failure).

6 Conclusion

i. Rapid or frequent changes in wellbore pressure at the wellbore wall can have an
effect on the effective radial stress and these changes can lead to circumferential
tensile failure.
Stress Condition Modeling to Optimize Mud Weight … 89

ii. When radial stress increases hoop stress decreases, under this condition the
wellbore wall can go into tension and contribute to the occurrence of Drilling-
Induced Tensile Fractures.
iii. The stress concentration varies rapidly with respect to position around the
wellbore and distance from the wellbore wall.
iv. Inclined wells lose their relative stability very quickly with inclination. This is
due to the fairly high overburden gradient.
v. Depending upon the stress regime, the minimum and maximum horizontal
principal In-Situ Stress may exceed the Overburden In-Situ Stress.
vi. In conclusion stability model should never be considered as a purely determin-
istic trial.

References

1. McLennan, J. D., & Abou-Sayed, A. S. (2002, October). Some advances in near wellbore
geomechanics. In SPE/ISRM Rock Mechanics Conference, Irving, Texas, October 2002. https://
[Link]/10.2118/78194-MS
COVID-19 Fallout: India, Power Sector
and Lockdown

Deepali Yadav and V. Balaji Venkateswaran

Abstract The corona virus disease 2019 has affected the life of almost every indi-
vidual and the impact on various sectors of any country is still ongoing. The leaders
across the globe are working towards containing the disease by enforcing lockdown
measures and hence struggling to stabilise economy. India saw a little more than two
months of lockdown, which tremendously affected manufacturing, transport, change
in working pattern, supply chain and other industrial activities. This has directly
affected the electrical power sector of the country, with change in power consump-
tion and generation pattern during lockdown and delay in upcoming/ongoing projects
post lockdown. This paper presents a detailed discussion on power generation and
demand trend with change in energy mix during the lockdown period in the country.
Subsequent impact on already stressed distribution utilities, power market, govern-
ment measures and contributing factors are presented. At the end, prospective techno-
economic recommendations are discussed to overhaul the power sector to make a
resilient system for future.

1 Introduction

1.1 COVID-19 Fallout

The Corona Virus Disease 2019 (COVID-19) broke out in December 2019 in the
Wuhan City of Hubei province in China. Since then, the deadly virus has taken a toll
on human life across the world causing an unprecedented impact on global health
and economy. By end of January 2020, first few cases of COVID-19 infected indi-
viduals were reported in India and by February 2020, the World Health Organization

D. Yadav (B)
Electrical and Electronics Engineering Department, University of Petroleum and Energy Studies,
Dehradun 248001, India
V. Balaji Venkateswaran
School of Technology, Woxsen University, Hyderabad, Telangana, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 91

N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
92 D. Yadav and V. B. Venkateswaran

(WHO) declared it a pandemic [1]. Initially, the count of infected individuals was
low, but being the second highest populated country in the world, risk for India
was very high. In response, the Government of India (GoI) declared a nation-wide
lockdown on March 23 with an aim to save as many lives as possible [2]. Between
March 24 and May 31, lockdown in India saw varying levels of restrictions and
hence varied degree in opening country’s economy. Necessary sectors and services
like power, healthcare, and daily essentials came under the must run status during
the lockdown period. This nation-wide lockdown called for social-distancing, hence
imposing several restrictions on individual movements and economic activities. The
transport services, imports, exports, educational institutions, industries and manu-
facturing all came to a halt, except essential services and goods (must run status)
including the electrical power generation and supply [3]. This paper presents the
impact of covid-19 on Indian power sector and variation in power generation and
consumption during lockdown. The time frame selected is from March 2020 to May
2020.

1.2 Power Sector in India—Overview

As of April 30, 2020 the total installed capacity of India totals 370.348 GW including
fuel, hydro, nuclear and renewable energy sources [4]. Globally, India ranks third in
terms of both overall generation and consumption and in top five for RES installed
power capacity [5]. Factors like increasing demand, policy and reform support, attrac-
tive prospects and opportunities and increasing investments favour the power sector
in India. Hence, this sector has evolved from its introductory stage before 1956 to
nationalisation and liberalisation stage between 1956 and 2003 and currently stands
in its growth era [5]. From 2009 to 2019, the average annual percentage growth in
generation from conventional energy sources is 5.7% and electricity demand growth
rate was 7% during 2007–17 [4, 6]. With this India has set attractive and ambi-
tious power targets like its goal of achieving 175 GW RE by 2022 [7]. As per the
19th Electric Power Survey Committee (January 2018), the 2021–22 projections for
energy requirement and peak demand are 1566 Billion Units (BU) and 225.751 MW
respectively. The committee also projects an All-India installed capacity of 479.418
GW by the end of 2020–21 [8]. A 2 GW solar power project has been delayed
to come online in 2022 owing to constraints in equipment and labour availability.
However, despite a growing trend and a favourable scenario and having surplus
capacity, India faces numerous challenges like weak infrastructure and long-term
outstanding debt of numerous generation units, poor financial status of distribution
companies (DISCOMs) and high aggregate technical and commercial (AT&C) losses
[6]. Subsequently, by the end of 2019, the power sector in India owed an outstanding
debt of more than Rs. 80,000 crores (due to non-performing/stressed thermal gener-
ation units and poor cash flow of DISCOMs) [9]. The pandemic breakout in first
quarter of 2020 has worsened this situation due to various factors arising because of
COVID-19 Fallout: India, Power Sector and Lockdown 93

nation-wide lockdown, moratoriums and social distancing measures, especially for

upcoming projects and DISCOMS.

2 Government’s Response and Its Impact on Power Sector

With an aim to contain the virus, the GoI enforced nation-wide lockdown from March
25 to May 31 in four phases. Each phase saw a varying degree of restrictions, for
instance the phase 1 of lockdown (March 25 to April 14) restricted public from step-
ping out of homes, halted the activities of educational and industrial establishments,
suspended hospitality, transport and other services including banks, petrol pumps,
ATMs and food outlets [10]. Manufacturing and transport of essential goods and
services were permitted [10]. Phase 2 (April 15 to May 3) brought an ease in restric-
tions for areas where spread had been contained (called green zones) and allowed for
resumption of agriculture and horticulture sector [11]. Similarly, subsequent phase
3 and 4 further eased the extent of restrictions and by May 31 allowed for normal
movement of people, private offices with 33% staff, inter-state movement of goods
and e-commerce services for green zones [12].
During lockdown, with work from home pattern and halted industrial activities, the
industrial and commercial load reduced considerably and domestic load contributed
to the major share of power consumption. Between March 24 and April 19, all India
power supply reduced by 25% year-on-year and where there was an increase of 7% in
power supplied in February 2020, between March 1 and March 24 saw a decrease of
3% [13]. This scenario also affected the energy mix in generation adversely affecting
the thermal units as RES units were accorded the must run status by GoI for lockdown
period [14]. Subsequent sections present a graphical depiction of variation in energy
mix, demand and consumption during the lockdown period in India. In this study
non-covid factors like temperature, season, economic factors and meter issues, etc.
have not been considered.
In addition, the enforcement of lockdown measures bought with it adverse impact
due to factors like—supply chain disruption due to halted transport and reduced or
no labour for all sectors including the power sector—in terms of both operation and
finances.

2.1 Electrical Power Demand and Energy Consumption

About 1.3 billion people in the country obliged the rules laid down by the government
as part of COVID-19 lockdown by staying at home and in most cases working from
home. The lockdown also suspended industrial activities and non-essential commer-
cial services. Consequently, the power demand from these customers considerably
reduced and on the other hand, domestic demand expectedly increased. As per Central
94 D. Yadav and V. B. Venkateswaran

Fig. 1 All India demand (evening peak hour, GW)

Electricity Authority (CEA) report 2018–19, of the total all-India demand- indus-
trial, commercial, agricultural and domestic load consumes approximately 41.2%,
8.2%, 17.7% and 24.8% respectively [15]. Figure 1 depicts variation in all-India
peak hour demand during lockdown months from March 2020 to May 2020 [16]. It
can be fairly concluded that for phase 1 (March 25 to April 14) of lockdown peak
demand reduced considerably falling to as low as 108.95 GW on March 27. Phase
2 of lockdown (April 15 to May 3) depicts slight increase in demand, as certain
restrictions were eased and agriculture and horticulture services were resumed. With
subsequent phases of lockdown (Phase 3 from May 4 to May 17 & phase 4 from
May 18 to May 31) restrictions were further relieved and thus a smooth increase in
peak power demand is noticed [12, 16]. However, the pattern still does not reflect the
pre-covid trend. Figure 3 suggests an average reduction of approximately 17.14%
(y-o-y) in peak power demand during the lockdown with maximum reduction of
24.44% occurring in April 2020 compared to April 2019 and 11.38% compared to
March 2020. This can be attributed to the fact that most part of April saw strict
lockdown rules when compared to relatively eased restrictions in May and only last
quarter of March facing lockdown. Figure 2 represents a similar pattern showing
variation in all-India energy consumption during lockdown. Figure 4 represents total
energy consumption from March to May 2020, depicting a comparison with corre-
sponding non-covid months of year 2019 and with previous month of 2020 having
varied degree of lockdown restrictions. Later part of lockdown saw resumption in
most industrial and commercial activities as is evident from Figs. 3 and 4, peak power
demand and total energy consumption in May 2020 increased by 12.72% and 23.9%
respectively relative to April 2020.

2.2 Source Wise Generation—Change in Energy Mix

With lockdown restrictions across the country, the energy mix shows an increasing
trend in share of RES and hydro generation (Fig. 5). The key factors for this include
COVID-19 Fallout: India, Power Sector and Lockdown 95

Fig. 2 All India energy consumption (GWh)

Fig. 3 All India average demand (evening peak, GW) a MAR’20. b APR’20. c MAY’20

Fig. 4 All India average energy consumption GWh. a MAR’20. b APR’20. c MAY’20
CONTRIBUTION IN TOTAL

%Thermal (Coal) %RES %Hydro

GENERATION
PERCENTAGE

9.14% 12.06% 14.13%

9.61% 11.04% 11.94%

71.44% 65.40% 64.21%

MAR'20 APR'20 MAY'20

Fig. 5 Source wise contribution in total generation (%)

96 D. Yadav and V. B. Venkateswaran

Table 1 Percent source/fuel wise contribution in total monthly generation

Source/fuel March 2020 (%) April 2020 (%) May 2020 (%)
Coal 71.44 65.40 64.21
Lignite 2.42 2.65 2.20
Hydro 9.14 12.06 14.14
Nuclear 3.43 3.89 3.14
Gas, naphtha and diesel (GND) 3.94 4.88 4.36
RES (wind, solar, biomass, other) 9.61 11.04 11.94

Fig. 6 All India thermal generation (coal, GWh)

reduced power demand, must run status to RES units, lower operating cost and
priority access to grid through government framework and regulations [17, 18]. Table
1 shows significant reduction in the gap between coal based thermal and renewable
generation [16]. Percentage share of coal consistently remains below 70% (Fig. 6),
recovering only in later half of May when lockdown restrictions soften and power
demand recovers. The pre-lockdown months recorded average 73% share in genera-
tion from coal, which reduced to 64% during lockdown [16]. This suggests an adverse
impact on coal based power plants compared to other energy sources. Already the
thermal power plants have seen a drastic fall in Plant Load Factor (PLF) from 77.5%
in 2009–10 to 42.4% in April 2020 [4]. Such scenario could subsequently lead to
these plants lying idle and their fixed cost would be a burden. In addition, increase
in coal stocks and its reduced demand could be a concern too, as power sector is
major consumer (87%) of domestic coal [19]. Such factors would further challenge
the financial viability of these plants due to decreased utilisation of capacity.
On other hand, RES generation sees a rising trend with approximately 24.44%
average month-on-month rise in the total generation share from March to May 2020
(Fig. 7). In addition, the share of hydro generation also increased from March to
May 2020 (Table 1). On bright side, although not for long-term, this has resulted in
increased use of clean energy and hence reduced CO2 emissions [20].
COVID-19 Fallout: India, Power Sector and Lockdown 97

Fig. 7 All India RE generation (GWh)

2.3 Impact on Grid, Reforms and Power Market

The domestic and agriculture load tariff in India is low when compared to industrial
and commercial loads. It is lower than the average supply cost. With people confining
to their homes and industries shutdown, industrial and commercial demand reduced
and domestic expectedly increased. This has coincided with a dip in clearing volume
and market clearing price [20]. As illustrated in Fig. 2 on March 16 (pre covid
lockdown) the energy demand was 3494 GWh and in last week of March (lock-
down imposed) energy consumption varied between 2600 and 2800 GWh. Hence,
the already stressed DISCOM utilities suffered a major revenue loss due to reduced
demand and incapability to ensure cross subsidy to domestic consumers. Addition-
ally, compliance of long-term power purchase agreements (PPAs) with generator
units would be a challenge too [21]. Also, owing to the financial challenges faced by
the citizens due to pandemic, the government provided moratorium to consumers in
electricity bill payments and simultaneously the utilities have maintained continuity
of supply. Subsequently, with delay in bill payment cycle the cash flow status of
DISCOMS would be compromised further [17].
India ambitiously aims for 176 GW capacity addition by 2020, which includes
118 GW form RES, 6.8 GW from hydro, and 6.4 GW from thermal (coal based)
[8]. The impact of pandemic lockdown has adversely affected these targets halted
construction activities, global supply-chain disruption leading to difficulty in avail-
ability of components that are imported from China or Europe and poor revenue due
to reduced demand that financially incapacitates the companies [22]. Moreover, if the
government wants to achieve its high set RES future targets it must take measures to
ensure sufficient capital, as renewable projects require significant capital investment
and has long payback time which can be a challenge due to current economy of the
country. The GoI has always been pro-active for reforms and policies in power sector.
The implementation of real time market for electricity was scheduled on April 1.2020
which faced a delayed of two months [23]. There are numerous policy measures in
pipeline for 2020–21 including UDAY 2.0, a scheme aiming to provide installation
of smart meters among other things and coal block auction for commercial mining
[24, 25]. However, both plans seem to be delayed owing to the current situation.
98 D. Yadav and V. B. Venkateswaran

3 Government Measures

In May 2020, the government announced special relief package to revive economy,
the Atmanirbhar Bharat (self-reliant India) plan. For power sector, it provided key
reforms in tariff policy, privatization of utilities in Union Territories, and a liquidity
infusion of Rs. 90,000 crore by Power Finance Corporation (PFC) and Rural Electrifi-
cation Corporation (REC) to aid the hard hit DISCOMs stabilize their financial status
[25]. With this discom utilities could clear their outstanding dues with generation and
transmission units which owing to default had to stop supplies to distribution compa-
nies. Additionally, Ministry of New & Renewable Energy (MNRE) has presented
the start of campaign to foster domestic manufacturing for RE sector [26].

4 Recommendations

The COVID-19 affected the interconnected power system network with major
demand variations and variable and unpredictable RE generation, subsequently, the
grid operator must take suitable measures to manage the demand and at the same
time ensure grid stability and reliability [27]. Various options explored in different
power markets to manage the large variations in demand provide recommendations
to mitigate the risks covid has posed to the power sector and a holistic approach to
modify business with innovations in technology and digitization.

4.1 Use of Existing Hydro and Thermal Fleet

The hydro generation is either reservoir based or run-of-river type. The reservoir-
based plants can be used to manage system variability due to the fast response from
these machines. The hydro machine has capability to reach full load within 5 min so
these units provide the most ideal solution for managing large variations. However,
their availability depends on monsoon and so this may limit their actual contribution.
Most of the existing thermal fleet comprises of coal and gas-based power generations.
Coal plants while provide about 1% of ramp up/down capability, the gas turbines are
much faster. A combined cycle gas turbine would provide about 3–5% ramp up/down
performance depending on the class of machine whereas a simple cycle operation
could provide a ramp rate of between 8 and 10%. A judicious use of gas turbines
could help manage the system variability.
COVID-19 Fallout: India, Power Sector and Lockdown 99

4.2 Modifying the Existing Thermal Fleet

There is an ongoing effort to reduce the emission from the thermal units that requires
retrofit of suitable emission reduction equipment in the installed units. It may also be
noted that the performance of the existing units is most optimal at the rated capacity.
These units may be suitably modified to provide near optimal performance at part
loads, improved ramp rate and reduced emission. All these modifications would
ensure better performance of these units and the grid.

4.3 Possible Future Measures

Energy storage solutions have been increasingly perceived as fast solution for
frequency control. The duration of these solutions could vary from a shorter dura-
tion of few seconds to few hours/days. A proper grid study can help establish the
need for the right solution and it would be worth exploring the possible solutions.
Flywheel and ultra-capacitors can add smaller watts in the system and provide quick
frequency response. Pumped hydro would be able to provide higher capacity for
longer durations. Batteries additions into the network in several grids can provide
for absorbing variability of renewable power. These can cover timeframes from very
short duration to large duration and rating varies from few kilowatts (KW) to mega-
watts (MW). Demand Response is another solution that may be worth considering
by the distribution companies. This approach can help in optimizing the demand
and manage the demand variability. Although this is an emerging solution, it would
entail implementing smart metering infrastructure and smart devices to be able to
participate.

5 Conclusion

In the lockdown period, it can be observed that the collapse in electrical power
consumption has risen from 9.6% in the month of June to 2.6% in July This can
be accounted for unlock activities owing to presumption of major commercial and
industrial units nationwide. In addition, the peak demand has shown a considerable
rise from complete lockdown months of April–May to June–July 2020, when unlock
was initiated. The peak demand in power in year 2019 for months April to July has
shown a dip in its respective values in year 2020, with slump ranging from 25%
in April to 9.6% in June 2020 relative to corresponding values in 2019. Although
minor relaxations in lockdown can be one reason for rise in demand from May 2020
onwards but the fact that increasing temperatures of summer months with extreme
heat can also be accounted for a contributing factor for demand rise. The leaders
and specialists in the power and energy field across the globe project normal levels
100 D. Yadav and V. B. Venkateswaran

of demand and power consumption in the coming months, owing to government’s

planned stages of unlock activities.
After reviewing the present status of power sector and from the expert opinion,
recommendations to revive power sector are derived in this article.

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Assessing the Impact of Novel
Coronavirus (COVID-19) on Renewable
Energy Sector of India During
the Lockdown

Deepali Yadav and V. Balaji Venkateswaran

Abstract This paper presents the impact of coronavirus disease on the Renewable
Energy (solar and wind) market of India. This study describes the impact on RE busi-
ness over its five dimensions—continuity of operation, year on year (YOY) growth,
securing financials, client and employee, and social responsibility. This commentary
presents the effect on the implementation of upcoming projects, policies, and frame-
works in 2020–21 are presented in detail with special emphasis on challenges faced
by RE developers and off-grid companies, economic slowdown and government
response and actions to mitigate the same. In the end, the paper presents possible
measures and recommendations with a short-term and long-term vision, immedi-
ately aiming for safeguarding public health and gradually for the country’s economic
revival and developing shock resilient RE sector.

Keywords Novel Coronavirus (COVID-19) · Solar power · Wind power

1 Introduction

Novel Coronavirus or more commonly called as Corona Virus Disease-2019

(COVID-19) originated in late December 2019, with first human cases reported
officially in Wuhan City, China [1, 2]. Since, then the disease has taken a toll on
human life all over the world.
By March 2020, COVID 19 was declared a global pandemic by WHO (World
Health Organisation) causing a public health threat and thus triggering a crunch in
the global economy at an unprecedented level. In India (and other countries too),
the respective governments have taken suitable measures to contain the disease and
lessen its impact at a relatively initial stage [3]. With lockdown measures, suspended

D. Yadav (B)
Department of Electrical and Electronics Engineering, University of Petroleum and Energy
Studies, Dehradun, Uttarakhand, India
V. Balaji Venkateswaran
School of Technology, Woxsen University, Hyderabad, Telangana, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 103
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
104 D. Yadav and V. B. Venkateswaran

import/export and rate cuts there has been a significant impact on all industry sectors,
including the RE market of India. The pandemic timing has been such that the RE
sector in India was at its boom, ambitiously aiming to achieve the 450 GW target
by 2030 [4]. But with nationwide lockdown, all plans and developments remain
suspended [5].
Hence, there is a need to take rightfully immediate and adequate measures to
contain the crisis and subsequently develop a framework and policies to revive
economic growth and make headway for the future RE sector with increased shock
resilience.

2 RE Scenario in India Before COVID-19

Being the first country in the world to set up a ministry (Ministry of New and Renew-
able Energy, MNRE) for its RE sector, the total Renewable Energy Sources (RES)
installed capacity (utilities) of India as of March 31, 2020, is 87.027 GW (including
state, private and central ownerships), which accounts for almost 23.5% of the total
installed capacity of Power Stations [6].
Out of this total RES capacity, solar and wind power accounts for 34.627 GW
and 37.693 GW respectively [6]. The pace of RE sector growth has been more than
satisfactory for India as its target for 2022 of installing 20 GW of solar power had
been achieved four years in advance of its deadline [7]. With this, the new targets
aim at 113 GW and 66GW from solar and wind power respectively by 2022. The
government’s renewable power framework and policies would speed up this rapid
expansion in 2020–21.
Out of the top five largest solar parks in the world, three are in India, with Bhadla
Solar Park being the largest in the world as of March 2020 with a capacity of 2.245
GW [8]. Even in the category of largest wind power installed capacity, India is
amongst the top five nations in the world [9]. With such a strong base and attractive
targets for the RE market, India has certainly established itself to become one of the
top nations for clean energy and sustainable power projects.

3 Impact of COVID 19 on Upcoming and Operational RE

Projects

In an attempt to contain COVID 19, the Indian government responded with measures
such as nationwide lockdown and restricted human activities. Although, on March
24, 2020, MNRE designated declared electrical power as an ‘essential service’ and on
April 1, 2020, designated a ‘must run’ status to RE generating stations [10]. Given this
scenario, the major challenges faced by operational and upcoming RE projects are
suspended manufacturing, restricted imports, workforce impact, restricted transports,
Assessing the Impact of Novel Coronavirus (COVID-19) … 105

Fig. 1 Projected solar and wind power installations (GW) for the year 2020 (showing impact due
to COVID 19)

trade, and financial market impact [11]. For the Atal Jyoti Yojana (AJAY) Program,
the MNRE issued an order on April 23, 2020, stating the shutting down of phase II of
the project due to pandemic outbreak [12]. Thus, it is expected that approximately 3
GW of solar and wind power projects would face delay with nearly 24.6 and 11.4%
drop in projected installed capacity of solar and wind projects (Fig. 1) [13].
The major obstacles for the pipelined projects are supply chain and labour disrup-
tions. Solar manufacturing units in India produce PV cells and modules with 1.1 GW
cells and 1.8 GW of modules and some limited accessories, however, its solar market
mostly remains dependent on imports, mainly from China [14]. Manufacturing units
in China supply approximately 70% of global solar panels and 10–15% of supplies
come from Chinese firms based in South East Asia [15].
On contrary to solar, the Indian wind market has been dependent on its wind
turbine and wind gearbox manufacturers, but with shutdown and suspension in
production, the execution of under implementation solar and wind power projects
has come to a standstill. Consequently, India’s roadmap to achieve 2022 targets face
a crisis, as the financing and deployment of RE ventures need to accelerate this year.
Meanwhile, with social distancing, it is difficult to have multiple meetings and
human interaction, which play a significant role in renewable projects, as social
acceptance of these projects has been a challenge and requires interaction with the
local community at all levels. This again directly leads to the delaying of upcoming
RE projects [15].
The operational projects and off-grid companies are at a lower risk due to supply
chain disruption as compared to the upcoming ventures. The existing RE developers
face challenges in production facilities, supplies, project site, and limited workforce,
but disruption for these projects remain minimal as they are dependent on natural
resources (solar and wind) [16].
106 D. Yadav and V. B. Venkateswaran

Since the major power consumption facilities (malls, complexes, university

campuses, metro trains, etc.) are shut down, the all India power demand has reduced
(Figs. 2 and 3) (from 154 GW on March 20, 2020, to 114.9 GW on March 30,
2020) [17] and for the existing demand (mainly domestic) few developers are facing
problems in generating monthly power sale invoices [16]. With this, the DISCOMs
face disruption in cash flow and may be forced to call for RE curtailment. Also in
an attempt to lessen the pressure on DISCOMs, the Central Electricity Regulatory
Commission (CERC) has reduced the surcharge payable due to late payment, by
DISCOMs to generation units [16]. This eventually may lead to DISCOMs delaying
payments to renewable projects.
Aerage Energy Demand (GWh/day)

3615
3559
3377
3232

Feb'2019 Mar'2019 Feb'2020 Mar'2020

Month During
Lockdown

Fig. 2 All India average energy demand (GWh/day)

Fig. 3 Variation in all India energy consumption (GWh) pre and post lockdown due to COVID 19
Assessing the Impact of Novel Coronavirus (COVID-19) … 107

4 Impact on Off-Grid RE Companies

The effect on off-grid companies are more adverse than their grid-connected coun-
terparts do, as most of them are small or mid-sized companies. Their major chal-
lenges to deal with include, sustaining operation, service and maintenance, employee
and customer satisfaction, securing financials, growth, and revival strategy. Due to
lockdown, the installation of solar rooftops has stopped, and businesses or house-
holds planning to install solar PVs may altogether postpone or cancel their plans
owing to financial burden and economic crunch [15]. With declining investment and
suspended supplies, these companies have to work hard to maintain cash, focus on
existing customers, ensure essential service status to off-grid supply and at the same
time come up with revival plans for sustaining business growth.

5 Economic Impact and Subsequent Government Measures

The COVID 19 crisis has had an unparalleled impact on the economy. By mid-April,
the power demand in India had fallen by 25–30% [18]. Due to supply chain disruption,
production slowdown, and no or reduced workforce the upcoming solar and wind
projects will face delay, this may most likely lead to missing deadlines. This puts the
developers at risk of penalties; bank guarantees encashment and lower credit ratings.
As already stated, the DISCOMs are facing collection issues (difficulty in raising
physical invoices during lockdown), which in turn affects their cash liquidity status
and leads to delay in payments made by DISOCOMs to generation and transmission
companies.
In wake of this and RE developers’ representation, the MNRE notified on Apri’17
2020, that supply chain disruption due to COVID-19 would be a case of natural
calamity and invoked Force Majeure Clause. This has granted the developers a suit-
able time extension in completion and normalization post lockdown [10]. The ‘must-
run’ status had already been given to RE generation by MNRE, but on April 1, 2020,
it issued an office memorandum directing DISCOMs to make payments to RE Gener-
ating Stations as they form a small part of the total power generation in the country
[10].
In this pandemic situation, the government has been more than active in providing
relief for the country’s RE sector from time to time. Even before the corona crisis
hit the country, MNRE had granted relief to developers in view of supply disrup-
tions due to the lockdown situation in other countries (China, USA, Europe) [10].
The main directions by MNRE in response to the corona crisis include—granting
‘must-run’ status, invoking force majeure, extension in the deadline for project devel-
opers without the requirement of submitting any proof or evidence to avail same,
normalization period, and directing DISCOMs for payment to RE generation units.
108 D. Yadav and V. B. Venkateswaran

6 Recommendations by Global Energy Leaders

The leaders of the RE sector across the globe recommend strategy and plan that
concurrently meet the objective of managing the crisis, recovery, and securing future
growth [19]. The main dimensions of this journey may include—shifting mind-
set from present to future, identify uncertainties and their implications, clarity in
the objective, and recovery plan on persistent issues [20]. Practical steps for renew-
able energy sector would require—development of contingency plans, re-assessment
of the dynamics in supply chain and reflect on within-country manufacturing of
equipment to minimize sourcing from other countries, and as learning from this
crisis, accelerate the implementation of digital and automation technology for future
projects [15].

7 Conclusion

The COVID 19 crisis for the solar and wind power market of India implies a major
economic let-down, not only in the current situation of lockdown but also post lock-
down due to fall in Indian rupee which subsequently may lead to short term rise
in equipment price. However, it may also be fair to assume that the same will be
stabilized by excess supply from China due to reduced demand [16]. Although the
government has taken required measures and these may seem fit in the short-term,
however, policymakers need to take actions, aligned with short-term measures, for the
country’s economic growth and sustainable energy development in long run. There
is a need to reduce dependency on a single country for supplies, and plan for our
supply unit, provide stimulus packages to channelize funds to new RE technologies
that are not yet commercialized and are cost-effective (e.g. floating off-shore wind
and marine technology), incentives and energy policies providing tax credits, invest-
ment grants and specific loan schemes for technologies that are highly vulnerable
like solar PV [15].
While now it is right for policymakers and leaders to focus on public health and
contain the disease, it is also important, in the long-run, to carve our way out of
this pandemic in reviving the economy, developing new and restructuring existing
policies and framework for a more adaptive, shock resistant, cleaner and sustainable
renewable energy sector.

References

1. World Health Organization, “Coronavirus Disease (COVID-19) Situation Report—103,” 2020.

2. World Health Organization, “Coronavirus Disease 2019 Situation Report—94,” 2020.
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[Link]/.
Assessing the Impact of Novel Coronavirus (COVID-19) … 109

4. Central Electricity Authority, “Overview of Renewable Power Generation,” 2018.

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Council,” 2020. [Online]. Available: [Link]
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fications And Initiatives,” 2020. [Online]. Available: [Link]
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tives.
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2020.
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ments can help,” IEA, 2020. [Online]. Available: [Link]
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Sector,” 2020.
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[Link], 2020. [Online]. Available: [Link]
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covid-19/[Link].
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[Online]. Available: [Link]
[Link].
Study of the Ecological Effect of Bismuth
Layered Structured Ferroelectric
Materials Over Lead Zirconate Titanate

Gagan Anand

Abstract Lead is extensively used in many electronic components, and various

types of sensors used to measure temperature, pressure, etc. lead zirconate titanate
(PZT) is extensively expended, because of its high dielectric constant. Lead is an
environmentally hazardous and long term impact on humankind due to its high
toxicity. Since the last five decades, People have been working on developing lead-
free materials that possess better properties than PZT Martials. It is always necessary
to check the impact on the environment from developing the content, production,
consumption, and disposing of it. Comparing PZT and Bismuth layered structured
ferroelectric (BLSF) materials like SrBi4 Ti4 O15 , BaBi4 Ti4 O15 and CaBi4 Ti4 O15 have
been extensively studied with various dopants, these materials pose high dielectric
constant and have a higher value of transition temperature making these materials a
first choice for high-temperature sensors. These BLSF materials utilize lower energy
for production in comparison to PZT ceramics.

Keywords Lead free · Bismuth · Ecology · Sensors

1 Introduction

The growing need for materials and manufacture techniques that are ecologically
benevolent united with universal strategy initiatives such as European Union advice
on waste electrical and electronic equipment (WEEE) and Restriction of Hazardous
Substances (RoHS) [1–6] has stimulated the expansion of bismuth layered struc-
tured ferroelectrics (BLSF) ceramics for electronics, High-temperature sensor appli-
cations. Lead is used extensively in various appliances such as solder, paints,
high-temperature sensors, piezoelectric transducers, and a host of other electronic
modules [7]. On the contrary, lead is considered as environmentally hazardous and
non-biodegradable material having extreme effects on living organisms.

G. Anand (B)
Department of Physics, SOES, University of Petroleum and Energy Studies, Dehradun 248007,
India
e-mail: ganand@[Link]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 111
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
112 G. Anand

The general formula represents the Aurivillius family of compounds. (Bi2 O2 )2+
(Pn−1 Qn O3n+1 )2− the constants are, P can be a tria, mono, divalent ion, or a combi-
nation of all, e.g. Q = Sr, Ba, Bi, Ca, Na, Pb, and numerous rare-earth ions, where
B = Nb, Fe, Ti, Ta, W, Cr, and Mo, these are exceedingly charged ions.
In the last eight decades, over 100+ crystals have been identified as ferroelectricity
in nature. Ferroelectric oxides, in general, may be classified into two groups:
1. Materials which exhibits spontaneous polarization laterally one crystallographic
axis in the unpolarized condition, this group comprises potassium, di-hydrogen
phosphate, and related compounds, tartrates, etc.
2. Ferroelectrics having polar axis in more than 1 direction may additionally be
segmented into 4 edifice types: Pyrochlores (e.g.Cd2 Nb2 O7 ); bismuth layered
compounds (lead-free) (e.g.SrBi4 Ti4 O15 ); Perovskites (e.g. Barium titanate);
and Tungsten bronze (e.g. Lead niobium oxide);
All the above structures have a common attribute to the comportment of small
dimension with an enormous charge (e.g. Tantalum, titanium etc.) in the oxygen
octahedral, which are connected over angles arising due to an incessant chain of
oxygen-metal-oxygen Such structural arrangements are favourable for the occurrence
of ferroelectricity in metal-oxides. The addition of Lanthanum, Niobium, etc. to
barium titanate oxide has produced the positive temperature coefficient of resistivity
(PTCR) effect, which has resulted in its efficacy in thermistor formulation [8, 9]. The
layered structure of the BLSF materials is shown in Fig. 1.
Piezoelectric transducers have a global market of approximately $10 billion and
growing yearly at a pace of 15%. Piezoelectric sensors are used in various industries:
• Automobile: Audible alarms, fuel vaporizers, air drift sensors, and seat belt
indicators.
• Computer: Printers, temperature, and pressure sensors.

Fig. 1 Bismuth layered structured ferroelectric compounds (n indicates the number of levels)
Study of the Ecological Effect of Bismuth Layered Structured … 113

• Medical diagnostics and Cure

• Energy production and storage.
For the successful implementation of eco-friendly piezoelectric materials better
than PZT, it is necessary to understand the preparation technique, production, distri-
bution, consumption, and disposing of the material. A substantial role is played by
Life cycle assessment (LCA) in understanding the impact of the materials on the
environment. LCA helps us in ascertaining the result of material production and
developing strategies with the government authorities, which can be used to develop
environmental regulations. In this work, we would like to compare BLSF materials
properties with PZT and show that BLSF materials are eco-friendly compare to PZT.

2 Experimental

2.1 Fabrication Techniques (PZT or BLSF)

The piezoelectric materials are produced using a solid-state reactive (SSR) technique,
and a detailed process is shown in Fig. 2.
Initially, the chemicals are taken in proper ratio as per the stoichiometry. The
sample is mixed with water and subjected to a high energy mill for 18 h. As shown
in the flow chart during the milling process, the triturate grains get ensnared between
the balls and undergo buckle repeatedly. The slurry is taken in a glass crucible and
placed on the magnetic stirrer for uniform distribution. The process is supported by
heating the liquid at 800 °C to reduce the slurry. Calcination is a process to eliminate

Fig. 2 Flow chart explaining the production of PZT or BLSF materials

114 G. Anand

CO2 from the composition. Now at this stage, the residual is the final composition in
powdered form. The powder is taken in a die of predefine shape and size to compress
the pellets. The pellets are lastly sintered at elevated temperature to obtain high-
density samples. The density of samples is measured using the water displacement
technique developed by Archimedes as reported by Anand et al. [10].

3 Results and Discussion

3.1 Life Cycle Assessment (LCA)

LCA is built on the subsequent four crucial phases:

1. Purpose and opportunity: Aim is to define, and LCA systems limitations are
fixed.
2. Analysis: Evaluation of the roaster in which inputs and outputs at every step
of manufacturing are systematically collected and assimilated throughout the
whole structure.
3. Evaluation: evaluation of the effects on the environment, itemizing LCA
calculations leading to the same unit for relative study.
4. Impact Assessment: The elucidation of the LCI and compelling valuation of
outcomes, hence ascertaining the environmental high impact zones [11–13].
LCA involves the various steps in the manufacturing, production, distribution
of the inventions. It assesses the aggregate of supply chain contributions essen-
tial to manufacture a given operative unit (i.e. 1 kg of PZT/BLSF). Using lifecycle
portfolios, the process LCA can be conveyed arithmetically as:

n
= K p( j) X E p( j) (1)
j=1

where: Kp is the contributions (j) into an inventions (i.e. PZT vs. BLSF piezoelectric
materials) sequence of processes involved in the production and distribution etc.; n
is the entire count of bustle aids (j) into the inventions allocation manacle, and Ep is
the output concentration across several ecological and workable measurements (e.g.
Greenhouse gases emissions, the terrestrial area used, etc.), for each contribution (j)
into the inventions supply chain emanations.
Figure 3a emphasizes total energy utilization throughout the production accom-
plishments (i.e. Sintering, Calcination and pressing). PZT ingests supplementary
electrical and thermal energy across the significant production deeds except in
crushing where it utilizes circa identical to PZT. It is evident that the dispropor-
tion in energy utilization between BLSF and PZT exists; this is due to PZT has a
higher specific heat capacity than BLSF materials. PZT devours more considerable
thermal energy through the heat up successions tangled in production [14].
Study of the Ecological Effect of Bismuth Layered Structured … 115

Fig. 3 Evaluation of BLSF versus PZT. a Total energy utilization, b toxicological trajectory, c eco-
statistics

Figure 3b focuses on the toxicological trajectory. Our calculation of the toxi-

cological path enmeshes Freshwater aquatic eco-toxicity (FWAE), marine residue
eco-noxiousness (FWSE), human toxicity (HT), and sea aquatic eco-toxicity (MAE),
it discloses frighteningly extraordinary toxicological trajectory of PZT when asso-
ciated with BLSF. The main factor effecting is lead (Pb), which is ecologically
hazardous. Figure 3c indicates the eco-statistics, which also confirms the same as
determined in Fig. 3a, b.

3.2 Properties

The expected properties of piezoelectric materials are high dielectric constant, high
transition temperature for sensor applications. BLSF materials show high transition
temperature from 500 to 800 °C in comparison to PZT. The PZT materials have a
high d33 than BLSF materials. Both materials possess higher remnant polarization
and lower coercive field. Hence BLSF materials are a viable substitute for PZT
ceramics.
116 G. Anand

4 Conclusion

A large scale comparative LCA, the ecologically sustainable capabilities of BLSF

and PZT were studied over an eclectic array of statistics. The statistics reveal that
BLSF is more environmentally friendly than materials as compare to PZT. Above
all, BLSF materials have high transition temperature, which makes them a deserving
candidate for high-temperature sensors applications.

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present and future e-waste streams. Renewable and Sustainable Energy Reviews. 51. (2015)
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molten salt synthesis for producing K0. 5Na0. 5NbO3 lead-free ceramics. Journal of Materials
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titanate nanotubes. Journal of Materials Science. 43. (2008) 4753–9.
6. He C, Li X, Wang Z, Liu Y, Shen D, Li T, Growth of Pb (Fe 1/2 Nb 1/2) O 3–Pb (Yb 1/2 Nb 1/2)
O 3–PbTiO 3 piezo-ferroelectric crystals for high power and high-temperature applications.
Cryst Eng Comm. 14. (2012) 4407–13.
7. Reichmann K, Feteira A, Li M. Bismuth sodium titanate based materials for piezoelectric
actuators. Materials. 8. (2015) 8467–95.
8. Anand G, James A., and Sarah P. Dielectric and Polarization Studies of Ca Substituted in
Bi4SrTi4O15 Ceramics 116 (2010) 137–144.
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Bismuth Titanate Ceramics via High-energy Mechanical Milling. Defence Science Journal, 57.
(2007), 29–34.
10. Anand, G., Kuchhal P., & Sarah, P. AC and DC Conductivity Studies on Lead-Free Ceramics:
Sr1–x Ca x Bi4Ti4O15 (x= 0, 0.2, 0.4, 0.6, 0.8). Particulate Science and Technology 33 (2015),
41–46
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Integrated hybrid life cycle assessment and supply chain environmental profile evaluations of
lead-based (lead zirconate titanate) versus lead-free (potassium sodium niobate) piezoelectric
ceramics. Energy Environ. Sci. 9. (2016) 3495.
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embodied emissions in buildings—A review of current trends. Energy and Buildings. 66.
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18. (2010) 35564.
Convalescent the Ecosystem
by Enhancing the Life Cycle
of Lubricants with Blended Nano Oxides

Harsh Gupta, Santosh Kumar Rai, Nippaani Satya Krishna,

and Gagan Anand

Abstract Engine oil or lubricating oil is the lifeblood of any engine or machinery.
Engine oil is basically a selected petroleum oil fraction that has been suitably refined
and compounded with various types of additive agents. The primary assignment of
lubricating oil is to lubricate the metal parts of the engine or machinery. Present
paper stresses upon impacts of used oil on the environment, and improving life of
used lubricating oils to minimize its adverse effects on surroundings. Worn lubri-
cating oil is extremely hazardous contaminating outcome as well as these oils are
costly enough and intention of preserving precious overseas trade has emphasized
the awareness for re-refining used/worn oil. Used lubricating oils (ULOs) represent
a serious problem for environment and human health due to the presence of highly
harmful contaminants. Negligence in managing the waste/worn lubricating oil is a
severe ecological concern. Nearly every sorts of used oil comprise of the prospective
to be re-refined unharmed, preserving an expensive conventional or non-renewable
source and simultaneously reducing environmental contamination. Unluckily, a large
amount of waste/used oil is tackled inappropriately. Some of it is spilled openly into
the sewers, which mixed with wastes of water and hence harmfully upsetting the
industrial plants meant for water treatment. Some oil is discarded openly onto the
land to destroy wild plants or is spilled over soiled roads or is thrown in desert area,
where it can pollute surface water as well as ground water. Discarding worn oils
into the bionetwork gives birth to serious ecological problems. Stringent laws and
rules are being imposed all over the globe for the dumping of used petro-products

H. Gupta
Department of Mechanical Engineering, I.T.S. Engineering College, Greater Noida, Uttar
Pradesh, India
S. K. Rai
Petrology and Geochemistry Group, Wadia Institute of Himalayan Geology, 33, GMS Road,
Dehradun, Uttarakhand, India
H. Gupta · N. S. Krishna · G. Anand (B)
SOES, University of Petroleum and Energy Studies, Bidholi, Via-Premnagar, Dehradun,
Uttarakhand 248007, India
e-mail: ganand@[Link]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 117
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
118 H. Gupta et al.

and all the authentic attempts should be done for its recycling, re-refining and re-
use. In majority of cases, used/waste oil can be used again post treatment with or
without additives ensuing in large saving and preservation of expensive oil. Hence
renewal, recovery or recycling of exhausted lube oils has developed into a significant
processing plant which is exercising different methodologies for purification of used
oil like wiped thin film evaporation technique.

Keywords Used oil · Environment · Lubricating oil · Re-refining

1 Introduction

Lubricating or engine oils are the liquids having required viscosity and they are
used to lubricate rotating or sliding parts of an engine or a machine, whereas used
lubricating oil is a petroleum derived oil or synthetic oil which left after usage in
the lubrication, cutting operations, etc. Lubricating oils (LOs) are conventionally
obtained from crude oil, so that, chemical composition of LOs consists on average of
about 80–90% base oil and about 10–20% chemical additives and other compounds
[1]. During operation time, LOs deteriorate, as well as their additives, and their
physical and chemical properties become unsuitable for further use [2]. Increasing
temperature deteriorate the lubricating oils, hence it leads to declining in various
properties like; viscosity, density, specific gravity etc. Through petroleum refining
processes, fuels and lube base oils are produced. There are several types of lubricating
oils as; engine oil, gear oil, turbine oil, grease, cutting oil, heat transfer oil, hydraulic
oil, industrial transmission oil, heat treatment oil, electrical oil, rolling oil, motor oil
etc. Used or exhausted lube oil is actually toxic and useless. A single drop of used oil
has the capability to pollute thousands gallon of normal water. Problems associated
with used oils are; slow to degrade, attaches to metallic surfaces and due to this
oil contamination, the waterways are polluted and finally it becomes the one of the
major sources of pollution of drinking water [3]. Used lubricating oil is an extremely
hazardous pollutant. It consists of PAH (Polynuclear Aromatic Hydrocarbons) and
also heavy metals in large amounts. These heavy metals include Zn, Cr, Pb, Cu, Cd
and Ni, and these metals are having extreme toxicity which is injurious to human,
wildlife and ecosystem. Pollution through lubricating oil can spoil the earth (soil)
as well as the aqueous environment, and it also affect the atmosphere by means of
burning of waste oil. That’s why it is essential to think about worn lubricating oil
contamination seriously. Unfortunately, the required attention has not given to the
contamination/ pollution created due to used lubricating oil. Waste/used oil can be
refined again to produce the virgin oil or base oil which is processed into fuels and
can be utilized as raw materials for making various petroleum products. To prevent
polluting and contaminating the environment, used oil must be handled wisely by
local municipal authorities or auto service or repair shops.
There are several reasons to re-refine used oil and re-use it:
Convalescent the Ecosystem by Enhancing the Life Cycle … 119

Fig. 1 Generation and composition of used oil [3]

• Recycling used oil and making it fit for re-use prevents the environmental pollution
because waste or used oil pollutes soil and water.
• Used oil does not wear out, so it is very precious resource. Used oil only becomes
dirty and contaminated while its usage, so it’s recycling preserves an expensive
resource.
• Producing re-refined base oil consumes quite lesser energy and resources than that
of producing virgin base oil directly from crude oil which requires more energy
and resources.
• The re-refined oil is as good as virgin base oil.
• One gallon (4.5 L) of used oil produces the same 2.5 quarts (2.85 L) of new
lubricating oil as produced by 42 gallons (189 L) of crude oil.

2 Generation and Composition of Used Lubricating Oil

It is observed from Fig. 1 that fresh lubricating oil consists of 80–90% base lube oil
and 10–20% additives. When this oil has been used in a vehicle for a particular time
or stipulated mileage covering, we obtain used lubricating oil. This used oil consists
of 70–75% base lube oil, 5–10% fuel, 10–20% water, 10–20% used additives and
1% sludge. The important thing to notice here is that this used oil still have good
amount of lube oil and so it has the potential to re-refine to become reusable again
and protect the environment.
Various major contaminants or impurities in waste oil are antimony trichloro
trifluoro ethane, aluminium dichloro difluoro methane, benzene, toluene, arsenic,
1-1-1 trichloro ethane xylene, barium trichloro ethylene, chromium polychlorinated
biphenyls other PAHs, nickel, phosphorus, cobalt, copper. nitrogen, lead, magnesium,
manganese, mercury, silicon, sulphur and zinc [4, 5].

3 Environmental Impacts of Used Oil

How does used lubricating oil harm our environment?

When used lube oil is exhausted into environment from hydraulic machines,
engine, turbine, gearbox, etc.:
• This oil consists of wear debris contamination.
• This used oil has now deteriorated and it has degraded due to acids content.
120 H. Gupta et al.

• Other chemical species are obtained due to the decomposition of additives mixed
in oil.
• Different solvents, degreasers and fluids from processes have now mixed with
used oil.

3.1 Spilling of Used/Worn Oil on Land/Soil

There are four diverse behaviors, used oil can be isolated into the earth or soil: loss of
oil during operation of vehicle/machinery; for dust control on the rural road; asphalt
which contains used engine oil used for asphalting and last but not the least it is
spilled openly in a landfill.
One-third of lube oil come in practice is vanished when in use; a few of it is
vanished on asphalt road surfaces, on the surfaces of streets, highways and in the
parking. This spilled oil leftovers on the various earth surfaces as long as rain water
or cleaning service network of municipal board clean off this oil and then in urban
areas it is collected through a pipe in a container mounted on a truck, or on the outer
roads it is rejected to nearby land or soil.
Used oil spilling on the soil/land creates some significant alterations in micro-
organism community participating in soil’s nitrogen cycle, and also in metabolic
action of aerobic micro-organisms having ability to oxidise hydrocarbons. Many
pores between particles of soil are filled by petroleum products and due to this
oxygen access is hampered. A considerable number of micro-zones come up, which
have an oxygen deficiency, in the soil aggregates. Other factor of promoting the
development of anaerobic micro-zones here in this polluted soil/land is nothing but
the growth of aerobic hydrocarbon oxidizing micro-organisms. Various nitrogen
fixing, de-nitrifying and ammonifying micro-organisms present in the polluted earth
are higher as compared to non-contaminated earth [6].
Majorly slowing down occurs in mineralisation of carbon, transformations of
nitrogen, chief production, and mineralisation of phosphorus and sulphur due to an
availability of heavy metals into the exhausted oil [7]. In used oil, biodegradation of
hydrocarbon can be diminished due to the presence of lead, as it has been revealed
to take place while lead is mixed to contaminated/polluted soil along with petrol [8].
For one year after the spillage, used oil alongwith its lead content stay upto 20 cm
depth of soil, means it stays upto this depth where most of the microbial activity
occurs [9].

3.2 Spilling of Used Oil in the Aqueous Environment

As mentioned earlier, used oil is usually spilled over earth or soil but it can be moved
quickly to aqueous environment by running and rain waters. This kind of movement
is significant in the streets and roads of urban areas close to canals, rivers, lakes and
Convalescent the Ecosystem by Enhancing the Life Cycle … 121

seas. The waste water in urban area incoming at a water treatment plant, the hydro-
carbons present in it are various organic matters which are mainly opposing to the
bio-degradation process, in contrast to another organic matter [10]. The most impor-
tant outcome of the existence of hydrocarbon in aqueous environment is undoubt-
edly an alteration, like we observe in land/soil contamination, in the compositions
of micro-organisms communities [11]. Though this outcome can be a rise in the
number of entire microorganisms able to biodegrade hydrocarbons [12], typically
these microorganisms are firmly inhibited. Various species of microbes in sea and
fresh water environment have been examined with respect to toxicity of several
petroleum products [13–15].

3.3 Used Oil Burning

Mostly used/worn oil is working like a supporting petro-fuel in unique stoves/burning

devices made in support of such kind of worn oil used for gas cleaning systems. This
kind of burning of used oil is carried out in insufficient installations. This burning
emits huge amount of heavy metals. Particles of emission and residue yields are the
most toxic in compare to other particles of environment. Particulate matters obtained
through burning worn/used oil can magnify and becomes a source of respiratory
troubles, and can consequence in the failure of lung functionality and failing in
ability to resist the infection. Serious respiratory problems can happen due to sulphur
dioxide and nitrogen dioxide produced by burning used oil.

4 Methods of Improving Life of Lubricating Oils

The researchers examined various effects of unprocessed used oil as a fuel to

distillation and re-refining [16]. In this comparison, the prospective of toxicity of
unprocessed used oil was about 150 times larger for earthly eco-systems, and five
times larger for human being. Zinc and cadmium exhibited the supreme warning to
eco-system; human health effects are also influenced by lead and chromium.
The results encourage the substitute ‘used-oil’ managing strategies, by giving
incentives for treatment of used oil and by supporting markets for processed oil
products, as per Boughton, the best choice among all choices—use less oil primarily
[16].
• Oil filters better designing and changing of oil less frequently, are the two methods
to trim down the health and environmental challenges of used engine/motor oil.
• One way to achieve this would be enhancing oil changing intervals from the
national average 7000 km to more than 14,000 km or from a period of 6 months
to 12 months. The most important point is that engine oil quality is improving
continuously, but oil filters have remained same basically for the last 50 years.
122 H. Gupta et al.

Mostly the filters are prepared by element of paper that becomes choked after
7000 km, hence engine oil required to be refilled as it has become contaminated
and dirty. However filters having high effectiveness are accessible now to common
public. If the automotive manufacturing companies install these effective filters
on new cars and made mandatory these filters at every oil change, the volume of
used oil could be decreased by half at least from the automobile sector.

4.1 Re-refining/Recycling Treatment Process of Used Oil

Re-refining Process Flow

Used lube oils to light base oil having SN-150 grade and heavy base oil having
SN-500 grade through distillation and wiped film evaporator for refining process
contain four processes as mentioned below (Figs. 2 and 3):
1. Prior treatment—Ash removal and demetallization
2. Distillation—Separating the light ends
3. Thin wiped film evaporation—Separating the oil fractions
4. Solvent/hydrofining treatment option—finishing state.
1. Segregation of the light ends through column tower
Priory treated used lube oil (i.e. dehydrated and filtered) came from store is
pumped by feed pump to the distillation column (Fig. 4) passing through filters.
To remove any solids from feed, filters are installed additionally. Light fractions
from used oil are segregated by distillation column which is worked under vacuum.
Diesel and water is received as the products on top (which is condensed), in distilla-
tion column and by gravity both are collected in receivers. From reboiler the bottom
product is supplied to a thin wiped film evaporation system so that further segregation
takes place through WFE-I feed pump. For condensation of top vapors from column,
cooled water is used in condenser and as a heating medium, the thermo fluid (hot
oil) is used in reboiler shell.
Stage I: Dehydration and Defueling:
2. Segregation of oil fractions through thin wiped film evaporators
Thin wiped film evaporation system comprises of two thin wiped film evaporators,
WFE-1 and WFE-2 to obtain light base oil (SN-150) and heavy base oil (SN-500)
grades respectively. These evaporators consist of a vertical cylindrical surface which
is enclosed into a heating jacket having an internal rotor. Rotor divides the feed in
the shape of a layer of thin film onto the heated wall by using a wiper blade. To
condense the vapors produced by the hot surface, internal condenser is installed.
WFE-1 (Fig. 5) is worked at a pressure of around 1–2 torr vacuum and a heating
temperature of 250–280 °C by thermo fluid contained in jacket. From the column
bottom, the feed free from diesel is fed to WFE-1, where the light base oil SN-150
is produced as a product and it is collected in receivers and its residue is collected
Convalescent the Ecosystem by Enhancing the Life Cycle … 123

Used Oil

Flash Distillation
Remove water, fuel & solvents

Thin Film Evaporators

Remove metals, asphalt & heavy contaminants

Hydro- treater
Reduce colour & sulphur, remove unstable compounds

Distillation
Remove any remaining volatiles, separate grades if desired

Finished Oil Blending

Add viscosity modifiers & performance additives

Re-refined Oil

Fig. 2 Re-refining process of used oil

Fig. 3 Re-refining process flow

124 H. Gupta et al.

Fig. 4 Dehydration and defueling of used oil

in residue receivers through gravity. Through pump, light base oil SN-150 is sent
to main storage tank. The residue obtained from WFE-1 is then pumped and fed to
the WFE-2 through rotary gear pump. In WFE-2 (Fig. 6), heavy base oil SN-500 is
produced as a product and it is collected in product receiver tank and its residue is
collected in residue tank through gravity. WFE-2 is worked at the pressure of 0.1 torr
vacuum and a heating temperature of 315 °C by a thermo fluid contained in jacket.
Stage II: Light base oil (SN-150) segregation through thin wiped film evaporator
(WFE-1).
Stage III: Heavy base oil (SN-500) segregation through thin wiped film evaporator
(WFE-2).

3. Solvent/hydrofining treatment option—finishing state

The final filtration process occurs by the mixture of solvents in this stage and
colour and smell of base oil is improved. The solvent utilized are reused for 300
cycles and hence the cost is cheaper than regular solvents. If we want the best quality
of base oil group 2+ oil, we have to exercise a hydro-fining (finishing) process and
for this a precise equipment is used for filtration process which comes with a renew
process.
Convalescent the Ecosystem by Enhancing the Life Cycle … 125

Fig. 5 SN-150 light base oil separation by thin wiped film evaporator-I

Fig. 6 SN-500 heavy base oil separation by thin wiped film evaporator-II
126 H. Gupta et al.

5 Conclusion

Used or waste oil is useless, toxic and polluting, its polluting nature is reduced when
we re-refine it. The worth of recycled and re-refined oil is as good as virgin lube oil.
The repeated use of these used oils are enabled through re-refining of lubricating
oil, hence enhancing the buy and sell balance through domestic oil supplementing
and thus strengthening the native oil. Hence, the most significant course to preserve
lubricating oils is that through recycling/reprocessing. Recycling is a general word
for processing meant for lubricating oils to recover valuable substance through re-
refining and recovery. Oil filters better designing and changing of oil less often
by improving the quality of various oils, are the two ways to downsize the health
and environmental challenges of used engine/motor oil. Used oil must be wisely
discarded on account of its more injurious impacts than utilities, when untreated.
Fortunately used oil can come into use again by re-refining, recycling, and hence its
re-use is possible nowadays, one of the best method available for this is thin wiped
film evaporation technique.

References

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ScienceDaily (15 January 2004).
Traditional and Modern Agricultural
Implements Used in Agro Sciences
– A Case Study in the Part of National
Capital Region of Uttar Pradesh, India

Ganesh Datt Bhatt, Mahesh Singh, Archna Bharti, and Deepali Rana

Abstract The research work was undertake to discover a variety of conventional

and modern crops growing; implements used for agriculture operations by the rural
farmers of Dankaur and adjoining villages of National Capital Regions (NCR), a
part of Gautam Buddha Nagar, Uttar Pradesh, India. The traditional and modern
agriculture implements are very economical with respect to man power, finance and
economy as well as saving of valuable time. The traditional and modern agriculture
implements are prepared of the vicinity accessible resources which are: iron, fire-
wood along with its substitute products. These agriculture implements are easily too
operate without any special skills and training. The information related to agricultural
implements was documented through the interactions with local villagers, personal
observations and existing data are also used. The detailed information about each
agriculture implements was collected and informative notes were taken during inter-
view with the rural farmers. The information were collected during the field work
from July 2018 to March 2020 and found approximately fifty three (53) traditional and
modern agriculture implements were identified and briefly explained with scratched
photographs prepared by a research team of School of Agriculture. These agricul-
ture implements are: bill hook, hand trowel, secateurs, sickles, girdle, pruning knife,
shovel, spud, knap-sack sprayer, pick axe, garden hoe, weeder etc. The traditional
economy of farmers is for subsistence only not to profit. The farmers are charac-
terizing by undersized and patchy land property, small yield of crop and domestic
animals, disguised joblessness, reduced profits and short hazard manner skill.

Keywords Agriculture · Implements · Traditional and modern implement · GB

nagar · NCR

G. D. Bhatt (B) · M. Singh · A. Bharti

School of Agriculture, Galgotias University, Greater Noida, Uttar Pradesh 203201, India
D. Rana
Department of Zoology, Dolphin (P.G.) Institute of Biomedical and Natural Sciences, Manduwala,
Dehradun, Uttarakhand 248007, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 129
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
130 G. D. Bhatt et al.

1 Introduction

Agriculture is the main spinal column of Indian financial system [1]. In India, agri-
culture is the life line of the financial system, which provides the foundation for
foodstuff and source of revenue safety and sustain for the financial enlargement
and community conversion of the Nation [2]. Cultivation in India is sole within its
uniqueness, where more than 250 diverse crops be cultivate within its wide-ranging
agro-climatic region, disparate 25–30 crops grown inside numerous of the urbanized
Nation of the Globe [3]. India with its constructive agro-climatic state of associations
and prosperous natural reserve bottom has grown to be the Globe main manufacturer
diagonally a variety of supplies [4]. India is the principal creator of coconut, mango,
banana, milk and dairy foodstuffs, cashew nuts, pulses, ginger, turmeric and black
pepper and so on. It be too the second major creator of rice, wheat, sugar, cotton,
fruits and vegetables and so forth [5]. The growth of farming computerization has
been strongly connected through in general progress in invention crop growing [6].
The farm in 1950 incredibly hardly any farmers overcome main movers similar to
tractors, engines and motors and the like, the weighty farming tractors and equip-
ment be import by administration organization largely for soil recovery and growth
of huge administration farm [7, 8].
The image is changed speedily throughout the early on sixties with the fore-
word of far above the ground yielding variety of wheat and additional crop growing
which desirable irrigation conveniences [9]. The going up creation of food stuff grain
consequential as of the extend part below high yielding variety could not be handle
inside the regular harvest and threshing period [10]. The farmers in North India suffer
profound fatalities as a consequence of spoil to harvest wheat throughout the behind
schedule sixties and early on seventies since the threshing of greater than before wheat
assembly could not be accomplished prior to the inception of pre-monsoon rain [11,
12]. Out sized extent taking up of threshers operates by electric motors, engines and
tractors that follow in near the commencement seventies beyond was an effect to
do with to supreme threshing process rapidly. Agro-processing includes farm-level
dispensation to develop superiority of construct and knowledge for thrashing preclu-
sion in storage space, usage and bring [13, 14]. Most important equipment which
have been developed and adapted for farm level dealing out take account of cleaners,
graders, dryers, shellers decorticators and store room structure mill implement [15].
The key rationale of this study is to gather reliable in relation to the traditional and
modern agriculture implements which is extensively used by local peoples in and
around of Dankaur villages of NCR of Uttar Pradesh, India.
Traditional and Modern Agricultural Implements Used … 131

2 Material and Methods

2.1 Study Area

The study area in the Dankaur village and adjoin villages is situated in Gautam
Buddha Nagar, Tehsil of Gautam Buddha Nagar district of Uttar Pradesh, India.
The Dankaur village is situated on 28.35° N 77.55° E. It has an average elevation
of 194 m. It is positioned around 55 km East of Delhi alongside the bank of river
Yamuna. As per [16], the Dankaur had an inhabitant of 13,520; males represent 54%
of the inhabitants and females 46%. The Dankaur villages’ have standard literacy
rate of 57%, lower than the countrywide average of 59.5%: male literacy is 67% and,
female literacy is 47% correspondingly.

2.2 Climate

The study area has vigorous climatic conditions. It’s very nearby to New Delhi; so
the temperature is parallel to that of New Delhi. In the summer, the climate is quite
scorching and similarly the winter is also quite frosty. The rains are an average as
it’s located in the semi arid region and part of Upper Indo Gangetic plains of Uttar
Pradesh. The monsoon start in the study area is mid June to mid September. The
winter season in the study area starts from October to February and in the summer
from March to June correspondingly. Approximately, 90% of the annual rainfall
occurs in monsoon season, variation of rainfall from one to another [17].

2.3 Flora and Fauna

The study area has sub-tropical deciduous forest and it does not have expansion
of natural forests. The fragmented forest is maintained by Uttar Pradesh Forest
Department through plantation and management practices [18]. The dominant trees
species are: Shishum (Dalbergia sissoo DC.), Mango (Mangifera indica L.), Jamun
(Syzygium cumini (L.) Skeels), Imli (Tamarindus indica L.) and Babool (Vachellia
nilotica (L.) P.J.H. Hurter & Mabb.), Azadirachta indica A. Juss., Butea monosperma
(Lam.) Taub., Cordia dichotoma G. Forst., Ficus religiosa L., Holoptelea integri-
folia Planch., Mitragyna parvifolia (Roxb.) Korth., Neolamarckia cadamba (Roxb.)
Bosser., Prosopis cineraria (L.) Druce, P. juliflora (Sw.) DC., Phoenix sylvestris (L.)
Roxb., Sesbania sesban (L.) Merr., Syzygium cumini (L.) Skeels, Terminalia arjuna
(Roxb. ex DC.) etc. The shrubs and bushes primarily found in the study area are:
ber (Ziziphus jujuba Mill.), madar (Calotropis procera (Aiton) Dryand.), (Calotropis
gigantea (L.) Dryand.), Ricinus communis L., and Tamarix ramosissima Ledeb. etc.
132 G. D. Bhatt et al.

The study area is rich in herbal diversity which includes economically and medici-
nally important plant species which are: Amaranthus viridis L., Achyranthes aspera
L., Cannabis sativa L., Chenopodium murale L., Citrullus colocynthis (L.) Schrad.,
Convolvulus prostrates Forssk., Croton bonplandianus Baill., Digera muricata (L.)
Mart., Mosyakin and Clemants, Eclipta prostrate (L.) L., Heliotropium ellipticum
Ledeb., Oxystelma esculentum (L.f.) Sm., Phyllanthus niruri L., P. maderaspatensis
L., Phyla nodiflora (L.) Greene, Physalis peruviana L., Stellaria media (L.)Vill.,
Tribulus terrestris L., and Withania somnifera (L.) Dunal etc., [18]. The study area
is also rich in faunal diversity and a few fauna are: Wolves (Canis lupus), Monkey
(Simiiformes catarrhini), Nilgai (Boselaphus tragocamelus), Indian Grey Mongoose
(Herpestes edwardsii), Indian Hare (Lepus nigricollis), black buck deer (Antilope
cervicapra), Leopard (Panthera pardus) and Golden Jackal (Canis aureus), Wild
boar (Sus scrofa) etc., are found. The common birds are also found in the study area
which are: Peacock (Pavo cristatus), owl (Strigiformes) Partridge (Perdix perdix),
Snipe (Gallinago gallinago), The Lesser Florican (Sypheotides indicus) and Sarus
cranes (Grus antigone) etc. The trees accessible in the study area are providing fire-
wood and wood for furniture. The ornamental trees are planted in the road side as
part of social forestry under Uttar Pradesh State Forest Department scheme.

2.4 Soil

On the banks of the river which is mostly low land, different types of soil are found.
In the Khadar, the soil composition is sandy, clay and alkaline. The chief soil of the
district is rich loam. A distinctive feature of this soil is that it dries white or a very
light gray and becomes dark of colour when manure and moisture.

2.5 Agriculture and Crop Pattern

Agriculture is acting as a major role in the study area economy, growth and devel-
opment. The crop growing system in the district is well developed. The scientific
methods of agriculture cultivation and availability of elevated docile diversity of seed,
knowledge about balanced utilize of fertilizers and the rest, are the main contribution
factors which have enhanced the productivity of different crops. The Rabi and Kharif
crops are two main harvests in the district. Wheat and Gram in Rabi and Maize and
Paddy in Kharif are main crops of the district. The enhanced undeveloped practice,
such as use of far above the ground yielding diversity of seed, fertilizers, superior
farming equipment, plant safety trial have exposed expectant fallout and gross and
net produce of many crops have improved. Out of the total gross area sown the main
crops of the district are: wheat and sugarcane followed by paddy, bajra and maize.
The District Agriculture Department looks after the problems of the farmers. They
Traditional and Modern Agricultural Implements Used … 133

provide training on improved seeds, modern method of cultivation and modern tech-
nologies as well. The major agricultural crops of the study area are: wheat (Triticum
aestivum L.), maize (Zea mays L.), barley (Hordeum vulgare L.), rice (Oryza sativa
L.), pigeon pea (Cajanus cajan (L.) Millsp.), pearl millet (Pennisetum glaucum (L.)
[Link].), potato (Solanum tuberosum L.) and sugarcane (Saccharum officinarum L.)
etc.

3 Results and Discussion

The universally used traditional and modern agricultural implements in the various
small and large scale farmers dominating villages are illustrated in the study, which
includes english and local name, description and their usages. A qualitative research
approach was adopted in this study. In India, the poor farmers have been using a
variety of traditional and modern agriculture implements for agricultural practices,
which are identified and discussed. In the northern India the traditional and modern
agricultural implements are used by small scaled farmers. Generally, small scale
farmers and farm owner of spread land are not capable to use tractors and in that
casing ox-ploughs are extremely favored. The traditional and modern agriculture
implement is made up for reducing human efforts. The farmers are using implements,
equipment and machinery to improve farms production and reducing their efforts as
well. In this research paper we have briefly explained the use of traditional and
modern agriculture implements which is frequently used by small and large scaled
farmers in and around the Dankaur village area. The brief descriptions of agriculture
implements are below as:
1. Bill Hook ( )–Bill hook is a conventional hurtful implement which is used
commonly in crop growing and forestry for cutting slighter wooded bits and
pieces i.e., bushes and twigs. The School of Agriculture has two models of bill
hook namely FBH-705 and FBH-706 (Fig. 1) [Plate I].
2. Hand Trowel ( )–Hand Trowel is recognized as garden trowel. It is an
implement with a sharp, scoop-shaped, made up of metal sharp edge and
wood. It has metal with synthetic handle. It is second-hand for contravention
up earth, dig small hole, particularly for plant and weed, mixing in manure,
other additives, and transfer flora to pot. The School of Agriculture has four
models of bill hook viz., FSS-4002, FWT-2003, FWT-204 and FPKM-200
(Fig. 2) [Plate I].
3. Hand Pruners ( )–It is also call hand pruners, secateurs and it is a type of
scissors for utilize on flora. It is physically powerful to prune rigid brushwood
of trees and shrubs; from time to time; it’s equal to two centimeters bulky. It is
use in garden, dendrology, plant garden center, agriculture, flower arrange, and
scenery management, wherever fine-scale habitation administration is essential
(Fig. 3a, b) [Plate I].
134 G. D. Bhatt et al.

Fig. 1 Bill hook

Fig. 2 Hand trowel

Traditional and Modern Agricultural Implements Used … 135

Fig. 3 a, b Hand pruners

4. Weeding Trowel ( )–Weeding trowel is an implement through a

sharp, scoop-shaped metal blade and wood, metal and plastic lever. It is used
for breach up ground, dig undersized hole, particularly for plant and weed,
integration in manure with additional additives, and transfer plants to pot. It
is second-hand to take away weed from crops sticks harvest them so that they
can be used to make bio chaff. The School of Agriculture has two models of
weeding trowel FW-900 and FW-9000 (Fig. 4) [Plate I].
5. Sickle ( )–A sickle is bag hook is also known as reaping-hook. It is a
hand-held farming implement which is premeditated with various bent blade
and characteristically use for harvest, reap, granule crop, cutting succulent
forage primarily for feed livestock, moreover recently cut and dried up as feed
(Fig. 5a–c) [Plate I].

Fig. 4 Weeding trowel

136 G. D. Bhatt et al.

Fig. 5 a–c Sickles

6. Girdle Knife ( )–Its use as a technique to strength a fruit-bearing plant

to allow better outgrowth. A planter would place a girdle-bark removal at its
base of a bulky bough at the stalk. In the grapes girdling and cincturing; its
use to make the grapes large and sweeter on the grape canopy. The School of
Agriculture has two models of Girdle SPG-98 and SPG-99 (Fig. 6) [Plate I].
7. Hand Sickle ( )–A sickle is an arched, hand-held agriculture implement
which is normally use for harvest puffed rice crop and spiteful grass for hay.
Inside of the arc, it has acerbic edge and it’s notched. The farm-hand swings
the razor blade next to the base of the crop cutting through the stem with a saw

Fig. 6 Girdle knife

Traditional and Modern Agricultural Implements Used … 137

Fig. 7 Hand sickle

action. The School of Agriculture has one model of hand sickle SPS (W)-3040
(Fig. 7) [Plate I].
8. Prunning Knife ( )–Make use of pruning knife is to slice over-
turn pointless growth in a irregular plant which is set pressure on the shoot
and unkind by means of a pointed slice progress absent beginning the stiff. It
keeps the plant vigorous by acerbic stem at least ½ in. absent from the stem
from which they are upward. The School of Agriculture has model of punning
knife FPTS-001 (Fig. 8) [Plate I].
9. Shovel ( )–It is use for soil integration, soil compost level of soil exterior
for little area, level soil in pot. It can be use also for heavy pot with pot
mix, insertion manure dispersal manure and many other uses. The School of
Agriculture has three models of Shovel; FPKM-100, FPKM-200 and FPKM-
400 (Fig. 9) [Plate I].
10. Kinnow Cutter ( )–It is use for plug for kinno fruits. The fruit is
mature in January and February month. Their peel has high juice content. The
School of Agriculture has model of kinnow cutter PKC-91 (Fig. 10) [Plate II].
11. Grafting Knife ( )–Grafting Knife implements can be use for
together bud and graft on the plants. It gives fine cuts and make budding and
grafting easy with this right implement in hand. The metal parts of the imple-
ments are encrusted for guard from oxidation and handle of the implements
is especially considered for enhanced grasp. It is extensively use for grafting
grape vines and for roses. This model of grafting knife FPTM-16 is available
in the School of Agriculture (Fig. 11a, b) [Plate II].
138 G. D. Bhatt et al.

Fig. 8 Prunning knife

Fig. 9 Showel

12. Fruit Shear ( )–The fruit shears is also call hand pruners and seca-
teurs be a variety of shears for use on flora. They are physically powerful suffi-
cient to trim solid brushwood of tree and shrub, on occasion up to implement
usually used to cut fruits and vegetables (Fig. 12) [Plate II].
13. Prunning Saw ( )–Pruning saw is ergonomic deliberate, deliver the excel-
lence require to get behind twigs and limb. Strong blade prepared out of carbon
steel with three edges sharpens. The blades are specifically considered to cut on
Traditional and Modern Agricultural Implements Used … 139

Fig. 10 Kinnow cutter

Fig. 11 a, b Grafting knives

the drag knock. It consists of a tough blade chain with a hand notched border.
It is use to scratch flog substance and wood. The cut is ready by insertion
the notched edge beside the stuff and affecting if powerfully back; otherwise
incessantly frontward. The School of Agriculture have many type models of
pruning saw FPS-18, FPS-21, FPS-100, FPS-30 and FPS-333 (Fig. 13) [Plate
II].
140 G. D. Bhatt et al.

Fig. 12 Fruit shear

Fig. 13 Prunning saw

Traditional and Modern Agricultural Implements Used … 141

Fig. 14 Bonsai cutter

14. Bonsai Cutter ( )–It is a procedure to construct small trees in

confiners that impersonate the form and range of full-size trees considered
for spiteful twigs glow to the stem. The ensuing wood can then cure more
rapidly with very slight scar the curved in cutter is the single the majority
significant implement for Bonsai. The School of Agriculture has two type of
model bonsai cutter FBT-50 and FBT-60 (Fig. 14) [Plate II].
15. Hedge Shear ( )–It is physically operate hand implement for pruning,
trimming and cutting of hedge and bushes. The implements are basically
consists of two blades with tangs. The tangs are inserting in the wooden
handle and protected by ferrule. The cutting action takes place between two
blades. The School of Agriculture have two three types of models hedge shear
FSH-888, FSH-999W and FSH-999P (Fig. 15) [Plate II].
16. Spud ( )–It is a small handle cutting implement by a flat blade use for dig
soil and weed in small gardens and vegetables farms. It is use to cut branches
of vegetation. The School of Agriculture has three types of models SPS-100,
SPS-2000 and PK-1100 (Fig. 16) [Plate II].
17. Maize Sheller ( )–It is considered for moderate partition of Maize
kernel from the cobs and elimination of rachis. They locate function mostly in
the seed dealing out subdivision, where maize crop are harvest as a complete
part. In the dispensation plant, the mechanism is placed after husking and cob
ventilation. The School of Agriculture has model of Maize Sheller FPMP-1990
(Fig. 17) [Plate II].
18. Garden Leaf Rake ( )–The garden leaf rake is an
implement consisting of a notched bar set diagonally to a grip and use to
142 G. D. Bhatt et al.

Fig. 15 Hedge shear

Fig. 16 Spud

accumulate foliage, hey and grass. It is also used in agriculture, for loosen the
soil, weed, leveling, remove grass from lawns to perform in agriculture by the
harrow. The School of Agriculture has three types of model garden leaf rake
FGR-8, FGR-12 and FGR-16 (Fig. 18) [Plate II].
19. Wire Hand Rake ( )–It is a faultless implement which is use
to clean tiny flower buds and ventilate moss enclosed area. It is ergonomically
Traditional and Modern Agricultural Implements Used … 143

Fig. 17 Maize sheller

Fig. 18 Garden leaf rake

144 G. D. Bhatt et al.

Fig. 19 Wire hand rake

shaped grip with its incorporated spongy piece, hysterics flawlessly in the hand
over and is inclined at the end to avoid slip. It is prepared of high feature steel.
The School of Agriculture has model of wire hand rake FWHR-9, SBR-48 and
FPLR-50 (Fig. 19) [Plate II].
20. Hand Sprayer ( )–An attachment to a shower, sink, unit etc., which is not
fixed in place but can instead be moved in order to aid washing. It is a piece of
equipment for spraying water and another liquid over growing plants (Fig. 20)
[Plate III].
21. Knap-Sack Sprayer( )–It gives gardeners the ability to bring large
amounts of liquid to other raised inaccessible areas of their property. Knap-
sack sprayer resemble hand sprayer in terms of functionality and use, but they

Fig. 20 Hand sprayer

Traditional and Modern Agricultural Implements Used … 145

Fig. 21 Knap-sack sprayer

tend to hold more liquid plus you carry the device comfortably on your back
(Fig. 21) [Plate III].
22. Folding Spade ( )–The folding spade is a collapsible dig imple-
ment that has a sward sharp edge for chop and saw roots to build in glass-filled
nylon lever with a fine particles layered steel spade head. It’s premeditated so
that it workings both as a spade and as a hoe. The School of Agriculture has
three types of models folding spade SPKW-25, SPKW-50, and SPKW-1000
(Fig. 22) [Plate III].
23. Digging Shovels ( )–It is an implement which is use for dig, elating and
pitiful mass material i.e., soil, coal, snow, sand and majority shovel are hand
implement consisting of a wide blade set to a middle span handle. The School
of Agriculture has digging shovel model of FSS-4002 (Fig. 23a, b) [Plate III].
24. Garden Hoe ( )–It is a very old and adaptable farming and horticulture
hand implement which is use to shape soil, take out weed, apparent soil about
the bottom of plants, dig slight furrow and petty trench for plant seed and bulb.
The School of Agriculture has two types of models garden hoe FGWH-200
and FGWH-100 (Fig. 24) [Plate III].
25. Spade ( )–Spade is an implement primarily used for digging. A spade can
both break and move the soil in most situations by escalating the effectiveness
of implement with a sharp edge, characteristically rectangular, metal blade and
a long handle, used for dig, cutting soil, and sand turf respectively. The School
of Agriculture has four types of models SPKW-25, SPKW-50, SPK-25 and
SPKW-2000 (Fig. 25a, b) [Plate III].
26. Dutch Hoe ( )–It works similar to straight blade hand hoe. It quickly
removes weeds with the help of the grant pro series. This shank type implement
146 G. D. Bhatt et al.

Fig. 22 Folding spade

is equipped with a 20.3 cm thin, ultra-robust steel blade. It is reliable and

efficient implement. The School of Agriculture has two types of models, which
are: Dutch hoe FWH-5140 and FWH 5150 (Fig. 26) [Plate III].
27. Snake Catcher ( )–It is suitable for gardeners and moun-
taineers to catch snakes. It is made up of high quality steel blade to ensure
its durability, high strength and solid structure. Highly polished and nicked
blade is uneasy to get rusty. The steel teeth help to fix stably without hurting.
The School of Agriculture has two types of models FPSC-66 and FPSC-44
(Fig. 27) [Plate III].
28. Pick Axe ( )–It is made up of carbon steel. The pick axe has two edges
with provision of axial hole for attachment with handle. One edge of pick axe
is pointed and another is broadened. It is used for digging hard, compact and
stony soils (Fig. 28a, b) [Plate III].
29. Sky-Bird Sprayer ( )–It is an implement which is used to scatter
the liquor. In gardening, a sprayer is a part of apparatus that is use to concern
herbicide, pesticides, insecticides, nematicide, bactericides, and manure on
crop growing (Fig. 29) [Plate IV].
30. Water Sprinkler Can ( )–An irrigation sprinkler; is also known as water
sprinkler is an apparatus use to water in crop growing, lawns, landscape and
other areas as well. The water sprinkler is also use for cool and manages
airborne dust. It is a transferable urn, typically through a lever and a spout use
Traditional and Modern Agricultural Implements Used … 147

Fig. 23 a, b Digging shovels

Fig. 24 Garden hoe

148 G. D. Bhatt et al.

Fig. 25 a, b Spades

Fig. 26 Dutch hoe

to water plants by hand. The capacity of urn can be everywhere approximately

from 0.5 to 1.0 L. It is made up of metal ceramic and plastic as well. The water
sprinkler irrigation is the process of apply water in a prescribed approach in
the mode alike to rainfall. The water is dispersed throughout a system that may
consist of pumps, valves, pipes, and sprinklers (Fig. 30) [Plate IV].
Traditional and Modern Agricultural Implements Used … 149

Fig. 27 Snake catcher

Fig. 28 a, b Pick axes

31. Pressure Sprayer ( )–A pressure sprayer is an apparatus use to

spray a liquor, where spray can be usually use for outcrop of water, weed killer,
crop performance material, pest maintenance chemical, as well as manufac-
turing and production line ingredients. It is far above the ground worth, suitable
versatile sprayer that can be use for numerous applications key reimbursement
comprise—modifiable cone nozzle from jet to mist (Fig. 31) [Plate IV].
150 G. D. Bhatt et al.

Fig. 29 Sky-bird sprayer

Fig. 30 Water sprinkler can

32. Vaccum Pressure Sprayer ( )–It is a high class, expedient multi-

use sprayer that can be use for manifold application. The key profit contain—
variable cone nozzle from jet to value (Fig. 32) [Plate IV].
Traditional and Modern Agricultural Implements Used … 151

Fig. 31 Pressure sprayer

Fig. 32 Vaccum pressure

sprayer
152 G. D. Bhatt et al.

Fig. 33 Home garden gloves

33. Home Garden Gloves ( )–It is necessary gloves for each and every
gardener for horticulture as well as agriculture work. The hand gloves are fit
to all size of hand (Fig. 33) [Plate IV].
34. Grass Sword ( )–Some species of grasses have blades that are
sharp enough to cut human skin, so grass sword is used for their removal. It’s
useful for jungle grass and brushes. The School of Agriculture has model of
grass sward SGS-2008 (Fig. 34) [Plate IV].

Fig. 34 Grass sword

Traditional and Modern Agricultural Implements Used … 153

Fig. 35 Garden hoe

35. Garden Hoe ( )–Garden hoe is useful in a lettuce field. It is a slight metal
knife blade so as to it’s frequently use to disintegrate dust. The School of
Agriculture has model of garden hoe FGWH-200 (Fig. 35) [Plate IV].
36. Weeder ( )–A weeder implement is intended to easiness the task of
remove weed from garden, lawns and agriculture field as well. It is premedi-
tated to assist and eliminate unnecessary weeds with a top root (Fig. 36a, b)
[Plate IV].
37. Edging Knife ( )–An edge knife is also known as lawn edger in a garden
implement. It is moreover instruction manual, mechanical to discrete limita-
tions among a lawn, characteristically consisting of a grass of ground cover.

Fig. 36 a, b Weeders
154 G. D. Bhatt et al.

Fig. 37 Edging knife

It is another ground surface feature i.e., cemented, concreted, and asphalted

area, rough material such as sand, gravel, simply uncovered soil, i.e., limitless
garden. A pointed edge hold of solid material which is the ray of a balance
pivot about which a pendulum is balanced (Fig. 37) [Plate V].
38. Thorn Remover ( )–It is the idea to eliminate a thorn from a rose
plant. It is awfully practical piece for individuals who contain their personal
garden and purchase flowers frequently (Fig. 38) [Plate V].
39. Manual Aerating Rake–Aeration breaks up compacted by soil and also by
creating holes in it, helping grass grow vigorously. The School of Agriculture
has three type models of manual aerating rakes FGR-8, FGR-12 and FGR-16
(Fig. 39) [Plate V].
40. Long Reach Pruners ( )–This implement help to prune plants that are
out of normal reach and will help with standard pruning jobs, if you have
reduced reach or mobility (Fig. 40) [Plate V].
41. Manual Lawn Mower ( )–In this implement, the blade rotate upright
and employ scissoring stroke to hack out the blade of grass. It is hard-pressed
by public and cut grassland incredibly by far (Fig. 41) [Plate V].
42. Electric Chain Saw ( )–It is a form of a saw which has a set of teeth
attach to a revolving sequence. It is serve up numerous purpose i.e., tree fell
and buck prune (Fig. 42) [Plate V].
43. Rake ( )–A rake is a garden and arable farm implement. The farmers are
using it to get together movable stuff i.e., hay and grass. In farming, rakes
loosen soil and remove wild plant and deceased grass from lawns. These are
indispensable implements for a variety of purposes, a bow rake is great to use
Traditional and Modern Agricultural Implements Used … 155

Fig. 38 Thorn remover

Fig. 39 Manual aerating

rake
156 G. D. Bhatt et al.

Fig. 40 Long reach pruners

Fig. 41 Manual lawn mower

Traditional and Modern Agricultural Implements Used … 157

Fig. 42 Electric chain saw

Fig. 43 Rake

in the garden, used to clear leaves and spread much. The School of Agriculture
has FRWH-14 (Fig. 43) [Plate V].
44. Wheelbarrow ( )–A wheelbarrow is a miniature hand-propelled means of
transportation, generally with just one wheel, consider to be pressed and guide
by a only one individual by two handle at the back and by a flow to drive the
prehistoric wheelbarrow by wind. The use of wheelbarrows is ordinary in the
manufacture engineering and in agriculture (Fig. 44) [Plate V].
45. Loopers ( )–The loppers might be taking place at several times throughout
the increasing time of year. Infestations early in the period on sapling plants
may consequence in injure to cotyledons, fresh leaves, and fatal buds. The
lopper’s eggs are deposit individually, generally on the underneath of younger
leaves. The larva provide for superior, additional full-grown leaves (Fig. 45)
[Plate V].
46. Lawn Edger ( )–A lawn edger is used to cut a clean line in the soil between
gross and a sidewalk, driveway or a garden bed. They are generally designed
158 G. D. Bhatt et al.

Fig. 44 Wheel barrow

Fig. 45 Loopers

in half circle shape with a lip on the top where you can press the implement
(Fig. 46) [Plate V].
47. Spading Fork ( )–It is also called digging fork, garden fork, a grip,
similar in appearance to a pitch fork. Usually, it has four study tines perfect
for loosing hand dirt and lifting soil. It is also used to mix fresh compost in to
established beds (Fig. 47) [Plate VI].
48. Digging Fork ( )–A digging fork is also known as spading fork
and dig fork, is a farming implement, with a grip and numerous small and
Traditional and Modern Agricultural Implements Used … 159

Fig. 46 Lawn edger

Fig. 47 Spading fork

strong tines. It is use for loosen, elating and rotating above soil in farming and
agriculture (Fig. 48a, b) [Plate VI].
49. Digging Bar ( )–A digging bar is a extensive, straight metal bar use
for diverse purpose, with as a post gap not to be puzzled with a bent crowbar,
which is considered to give influence relatively to dig. The frequent use of
digging bars includes observance clay, solid, ice-covered land, and additional
rigid material (Fig. 49) [Plate VI].
50. Flail ( )–A flail is a farming implement use for threshing, the practice of
sorting out grain from their husks. It is generally finished from two or additional
huge brushwood attaches by a small sequence; single stick is detained and
swings, because the extra to hit a heap of granule, loosen the husks (Fig. 50)
[Plate VI].
160 G. D. Bhatt et al.

Fig. 48 a, b Digging forks

Fig. 49 Digging bar

51. Foot Sprayer ( )–The foot sprayer is one of the perfect and adaptable
sprayers use for flexible spraying job. The sprayer consists of a pump operate
by the foot knob, suction hosepipe with filter, delivery hose, spray lance fixed
Traditional and Modern Agricultural Implements Used … 161

Fig. 50 Flail

Fig. 51 Foot sprayer

162 G. D. Bhatt et al.

Fig. 52 Rotavator

with close off pistol valve, gooseneck curve and modifiable nozzles (Fig. 51)
[Plate VI].
52. Rotavator ( )–It be capable of assist to accumulate instance and attempt
with their revolving blade. It works efficiently and rotates the ground in excess
of and breaks it downward. The rotavator support with aerating this help to
perk up soil drainage in the garden, vegetable scrap, allocation allows plant
living, vegetables to mature faster (Fig. 52) [Plate VI].
53. Rubber Tapping Implement ( )–It is the implement by which is
composed commencing a rubber tree. The latex is harvest by slice a furrow
into the growl of the tree at the deepness of a quarter inch with a captivated
knife and cracking back the bark (Fig. 53) [Plate VI].

4 Conclusion

The traditional and modern agriculture implements are well thought-out victorious
since these are cost-effective, viable and sustainable. It can extend rapidly and effort-
lessly from single province to an additional. Still these implements are universal in
use normally un-preferred since they minor the effectiveness and boost exhaustion
of the operative. As a result of by the contemporary perception, these traditional
and modern implements desirable to be consistent observance in mind the finan-
cial system of rural meager. Appropriate, scheming in harmony with the farmer’s
necessities certainly popularizes these implement in near future.
Traditional and Modern Agricultural Implements Used … 163

Fig. 53 Rubber tapping tool

Acknowledgements The authors are acknowledged to the local peoples of Dankaur and adjoining
villages for shared the information of traditional and modern agriculture implements which they are
using in daily agriculture practices. The authors are also gratefully acknowledged the help, support
and encouragement received from Honorable Pro-Vice-Chancellor (Academics) Prof. Dr. Pradeep
Kumar and Honorable Chancellor Shri Sunil Galgotia Ji.

References

1. Madhusudhan, L.: Agriculture Role on Indian Economy. Journal of Business and Economics.
Volume 6:(4). (2015) 1000176.
2. HLPE: Sustainable Agricultural Development for Food Security and Nutrition: What Roles for
Livestock? A Report by the High Level Panel of Experts on Food Security and Nutrition of the
Committee on World Food Security, Rome. (2016).
3. Steiner A., Aguilar G., Bomba K., Bonilla J.P., Campbell A., Echeverria R., Gandhi R., Hede-
gaard C., Holdorf D., Ishii N., Quinn K., Ruter B., Sunga I., Sukhdev P., Verghese S., Voegele
J., Winters P., Campbell B., Dinesh D., Huyer S., Jarvis A., Lobo Guerrero RAM, Millan A.,
Thornton P., Wollenberg L. and Zebiak S.: Actions to transform food systems under climate
change, Wageningen, Netherlands, CGIAR Research Program on Climate Change, Agriculture
and Food Security (CCAFS). (2020).
4. FAO: Territorial Tools for Agro-Industry Development - A Source book by Eva Gálvez Nogales
and Martin Webber (Eds.), Rome, Italy. (2017).
5. OECD/ICRIER: Agricultural Policies in India, OECD. Food and Agricultural Reviews, OECD
Publishing, Paris (2018) [Link]
6. Emami M., Almassi M., Bakhoda H., and Issa K.: Agricultural Mechanization, A Key to Food
Security in Developing Countries: Strategy Formulating for Iran. Agriculture & Food Security.
Volume 7(24). (2018).
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Statistics Department of Agriculture & Cooperation, Government of India, New Delhi. (2012).
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8. Anonymous,: Statistical Hand Book of Nagaland, Directorate of Economics and Statistics,

Government of Nagaland, Kohima. (2008)
9. Kathryn S.: The Green Revolution of the 1960’s and Its Impact on Small Farmers in India.
Environmental Studies Undergraduate Student Theses. (2010).
10. Basavaraja H., Mahajanashetti S.B. and Udagatti N.C.: Economic Analysis of Post-harvest
Losses in Food Grains in India, a Case Study of Karnataka, Agricultural Economics Research
Review. Agricultural Economics Research Association (India). Volume 20(1). (2007).
11. Kumar D., and Kalita P.: Reducing Postharvest Losses during Storage of Grain Crops to
Strengthen Food Security in Developing Countries. Foods. Volume 6(1):8. (2017)
12. Das P.K., and Nag D.: Traditional Agricultural Tools: A Review. Indian Journal of Traditional
Knowledge. Volume 5(1): 41-46. (2006)
13. Manchikanti, P. and Sengupta, M„: Agricultural Machinery in India: IPR Perspective. Journal
of Intellectual Property Rights. Volume 16. (2011).
14. Elzubeir A.S.: Traditional Agricultural Tools and Implements Used In Sudan, International
Journal of Agriscience. Volume 4 :(2). (2014) 140–146.
15. Karthikeyan C., Veeraragavathatham D., Karpagam D., and Firdouse A.: Traditional Tools in
Agricultural Practices. Indian Journal of Traditional Knowledge. Volume 8(2). (2008)
16. Census of India,: Data from the Census, Including Cities, Villages and Towns (Provisional).
Census Commission of India. (2001).
17. Joshi B.C.: District Brochure of Gautam Buddha Nagar, UP, India. 1–22 (2008–2009).
18. Shrama J.K., Tripathi A.K. and Ahmad M.: Illustrated Flora, Part of Western Uttar Pradesh
and Delhi NCR, India, Siya Publishing House and Shiv Nadar University, India. 606. (2018).
Synthesis, Characterization
and Evaluation of Iron-Molybdenum
Oxide Catalyst for the Hydrothermal
Liquefaction of Wastewater to Bio-oil

Bhavish Kumar Reddy Koteru, B. Praveen Kumar,

and Gopalakrishnan Govindasamy

Abstract Handling of ever increasing municipal sewage containing organics has

become a challenge in one hand whereas getting the supply of cheaper and assured
supply of biomass to produce biofuels, a replacement for fossil fuels is a chal-
lenge on the other hand. Thus developing suitable technologies to process municipal
sewage to biofuels is of huge interest to address both the UN sustainable develop-
ment goals (SDG) 11.6 and 7. Hydrothermal liquefaction (HTL) is the only thermo-
chemical conversion that can process the municipal liquid sewage to bio-oil, which
upon hydrotreating could be the substitute for gasoline, kerosene and diesel. The
development of appropriate recyclable heterogeneous catalyst with high deoxygena-
tion activity is crucial for increasing the yield and quality of bio-oil to make the
process commercially viable. Iron-molybdenum oxide was prepared from iron and
molybdenum precursors of Mo/Fe mole ratio 1.5 and 2.2 by co-precipitation method,
calcined, characterized by XRD and FTIR. The XRD and FTIR characteristics indi-
cated the presence of Fe (III) molybdate and molybdenum oxide (MoO3 ) phases in
both the Fe–Mo Oxide (1.5) and (2.2) catalysts but the Fe (III) molybdate phase was
the predominant phase in the former, since the Mo/Fe mole ratio of Fe (III) molyb-
date phase is also1.5. The catalysts were evaluated for hydrothermal liquefaction
of synthetic wastewater to bio-oil under subcritical conditions and Fe–Mo Oxide
(1.5) gave Total Oil Yield of 36.5%, which was more than double that of Fe–Mo
Oxide (2.2). The higher bio-oil yield of Fe–Mo Oxide (1.5) was attributed to the
deep deoxygenation activity of Fe (III) molybdate phase predominantly present.

Keywords Bio-oil · Hydrothermal liquefaction · Wastewater · Catalyst ·

Sustainable development

B. K. R. Koteru · B. Praveen Kumar · G. Govindasamy (B)

Department of Chemical Engineering, School of Engineering, University of Petroleum and
Energy Studies (UPES), Dehradun, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 165
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
166 B. K. R. Koteru et al.

1 Introduction

Rapid urbanization, increase in per capita income and consumption by urban popu-
lation have resulted in an enormous increase in municipal solid and liquid waste
generation which is having huge impact on the habitants and environment of the
cities [1]. The sustainable development goals SDG 11.6 of United Nations aims at
reducing the per capita environmental impact of cities through better way of munic-
ipal and other waste management and SDG-7 aims at providing access to reliable,
sustainable, affordable, and modern energy for all by 2030 [2]. The two SDGs are
seemingly different and independent goals but can be attained together, thus there is
a paradigm shift in municipal solid and liquid waste treatment from waste reduction
to waste to energy (WTE). WTE technologies for municipal solid waste (MSW) such
as incineration, pyrolysis, gasification and anaerobic digestion, their comparison in
terms of efficiency of energy recovery, impact on environment and suitability for
varying MSW characteristics been reported [1, 3–5]. Gas Technology Institute, USA
invented integrated hydropyrolysis and hydroconversion (IH2® ) process and further
developed it with CRI/Criterion Inc., a subsidiary of Shell to convert cellulosic part
of MSW to gasoline, jet and diesel range hydrocarbon fuels [6]. Anaerobic digestion
(AD) is the most commonly used technology for the treatment of sewage sludge
(SS) generated in the domestic wastewater treatment plants (WWTP) and biogas
produced is upgraded to bio-methane, the energy product [7]. Potential of anaerobic
co-digestion of the organic fraction of MSW and sewage sludge to produce bio-
methane was reported [8]. Interest on faster and efficient thermochemical conversion
of sewage sludge to energy products gathered interest as AD is inherently slow.
Pacific Northwest National Laboratory (PNNL), USA converted SS by
hydrothermal liquefaction (HTL) to bio-crude of 44% yield as energy product along
with bio-char, aqueous phase containing significant amount of water soluble organics
(WSO) and gases and as coproducts [9]. The bio-crude was upgraded to naphtha,
diesel and heavy oil range hydrocarbons by hydrotreating. Roy Posmanik et al. [10]
reported that processing the aqueous phase of HTL by AD, increased the energy return
by converting the WSO to bio-methane. HTL is performed with hot compressed
water which has low dielectric constant of 19.66 compared to 78.85 for ambient
water and thus enhanced solvency for biomass. Further, its ionization constant is
500 times as that of water under ambient conditions. This enhances its ability as
an acid–base catalyst to several fold for hydrolyzing the biopolymers present in
the wastewater like starch, cellulose and hemicellulose to simple sugars, fats to fatty
acids, lignin to phenols and proteins to amino acids [11], constituting WSO. However,
the deoxygenation of WSO formed to water immiscible bio-oil yield depends on the
deoxygenation activity of catalyst [12]. HTL of SS was studied by Yokoyama et al.
[13] using sodium carbonate as catalyst and reported that the bio-oil yield was 50%
having calorific value of 33 MJ/kg. However, alkali was reported to be difficult to
recover and recycle besides corrosive [6]. An overview of catalysts studied for HTL
of SS to bio-oil, emphasized on the importance of further research for furthering
the understanding of the catalyst’s effect on the bio-oil yield and its characteristics
Synthesis, Characterization and Evaluation of Iron-Molybdenum Oxide Catalyst … 167

[14]. Maag et al. studied the HTL of food waste and reported that the bio-oil yield
was higher over heterogeneous CeZrOx catalyst in comparison with homogeneous
Na2 CO3 catalyst, which was attributed to the reduction in the WSO yield by 50%
[15]. Iron-molybdenum oxide catalyst was studied by Gopalakrishnan et al. [16] for
the HTL of sugarcane bagasse and found to yield 52% bio-oil. Hence in the present
work, iron-molybdenum catalyst was studied for the HTL of synthetic wastewater.

2 Materials and Methods

2.1 Materials

Ferric nitrate nonohydrate (98%), ammonium molybdate tetrahydrate (98%) of SRL

make and nitric acid (AR) of SD’s fine chemicals make were used for preparing the
iron-molybdenum oxide. For the preparation of synthetic wastewater, potato starch
(Pure), casein (fat free purified) of SRL make and sun flower edible oil (Fortune)
were used. Diethyl ether (99%), ethyl acetate (99%) and acetone (99%) of SRL were
used for the extraction of bio-oil. Hydrogen used as the process gas was of UHP
grade, supplied by Gupta Industrial Gases.

2.2 Synthesis and Characterization of Iron-Molybdenum

Oxide Catalyst

Ammonium molybdate solution was acidified to pH of 2 with concentrated nitric

acid. To this ferric nitrate solution was added under stirring so that Mo/Fe of the
mixture after addition would be 1.5 (Fe–Mo Oxide 1.5) and 2.2 (Fe–Mo Oxide 2.2).
Yellow precipitates formed were ripened at 373 K for 3 h under stirring and separated
by suction filtration. The precipitate was air-oven dried at 120 °C for 5 h and calcined
at 773 K for 6 h.
XRD of the synthesized catalysts were studied using Bruker D8 advance diffrac-
tometer with nickel-filtered Cu Kα radiation (λ = 1.54 Å) and liquid nitrogen-cooled
germanium solid-state detector having crystallography open database (REV89244
2013.10.11). The FTIR spectra of the catalysts made into pellets with KBr were
recorded using Frontier model of Perkin Elmer.
168 B. K. R. Koteru et al.

2.3 HTL Studies

Preparation of Synthetic Wastewater

100 g of synthetic wastewater containing 15 wt% of organic wastes was prepared by
mixing 4.5 g of casein, 8.25 g of potato starch, and 2.25 g of edible oil in 85 g of
distilled water.
Catalyst Evaluation for HTL
High-pressure batch reactor (BR 100, Berghof) made up of stainless steel having
a tubular furnace around it with a magnetic stirrer cum heater and digital tempera-
ture controller cum indicator was used for studying the catalytic HTL of synthetic
wastewater. The schematic diagram of the reactor assembly used in the present study
was already reported [16]. Synthesized wastewater was transferred BR 100 reactor
and 0.5 g of catalyst was added under magnetic stirring. The reactor was closed,
purged with hydrogen and then filled with hydrogen until the pressure reached the
initial pressure of 40 bar. Then the reactor was heated to 250 °C and kept for 2 h. After
2 h, heating was stopped and the reactor was cooled to ambient temperature and the
products of HTL were analyzed by the reported procedure [17] with few modifica-
tions and the same is depicted in Fig. 1. The gases were vented out and the remaining

Synthetic Wastewater Catalyst Hydrogen

Reactor

HTL Gas

Solid-Liquid Mixture

Acidification and Filtration

Solid Acetone Liquid Ether

Filtration Ethyl Acetate Decantation

Residue Acetone Extract Aqueous Phase Ether Extract

Calcination
Decantation Evaporation
Spent Catalyst Evaporation
Ethyl acetate Extract

Evaporation
Char Oil 3 WSO Oil 2 Oil 1
(Residue – Spent Catalyst)

Fig. 1 Process flow diagram

Synthesis, Characterization and Evaluation of Iron-Molybdenum Oxide Catalyst … 169

solid–liquid product mixture was acidified with HCl to pH around 1–2, refrigerated
overnight and separated by suction filtration. The filtrate obtained was extracted with
diethyl ether first, then the extract was dehydrated with sodium sulfate, filtered and
rotary evaporated to get Oil 1. Raffinate was extracted with ethyl acetate and the
extract was dehydrated with sodium sulfate, filtered and rotary evaporated at 50 °C
to get Oil 2. The raffinate obtained was the aqueous phase containing water-soluble
organics (WSO). The solid phase obtained during suction filtration was extracted
with acetone in Soxhlet apparatus until the solvent in the thimble became colorless.
The acetone extract was rotary evaporated to get Oil 3. The acetone insoluble solid
was dried at 100 °C and then weighed to get the amount of residue containing char
formed and the catalyst used in the HTL. The same was heated in a silica crucible at
650 °C for ½ h, cooled and weighed to find the weight of Ash. The weight of char
was determined by subtracting the weight of ash from the weight of residue. The %
Conversion, % Yield of the products and % Yield of Total Oil were calculated using
the equations reported earlier [16].

3 Results and Discussion

3.1 Catalyst Characterization

The XRD pattern of the catalysts are presented in Fig. 2. The peaks at 2 position of
22.89, 25.73 and 27.36 indicated the presence of Fe (III) molybdate [Fe2 (MoO4 )3 ]
phase while the peaks at 23.35, 30.17 and 33.81indicated the presence of MoO3
phase in both the iron-molybdenum oxide catalysts with Mo/Fe mole ratio of 1.5 and
2.2 [18]. Further, from the analysis of XRD data by the inbuilt software, it was found
that amount of MoO3 phase in the iron-molybdenum catalyst prepared from iron

800

700

600

500
Intenisty

400

300

200

100

0
10 15 20 25 30 35 40
2θ
Mo/Fe Mole rao 1.5 Mo/Fe Mole rao 2.2

Fig. 2 X-ray diffraction pattern of the catalysts

170 B. K. R. Koteru et al.

and molybdenum precursors with the starting Mo/Fe mole ratio of 2.2 was higher
compared to the same catalyst prepared from starting Mo/Fe mole ratio of 1.5. It
is because Mo/Fe mole ratio of Fe(III) molybdate [Fe2 (MoO4 )3 ] phase is 1.5 and
hence it was the major phase present when the starting Mo/Fe mole ratio was also
1.5. But with an increase in starting Mo/Fe mole ratio to 2.2, excess MoO3 phase
present in the catalyst increased. The FTIR spectra of the iron-molybdenum oxide
catalyst prepared with starting Mo/Fe ratio 1.5 and 2.2 are given in the Fig. 3a and
b respectively. The weak narrow band around 960 and 990 cm−1 observed in both
the catalysts were due to Fe–O–Mo vibration of the Fe(III) molybdate [Fe2 (MoO4 )3 ]
phase and Mo–O vibration of MoO3 phase respectively reaffirming the inferences
made from XRD result.

Fig. 3 FTIR spectra of Iron-molybdenum oxide catalyst a Mo/Fe mole ratio 1.5 b Mo/Fe mole
ratio 2.2
Synthesis, Characterization and Evaluation of Iron-Molybdenum Oxide Catalyst … 171

Table 1 HTL of synthetic wastewater

Catalyst Yield of products (g) Percentage%
(Mo/Fe Oil 1 Oil 2 Oil 3 Char WSO Conversion Total WSO
Mole and gas oil and gas
Ratio) yield yield
Fe–Mo 0.09 2.81 2.57 3.04 6.49 79.1 36.5 43.3
oxide
(1.5)
Fe–Mo 0.27 1.36 0.94 2.61 9.82 82.6 17.1 65.5
oxide
(2.2)
Without 0.91 1.13 2.11 3.31 7.54 77.9 27.7 50.3
catalyst

3.2 HTL of Synthetic Wastewater

The yield of products, % Conversion%, % Total Oil Yield and % WSO and Gas Yield
for the HTL of synthetic wastewater both in the presence and absence of catalyst are
presented in Table 1.
The % Conversion obtained in the presence of catalyst was higher than the non-
catalytic hydrothermal liquefaction of synthetic wastewater. The % Total Oil Yield in
the presence of Fe–Mo Oxide (1.5) was higher whereas lower for Fe–Mo Oxide (2.2)
in comparison with non-catalytic HTL. The % Total Oil Yield of 36.5% observed for
Fe–Mo Oxide (1.5) was higher compared to 34.7% shown by hierarchical Fe–Co–
ZSM-5 [19]. % Total Oil Yield was reported to be dependent on the catalyst’s deoxy-
genation activity [12], which deoxygenates the WSO containing the hydrolysates of
biopolymers present in the wastewater such as starch, proteins etc., to bio-oil. Hence
it could be concluded that the Fe (III) molybdate [Fe2 (MoO4 )3 ], the major phase
present in the Fe–Mo Oxide (1.5) catalyst might be the most active for deoxygenation
compared to MoO3 phase.

4 Conclusion

Iron-molybdenum oxide catalysts were prepared from iron and molybdenum precur-
sors of Mo/Fe mole ratio 1.5 and 2.2 by co-precipitation method of which the one
obtained from Mo/Fe mole ratio of 1.5 predominantly contained Fe (III) molybdate
[Fe2 (MoO4 )3 ] phase. As the same gave the higher bio-oil yield, it was concluded
that Fe (III) molybdate [Fe2 (MoO4 )3 ] phase was the most active for deoxygenation
of WSO to bio-oil.
172 B. K. R. Koteru et al.

Acknowledgements The authors gratefully acknowledge UPES R&D for providing the financial
support for this work and Mr. Charu Chandra Pant, Centralized Instrumentation Center for XRD
and FTIR characterization.

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2020, UPES, Dehradun.
Synthesis, Characterization
and Biological Aspects of Novel Indole
Derivatives

Indu Singh and Sanjeev Kumar Bhatt

Abstract A series of novel ethyl 2(5-methoxy-1H-indolyl)acetate (1), ethyl

2(5-methoxy-1H-indolyl)acetohydrazide (2), N-(substitutedbenzylidene-2-(5-
methoxy-1H-indolyl)acetohydrazide (3a-f) and N-(-2-(substitutedphenyl)-3-chloro-
4-oxoazetidinyl)-2-(5-methoxy-1H-indol-1-yl)acetamide (4a–f) derivatives have
been synthesized. Compound 2 was obtained by reaction of compound 1 with
hydrazine. Compound 2 treated with different aromatic aldehydes gives arylidene
derivatives 3(a–f). Compounds 3(a–f) were cyclized with chloroacetylchlo-
ride in presence of triethylamine to yield N-(-2-(substitutedphenyl)-3-chloro-
4-oxoazetidinyl)-2-(5-methoxy-1H-indol-1-yl) acetamide (4a–f). The recently
prepared compounds were verified by spectral analysis (IR as well as1 HNMR)
and elemental analysis. The biological activity i.e. antibacterial activities of these
synthesized compounds have been illustrated. Among of these compounds, some
compounds have shown better inhibition against different bacterial growth. This
activity was performed with help of cup plate method against staphylococcus aureus,
proteus vulgaris and Escherichia coli. The antibacterial activity of these compounds
was tested in form zone of inhibition in mm and this activity was compared with
standard drug ampecillin.

Keywords Indole · Azetidinone · Antibacterial activity · Ampecilline

1 Introduction

Heterocyclic compounds play an important role in our life because they are neces-
sary to performed metabolic process in all living things. Heterocyclic compounds and
medicines are interrelated because humans are totally dependent on drugs and these
drugs are derived from heterocyclic compound. Indole is a branch of heterocyclic
compound with chemical formula C8 H7 N. It contains six-member benzene ring
with five member nitrogen containing pyrrole ring. Many researchers have reported

I. Singh (B) · S. K. Bhatt

Department of Chemistry, Meerut College Meerut, Meerut, Uttar Pradesh, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 175
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
176 I. Singh and S. K. Bhatt

that indole derivatives possessing a wide variety of biological activity like antimi-
crobial [1, 2], antibacterial [3, 4], anti-inflammatory [5–9], analgesic [10, 11] and
anticonvulsant [12–16] activities etc. Moreover, large number of indole derivatives
having azetidinone moieties increases the antibacterial activity. From the literature
it has been found that an azetidinone derivative shows biological activities such as
antimicrobial [17–19], antibacterial [20–23], antifungal [24–26], antitubercular [27]
and anticonvulsant [28] activities. Therefore, it was thought worthwhile to synthe-
size severalindole derivativesincluding azetidinone moiety with hope to get better
antibacterial molecule with improved antibacterial activities.

2 Methods

Melting points and purity of new compounds were confirmed by ordinary methods.
Perkin-Elmer 2400 analyzer, Beckman Acculab-10 spectrometer and BruckerDPX-
300 MHz were used for elemental (C, H and N), IR spectra and 1 H NMR
spectra respectively. Diagrammatical structure of target compounds has displayed
in Scheme 1.

2.1 Biological Studies

Target compounds were tested for their antibacterial property. This activity was
performed with help of agar cup plate method [29] against different type of bacteria
like staphylococcus aureus, proteus vulgaris and Escherichia coli. The antibacterial
activity of these compounds was recorded in form zone of inhibition in mm and
compared this activity with standard drug ampecillin.

3 Results and Discussion

3.1 Chemistry

Ethyl 2(5-methoxy-1H-indolyl) acetate (1).

Indole (0.01 mol) with ethyl chloroacetate (0.01 mol) was taken in acetone (12 ml)
then stirred with anhydrous potassium carbonate (2.2 g) on magnetic stirrer for 20 h.
This mixture was poured in beaker with 100 ml ice water and separated by ether.
After removing of ether, the product was obtained. The physical, other properties
and spectral records are represented in Tables 1 and 2.
Ethyl 2-(5-methoxy-1H-indole-1-yl)acetohydrazide (2).
Synthesis, Characterization and Biological Aspects of Novel … 177

H 3CO

+ ClCH2COOC2H5
N
H Acetone
K2CO3
H3 CO

N
1 CH 2 COOC2 H 5

NH2NH2.H2O

H3 CO

N
CH 2 CONHNH 2
2
R
OHC
H3 CO

N R
H
CH 2 CONHN C

3(a-f )
Chloroacetylchloride
H3 CO Triethylamine

N R
H
CH 2 CONHN C
R = H, 2-OH, 4-Cl, 4-Br,
2,6-Cl, 2,6-Br O Cl
4(a-f )

Scheme I
Scheme 1 Compound 1 Ethyl-2-(5-methoxy-1H-indolyl)acetate
Compound 2 Ethyl-2-(5-methoxy-1Hindole-1-yl)acetohydrazide
Compounds 3a-3f N-Substituted benzylidene-2-(5-methoxy-1H-indole-1-yl)acetohydrazide
Compounds 4a-4f N(3-chloro-2-oxo-4-substituted phenylazetidinyl)2-(5- methoxy-1Hindole-1-
yl)acetamide
178

Table 1 Physical and analytical data of compounds 1-4f

Compound R group Molecular formula mp in Yield Recrystalised Elemental analysis
No. and °C solvent %C %H %N
position
Calcd Found Calcd Found Calcd Found
1 C13 H15 NO3 154 67 Ethanol 66.94 66.96 6.48 6.45 6.00 6.02
2 C11 H13 N3 O2 160 65 Methanol 60.26 60.27 5.98 5.96 19.17 19.18
3a H C18 H17 N3 O2 165 62 Ethanol 70.34 70.37 5.58 5.59 13.67 13.64
3b 2-OH C18 H17 N3 O3 168 60 Acetone 66.86 66.87 5.30 5.33 13.00 13.03
3c 4-Cl C18 H16 ClN3 O2 173 61 Ethanol 63.25 63.27 4.72 4.74 12.29 12.31
3d 4- Br C18 H16 BrN3 O2 169 59 Methanol 55.97 55.94 4.18 4.14 10.88 10.86
3e 2,6-diCl C18 H15 Cl2 N3 O2 171 57 Acetone 57.46 57.48 4.02 4.04 11.17 11.15
3f 2,6-diBr C18 H15 Br2 N3 O2 176 54 Ethanol 46.48 46.46 3.25 3.24 9.03 9.04
4a H C20 H18 ClN3 O3 189 52 Acetone 62.58 62.56 4.73 4.75 10.95 10.98
4b 2-OH C20 H18 ClN3 O4 185 49 Benzene 60.08 60.06 4.54 4.55 10.51 10.54
4c 4-Cl C20 H17 Cl2 N3 O3 190 47 Acetone 57.43 57.46 4.10 4.12 10.05 10.04
4d 4-Br C20 H17 Br2 ClN3 O3 192 44 Toluene 51.91 51.94 3.70 3.72 9.08 9.09
4e 2,6-diCl C20 H16 Cl3 N3 O3 196 40 Acetone 53.06 53.08 3.56 3.52 9.28 9.27
4f 2,6-diBr C20 H16 Br2 ClN3 O3 198 38 Benzene 44.35 44.38 2.98 2.96 7.76 7.78
I. Singh and S. K. Bhatt
Synthesis, Characterization and Biological Aspects of Novel … 179

Table 2 Spectral data of compounds 1-4f

Comp. No. IR (KBr) νmax in cm−1 1 HNMR(CDCl
3 + DMSO-d6 ) δ in ppm
1 1347 (C–N–), 1567 (–C=C–), 1610 2.48 (s, 3H, –CH3 ), 2.84 (s, 2H,
(C–C of phenyl), 1683 (–C = O),3045 COO–CH2 –), 4.23 (s, 2H, –N–CH2 –),
(C–H ring) 4.58 (d, 3H, OCH3 ), 6.01–6.25 (d, 2H,
pyrrole ring), 7.01–8.02 (m, 3H, Ar–H)
2 1289 (–N–N–), 1346 (–C–N), 1560 4.25 (s, 2H, –N–CH2 ), 4.56 (d, 3H,
(–C=C–), 1619 (–C–C– of OCH3 ), 6.03–6.27 (d, 2H, pyrrole ring),
phenyl),1682 (–C=O), 3041 6.57 (s, 1H, –NH–), 6.74 (s, 2H, NH2 ),
(–C–H– ring), 3420 (N–H) 7.21–8.02 (m, 3H, –Ar–H)
3a 1285 (–N–N–), 1343 (–C–N–), 1562 4.19 (s, 2H, –N–CH2 ), 4.52 (s, 3H,
(–C=C–), 1612 (C–C of phenyl), 1636 OCH3 ), 6.05–6.26 (d, 2H, pyrrole ring),
(–C=N–),1685 (–C=O), 3044 (C–H 6.55 (s, 1H, NH), 6.87 (d, 1H, =
ring), 3423 (N–H) CH–Ar), 7.52–8.52 (m, 8H, –Ar–H)
3b 1283 (–N–N–), 1347 (–C–N–), 1568 4.24 (s, 2H, –N–CH2 –), 4.54 (s, 3H,
(–C=C–), 1614 (C–C of phenyl), 1630 OCH3 ), 6.03–6.22 (d, 2H, pyrrole ring),
(–C=N–),1686 (–C=O), 3045 (C–H 6.56 (s, 1H–NH), 6.98 (d, 1H, CH–Ar),
ring), 3421 (N–H), 3475 (C–OH) 7.56–8.53 (m, 7H, ArH),11.89 (s, 1H,
OH)
3c 761 (–C–Cl), 1287 (–N–N), 1345 4.25 (s, 2H, –N–CH2 ), 4.56 (s, 3H,
(–C–N), 1562 (–C=C–), 1619 OCH3 ), 6.06–6.27 (d, 2H, pyrrole ring),
(–C–C– of phenyl), 1636 (C=N–),1682 6.59 (s 1H NH), 6.92 (d, 1H, CH–Ar),
(–C=O), 3048 (C–H ring), 3424 (N–H) 7.52–8.56 (m, 7H, ArH)
3d 615 (–C–Br), 1280 (–N–N), 1346 4.30 (s, 2H, –N–CH2 ), 4.52 (s, 3H,
(–C–N), 1569 (–C=C–), 1612 OCH3 ), 6.02–6.25 (d, 2H, pyrrole ring),
(–C–C– of phenyl), 1633 (C = 6.55 (s, 1H NH), 6.94 (d, 1H, =
N–),1680 (–C = O), 3047 (–C–H ring), CH–Ar), 7.50–8.51 (m, 7H, Ar–H)
3426 (N–H)
3e 764 (–C–Cl), 1286 (–N–N–), 1342 4.24 (s, 2H, –N–CH2 –), 4.53 (s, 3H,
(–C–N), 1564 (–C = C–), 1617 OCH3 ), 6.03–6.20 (d, 2H, pyrrole ring),
(–C–C– phenyl), 1631 (C = N–),1680 6.56 (s, 1HNH), 6.98 (d, 1H, CH–Ar),
(–C = O), 3048 (–C–H ring), 3427 7.54–8.53 (m, 6H, Ar–H)
(N–H)
3f 613 (–C–Br), 1282 (–N–N–), 1345 4.26 (s, 2H, –N–CH2 –), 4.57 (s, 3H,
(–C–N), 1567 (–C = C–), 1610 OCH3 ), 6.01–6.25 (d, 2H, pyrrole ring),
(–C–C– phenyl), 1630 (C = N–),1683 6.51 (s, 1H NH), 6.91 (d, 1H, CHAr),
(–C = O), 3042 (–C–H ring), 3424 7.51–8.56 (m, 6H, ArH)
(N–H)
4a 768 (–C–Cl), 1288 (–N–N), 1340 4.19 (s, 2H, –N–CH2 ), 4.53 (s, 3H,
(–C–N), 1563 (–C = C–), 1615 (–C–C OCH3 ), 4.80 (d, 1H, CH–Cl of
phenyl), 1681 (–C = O), 3049 (–C–H azetidinone), 6.00–6.21 (d, 2H, pyrrole
ring), 3422 (N–H) ring), 6.49 (s, 1H–NH), 6.99 (d, 1H,
CH–Ar), 7.57–8.56 (m, 8H, Ar–H)
4b 760 (–C–Cl), 1289 (–N–N), 1345 4.25 (s, 2H, –N–CH2 –), 4.59 (s, 3H,
(–C–N), 1569 (–C = C–), 1610 (–C–C OCH3 ), 4.83 (d, 1H, CH–Cl of
phenyl), 1683 (–C = O), 3045 (–C–H azetidinone), 6.03–6.24 (d, 2H, pyrrole
ring), 3424 (N–H), 3468 (C–OH) ring), 6.54 (s, 1H NH), 6.95 (d, 1H,
CHAr), 7.56–8.58 (m, 7H, ArH),11.93
(s, 1H, OH)
(continued)
180 I. Singh and S. K. Bhatt

Table 2 (continued)
Comp. No. IR (KBr) νmax in cm−1 1 HNMR(CDCl
3 + DMSO-d6 ) δ in ppm
4c 767 (–C–Cl), 1285 (–N–N), 1343 4.23 (s, 2H, –N–CH2 –), 4.54 (s, 3H,
(–C–N), 1562 (––C = C–), 1612 OCH3 ), 4.84 (d, 1H, CH–Cl of
(–C–C phenyl), 1680 (–C = O), 3048 azetidinone), 6.01–6.23 (d, 2H, pyrrole
(–C–H ring), 3420 (N–H) ring), 6.50 (s, 1H, -NH), 6.96 (d, 1H,
CHAr), 7.59–8.54 (m, 7H, Ar–H)
4d 611 (–C–Br),763 (–C–Cl), 1283 4.22 (s, 2H, –N–CH2 –), 4.55 (s, 3H,
(–N–N), 1347 (–C–N), 1565 (–C = C), OCH3 ), 4.86 (d, 1H, CH–Cl of
1613 (–C–C phenyl), 1686 (–C = O), azetidinone), 6.04–6.24 (d, 2H, pyrrole
3047 (–C–H ring), 3428 (N–H) ring), 6.59 (s, 1H–NH), 6.98 (d, 1H,
CHAr), 7.56–8.57 (m, 7H, Ar–H)
4e 765 (–C–Cl), 1281 (–N–N), 1340 4.29 (s, 2H, –N–CH2 ), 4.54 (s, 3H,
(–C–N), 1565 (–C = C–), 1614 (–C–C OCH3 ), 4.86 (d, 1H, CH–Cl of
phenyl), 1680 (–C = O), 3042 (–C–H azetidinone), 6.05–6.21 (d, 2H, pyrrole
ring), 3421 (N–H) ring), 6.58 (s 1H NH), 6.97 (d, 1H,
CHAr), 7.51–8.56 (m, 6H, ArH)
4f 613 (–C–Br),760 (–C–Cl), 1288 4.24 (s, 2H, –N–CH2 –), 4.51 (s, 3H,
(–N–N), 1345 (–C–N), 1567 (–C = OCH3 ), 4.85 (d, 1H, CH–Cl of
C–), 1610 (–C–C phenyl), 1683 (–C = azetidinone), 6.05–6.28 (d, 2H, pyrrole
O), 3045 (–C–H ring), 3424 (N–H) ring), 6.50 (s 1H–NH), 6.95 (d, 1H,
CHAr), 7.55–8.59 (m, 6H, ArH)

An equal amount of indole ester (0.01 mol) and NH2 NH2 (0.01 mol) were kept
in appropriate solvent and refluxed it for 9 h. This mixture was transfered in ice
water and kept it overnight. The product of this reaction was obtained by filtered
and washed using cold water. The physical, other properties and spectral records are
represented in Tables 1 and 2.
N-benzylidene- 2-(5-methoxy-1H-indole-1-yl)acetohydrazide (3a).
Compound 2 (0.01 mol) with benzaldehyde (0.01 mol) was taken in C2 H5 OH
(55 ml) and refluxed it about 10 h. This mixture was cooled at normal temp and
transfered it into a beaker with ice water containing triturated sodium bisulfate solu-
tion and stirred for 5 h. The product was separated from ethanol. The final product was
recrystallized by using of appropriated solvent to give compound 3a. The physical,
other properties and spectral records are represented in Tables 1 and 2.
Compounds 3(b–f) were manufactured by using same method, explained for
compound 3a. The physical and spectral data of compounds 3(b–f) are giving in
Tables 1 and 2.
N(3-chloro-2-oxo-4-phenylazetidinyl)-2-(5-methoxy-1H-indol-1-yl) acetamide
(4a).
Taken the solution of chloroacetyl chloride (0.01 mol) indioxane (53 ml), was
added in compound 3a (0.01 mol). This mixture was stirred continuously 4 h, cooled
andtransfered it into a beaker with water. A solid product was obtained, filtered and
then washed by using of water and recystallized by acetone to yield compound 4a.
Synthesis, Characterization and Biological Aspects of Novel … 181

Table 3 Details of antibacterial activity

Compounds R Bacterial inhibition zone in mm
S. aureus E. coli P. vulgaris
3a H 9 6 8
3b 2-OH 11 – 9
3c 4-Cl 14 10 –
3d 4-Br 13 11 11
3e 2,6-Cl 15 13 14
3f 2,6-Br 11 12 11
4a H 15 13 12
4b 2-OH 17 15 14
4c 4-Cl 20 16 15
4d 4-Br 16 14 16
4e 2,6-Cl 22 18 19
4f 2,6-Br 21 16 17
Ampecillin 20 18 18

The physical, other properties and spectral records are represented in Tables 1 and
2.
Compounds 4(b–f) were manufactured by using same method explained for
compound 4a. The physical and spectral data of compounds 4(b–f) are giving in
Tables 1 and 2.
Antibacterial Activity
Compounds 3a–3f and 4a–4f were tested for antibacterial activity and pharmaco-
logical details of these compounds have mentioned in the Table 3. From the table
it was cleared that these compounds have shown significance inhibition against
microorganism. Methoxy group on the indole nucleus increase the antibacterial
activity. Compounds having azetidinone moiety exhibited better antibacterial activi-
ties. Compound 4e was found more potent antibacterial agents against S. aureus and
P. vulgaris with standard drug ampecillin. Compounds 3e, 4b, 4c, 4d and 4f have
shown moderate activity while rest compounds showed mild activity.

4 Conclusion

We have synthesized indole derivatives containing azetidinone moiety using easily

available starting materials. These compounds were confirmed by spectral and
elemental details and antibacterial activity of these compounds was also investigated
against different bacteria i.e. staphylococcus aureus, proteus vulgaris and Escherichia
182 I. Singh and S. K. Bhatt

coli using cup plate method. Biological activity was recorded in form zone of inhi-
bition in mm and compared with standard drug ampecillin. Mostly compounds have
shown moderate degree of activity. Compounds 4a–4f containing azetidinone ring
exhibited better antibacterial activity than compounds 3a–3f. 2,6-dichloro substituted
indole derivatives have shown more efficient because it contain more electronegative
atom than other substituents. Compounds 4e, 4f against S. aureus and compound 4e
against P. vulgaris have shown good antibacterial activity than standard drug.

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A Review of Challenges and Safety
Measures in Petroleum Industry During
COVID-19
Siddharth Sharma, Surajbhan Singh, Kanchan Deoli Bahukhandi,
and S. M. Tauseef

Abstract The whole world is going through the Coronavirus pandemic. At this time
of COVID-19, Indian authority has also chosen the path of lockdown and everything
has come to a halt. Each and everything has shut off except essential commodities.
Transportation, construction, small and big industries, and factories have also been
closed. This pandemic has affected the economy of the whole world. The petroleum
industry is the key industry that contributes to the economy of the country and it has
also been shut down because of this pandemic. Now the whole world is working on
reconstructing their economy in the middle of this pandemic. The Government has
allowed factories, industries (including the petroleum industry) to restart their work.
This study will provide overview of the safety measures and occupational safety
which need to be incorporated after the restarting of the petroleum industry.

1 Introduction

In the petroleum industry the safety is always at the forefront. The workers working
in the petroleum industry are always exposed to high risk [1]. At this time of the
Corona pandemic, the risk in the petroleum industry has increased, so the workers
need to be given careful attention to safety in the petroleum industry and the culture of
preventive safety should be encouraged. As the whole world is facing unprecedented
lockdown, everything has come to halt including the petroleum industry. COVID-19
overshadows all human evolution, intelligence, and technology. Today pandemic is
making roots in our life and giving us mighty harm. Now the world is restarting and
because of the reopening of industries, markets, and public places the severity of
COVID-19 has also increased. So, at this time more awareness is needed and the
applications of more preventive measures are required [2]. The pandemic causing
huge impact on petroleum industry. The less demand for petroleum products the

S. Sharma (B) · S. Singh · K. D. Bahukhandi (B) · S. M. Tauseef

Student of Department of Health Safety and Environment, University of Petroleum and Energy
Studies, Dehradun, India
e-mail: kanchan@[Link]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 185
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
186 S. Sharma et al.

petrochemical industries are going face huge challenges. We have also witnessed
the lowest oil price in the history of the US. The oil price was decreased to mines
32.63$ [3]. The main problem which will arise during this COVID-19 pandemic
is the maintenance of the machines and sanitizing of the workplace including the
machinery [4–6].

2 Problems in Restarting the Petroleum Industry

Due to this COVID-19, In India, a lockdown was announced by Honorable Prime

Minister Shri Narendra Modi India. Many problems were going to arise for the
restarting of the petroleum industry. Some of them are discussed below.
i. Lack of human resource: In India more than 1 Million Migrant workers who
were working in the petroleum industry are moving to their respective native
places [7]. So for work, 85% of the workers are not available. As to fulfill
their needs they are not getting enough wages and by this, the transportation
of raw material has also been adversely affected. Some of them are still living
nearby industries, in camps, run by the government or industry itself. Now the
Government has allowed opening the industry. At the time when COVID-19
was expanding its roots in society, most of them moved to their native places.
Because of this, it’s impossible for them to come back and start working again.
There is no transportation facility for workers available this time and they
don’t want to risk their life too. COVID-19 affects them economically as well
as mentally and mental illness is a very severe issue while working in the
petroleum industry [8].
ii. Impact on Cost: Restarting of work is a costly process, for any industries
especially in an oil refinery. The reopening of oil refineries needed maintenance
and inspection of the heavy machinery [4, 9]. The risk assessment also plays
a very important role here [10]. It can be understood by a recent accident
which was happened at Vishakhapatnam. In that accident, Styrene Gas was
leaked due to cooling system failure. More than 1000 people were affected and
more than 11 people lost their life [11]. Petroleum Industry needs to take more
precautions due to increased chances of accidents due to shut down of work.
The transportation expenditure will also increase. Suppose in an industry there
were 3 buses required picking and dropping their employees but now they
required 7 seven buses because they have to maintain social distancing for
avoiding the spread of the COVID19 virus. Before COVID19 they didn’t have
to spend anything on sanitization and hygiene [2, 12]. Now they have to spend
money on the sanitization of the whole premises including buses, machinery,
and all other equipment. Petroleum Industry has to maintain social distancing
while working like this can also reduce the speed of the work. Industries have
to spend more on the PPE and medical facilities also. PPE plays an important
role to avoid not only occupational hazards, but it can also help in stopping
A Review of Challenges and Safety Measures in Petroleum Industry … 187

the spread of COVID-19. Storing and cleaning of PPE kits contribute to cost
increment and also require special maintenance and care [13, 14].
iii. Lack of experienced workers: As migrants have moved to their native places,
now the petroleum industry is facing a new problem which is a lack of workers
who are experienced. Many experienced, employees have been moved on, and
now the industry is unwillingly forced to work with inexperienced workers.
Working hours all increased by the government for taking the economy on
track [7]. With increased working hours, chances of accidents also increased
and it will have a negative effect on the health of the workers. It has been
seen that increased working hours increased cardiovascular diseases among
the workers [15]. Now working speed has been increased and also, it’s an open
invitation to an accident. Inexperienced new workers required training and time
to replace the experienced workers. So, industries have to go through the whole
procedure again and it requires money and time as well.
As discussed above in restarting the petroleum industry various problems like Lack
of human resource, Impact on Cost and Lack of experienced worker has occurred
due to which hazards have increased and have led to many accidents. Some of the
hazards are discussed below.

3 Hazards Present in the Industry

There are many hazards that are present in the petroleum industry. Some of them are
i. Physical health or wellbeing hazard
ii. The risk of chemical health hazard
iii. The risk to Biological Safety
iv. Risk to ergonomic health
v. Risk to psychosocial wellbeing [16, 17, 10, 18].
At this time of COVID-19 pandemic, not only in the petroleum industry but in all
industry the risk of these hazards has increased.
It is well known that sanitization has become an essential requirement in the
petroleum industry and most of the sanitizers which are used to sanitize are alcohol-
based. As it is known that alcohol is a combustible material so it can ignite into
flames and can result in a severe accident. Employee health and safety is paramount.
Due to the properties of petroleum products, operations tasks, and processes in the
petroleum industries are dangerous, an occupational hazard in the oil industry is a
major issue [19, 20].
188 S. Sharma et al.

4 Accidents Occurred in the Petroleum Industry During

COVID-19

COVID-19 period has surely increased the number of accidents that happened in
the Petroleum, Construction, and Process Industries. Accidents which are happened
during COVID-19
1. Visakhapatnam Gas Leakage—On the morning of 7th of May 2020, at the
LG polymers plant located, Visakhapatnam, Andhra Pradesh, India, an acci-
dent happened. Styrene gas leaked from the storage tanks because of improper
maintenance. According to the primary investigation, storage tanks had unat-
tended since March 2020 due to COVID-19. The failure of the refrigerating
system of the storage tanks leads to the evaporation of chemicals. Styrene gas
spread over 5 km around the plant. More than 1000 people were affected 11
people had died in this accident. Because of this accident people have to leave
their homes and move to other places [11].
2. Siberia Oil leak—On 29 MAY 2020, the oil storage tank started leaking from
the bottom holes of the tanks. More than 21,000 Ton oil leaked and emerged in
the Ambarnaya River. The Cause of the leakage was holed which was made due
to corrosion. This is the second-highest oil leakage accident in the history of
Russia. Russia declares this accident is a state of emergency. Environmentalists
are saying it will take decades in restoring the ecological balance of the river
[21].
3. Assam’s Tinsukia Oil Well- On the early morning of 27 MAY 2020 an oil well
of Tinsukia, Assam, India was a blowout. Gas had been leaking continuously
and after 13 days of continuous flow out well caught fire and while the sweeping
accident happened and 2 firemen lost their life. From the primary investigation,
machine failure is the cause of the blowout of the oil well. More than 1600
families evacuated from the hazardous area [22].
4. Texas Eastern Gas Pipeline Explodes in Kentucky—On 4 MAY 2020 at around
5 PM, a natural gas pipeline was blown out in Fleming County, Kentucky, USA.
There was no injury reported. Line no 10 of natural gas was blowout Enbridge
company’s crew members responded quickly and secured the incident area [23].
5. Explosion Valero Refinery: On the early morning of 10/4/2020 explosion
occurred at Valero Energy Corp Meraux, Louisiana, and refinery on the east
side of New Orleans. One person had injured in the fire. The cause of the
explosion is unclear till now [24].
6. AL-Sabriya Refinery in Kuwait—On 11 JUN 2020 fire accident happened et al.
Sabriya Refinery in Kuwait. One person died in that fire accident and one
worker injured. An accident occurred at dawn during the drilling process. The
investigation is under process [25].
7. Telangana Hydroelectric Power Plant Fire Accident—On Aug 20, an accident
happened at a Hydroelectric Power Plant located in Telangana India. Around
10:30 PM fire stated due to the short circuit, at the time 20 workers were on
the sift 11 were managed to escape and 9 people lost their life. Due to heavy
A Review of Challenges and Safety Measures in Petroleum Industry … 189

smoke on the escape tunnel, those 9 workers can’t manage to escape. After
the lockdown and the heavy rain, the power plant was in full swinging. An
investigation is in under process of finding the exact cause of the short circuit
and till then power generation has been suspended [26].
8. Bharuch tank explosion—On 3 June, 12 PM an explosion happened at a tank of
Argo-chemical factory called Yashashvi Rasayan Private Ltd in Dahej Industrial
Estate of Gujarat’s Bharuch district. 8 people lost their lives and 51 people were
injured. According to the primary investigation, the explosion happened due to
an unsafe working act. Minister said the whole factory has to go under safety
audit and it’s charged 250 million as plenty [27].
Summary of the accidents are shown below in the form of Table 1.
As we can see there are many accidents which happened in the petroleum industry
during COVID-19, each and every accident has different causes but the one thing
which is common in all these accidents was the lack of attention to the machinery
which should have been paid by the industry workers. As in this time of COVID-19,
the industry has been closed for a while and the workers have also moved to their
places. So the maintenance has been totally ignored by them which have led to these
accidents. As per the above-mentioned accidents, the causes for these misfortunes
were maintenance failure or any other reasons which are related to this pandemic.
So, the indirect cause was COVID-19.
In this COVID-19, everybody realizes that cleansing is a must, so in the wake of
opening all industries, everybody should play it safe while doing sanitizing. So,
because of this pandemic, it has become a necessity of sanitizing the industry.
Generally, the alcohol-based sanitizer contains a mix of isopropyl liquor, ethanol
(ethyl liquor), or n-propanol, containing 60–95% liquor by volume. As all these are
combustible and effectively can ignite into flames with a modest quantity of start
source so precautions have to be taken by keeping these points in mind. Similarly,
the alcohols which are alike to ethanol and methanol can burn effectively because
they form a vapor cloud of ethanol and methanol if they spill off at room temperature,
on the grounds during the process of sanitization and making the threat of fume start
increasingly huge whenever spilled or spread during the procedure of cleansing in
the petroleum industry which can lead to a terrible accident [12, 28, 29].

5 Measures Taken for Safety and the Maintenance

of the Machinery

To ensure the protection of the workers against COVID-19 there is a need to set up
SOP, i.e., Standard Operating Procedure. There are numerous estimates which must
be adopted by an employer at the time of working in the industry, which is as follows
[30]:
190

Table 1 Summary of the accidents

S. Date of the accident Location of the accident Cause of the accident
No.
1 7 MAY 2020 At LG polymers chemical plant located at R. R. Styrene gas leaked from the storage tanks because of improper
Venkatapuram village, Visakhapatnam, Andhra Pradesh, India maintenance. The failure of the refrigerating system of the
storage tanks leads to the evaporation of chemicals According
to the primary investigation, storage tanks had unattended
since March 2020 due to COVID-19 [11]
2 29 MAY 2020 At Norilsk-Taimyr Energy (NTEK), Siberia, Russia Oil leaked from Tank 5 of the Norilsk-Taimyr Energy (NTEK)
which is a coal-fired combined heat and power plant. The
Cause of the leakage was holes that were made due to
corrosion. So improper maintenance and inspection leads them
to 2nd largest oil spillage accident in the history of Russia [21]
3 27 MAY 2020 At Tinsukia, Assam, India From the primary investigation machine failure is the cause of
the blowout of the oil well [22]
4 4 MAY 2020 At Fleming County, Kentucky, USA The investigation is under process still reason for the fire
explosion is unknown [23]
5 10 APR 2020 At Valero Energy Corp Meraux, Louisiana The investigator said that a pressure relief valve blew up with
a spark and that sparkled to an explosion [24]
6 11 JUN 2020 et al.-SabriyaRefinery, Kuwait According to the primary investigation the cause of the
explosion was the sudden ignition of accompanying gases
during a drilling operation at the tower [25]
7 20 AUG 2020 At Telangana, India, Hydroelectric Power Plant According to primary investigation the cause of the fire was a
short circuit [26]
8 3 JUN 2020 At Bharuch, Gujarat, India, Yashashvi Rasayan Private Ltd According to primary investigation unsafe act was the main
cause of the explosion. The Factory had been not following
safe working acts [27]
S. Sharma et al.
A Review of Challenges and Safety Measures in Petroleum Industry … 191

• Maintenance and safe work practices are the keys in the petroleum industry in this
COVID-19 pandemic and that could be achieved by good leadership. In restarting,
the phase value of inspection and maintenance will be increased.
• Training is also an important aspect in the restart phase, many experienced workers
absquatulated with what they have because of no job security. It should be given
to both old and newly recruited employees.
• All parts of the petroleum industry working environment including the industry’s
entrance gate, washroom, cafeterias, lift, wall and other various surfaces must be
fully clean daily.
• Administrators need to coordinate transportation for all company workers who
don’t depend on public transportation and make sure that each and every vehicle
is only loaded up to a maximum capacity of 25–35%.
• Both automobiles and equipment which are coming in this sector should be
thoroughly cleaned and disinfected.
• Compulsory thermal inspection of each person entering the industry and leaving
the industry and proper PPE kit should be provided to the workers to avoid the
spread of COVID-19.
• Administrators must provide medical care to all workers in the industry.
• The Administrators must provide a sufficient amount of hand sanitizer, if possible,
with the touch-free machinery on all passage and exit areas and at all mutual zones
of the working environment.
• Working environments should have a break of at least sixty minutes between each
and every move.
• Gatherings in social events exceeding ten individuals are disheartened and there
must be a distance of 6 feet separation between every worker while seated.
• Special sessions should be introduced for providing knowledge about personal
hygiene and social distancing.
• The limit of employees who are allowed in a lift at once should be two and use
of the stairs should be followed.
• A severe restriction should be there on tobacco-based products and expelling in
the premises should be banned and there must be fines for this.
• All unnecessary visitors should be strictly prohibited from the industry.
• All employees in the industry exceeding the age of 65 must be urged to work,
from their home itself.
• All Employees in the industry must present concentrated training and communi-
cation skill on good cleanliness, cleanliness practices, particularly in the working
environment [9, 10, 31].
All the preventive measures which should be taken by the workers after entering
the petroleum industry (Fig. 1).
• Cleanliness—Cleanness is very important in this COVID19 period. After every
shift and before starting the shift work area should be washed or sanitized properly.
• Latrines and urinals: Latrines and urinals washed properly frequently.
• Spittoons: No one should be allowed to spit inside the premises except spittoons
and whoever spits in contravention shall be punishable with a fine.
192 S. Sharma et al.

Fig. 1 Flow chart of

preventive measures

• Washing facilities: There should be washing facilities inside the refinery separate
for males and females. Workers should be properly screened and employers should
make sure no one should be contaminated.
• Disposal: Everyone should get their own PPEs and those PPEs will be prop-
erly disposed of or sanitized. Disinfection and reuse of the mask and other PPE
facility should be present on the premises. If not then disposable masks should be
provided. Mainly radioactive waste, oily hazardous waste is generated by the Oil
refineries so it is very essential to handle waste carefully [7, 32–35].
As discussed above, if someone not follows the guideline provided by the safety
committee then there should be a penalty for offenses. Occupational health safety
is every employee’s right. So, by taking into the consideration of COVID19 special
safety officers should be appointed who will take care of employees from COVID19
and also provide guidelines [1, 2, 16, 36]. The operational planning and control
measures are needed for working in the petroleum industry during COVID-19
(Fig. 2).

6 Conclusion

The chances of accidents have been increased because of improper maintenance

which is due to COVID-19 and the lack of experienced employees. The industry
should follow different safety practices at this time of the COVID-19 pandemic.
Cleanliness, use of PPE kit, thermal scanning, avoid gathering, washing facilities,
and how to sanitize the industry, how much alcohol should be present in the sanitizer
or disinfectant should be the main practices that industry should follow. With the help
of good leadership maintenance and healthy work activities in the industry can be
A Review of Challenges and Safety Measures in Petroleum Industry … 193

Fig. 2 Flowchart of
operational planing COVID-19 – Precauons, Operaonal, Planning and Control

Hazard Idenﬁcaon

Vulnerability Assessment

Impact Analysis

Strategy for the precauons of COVID-19

Implementaon of COVID-19 Precauons Strategies

Training and Tesng

achieved. Training of each and every employee in the industry is also important at this
time of COVID-19 pandemic. Special Sessions should be introduced to the workers
for the training. This pandemic and lockdown have also shown many positive aspects
as working from home was not normal in the industry however this New Normal
working from the offsite location has become the new standard.

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Sustainable City Planning Strategy
Review for Next-Level Technology,
Earthquake-Resistant Buildings,
Dehradun City

Geetanjli Rani, P. A. Arun, Nitty Ann Abraham, Shariq Ansari,

and Umar Muktar

Abstract The Indian state of Uttarakhand was formed in 2000 to transform the life
and economy of people in hilly region. The state government aims to achieve the
target set by United Nation’s Sustainable Development Goals framework by 2030.
The state’s vulnerability to various natural disasters can be potential challenge in
achieving these targets. The capital city of Uttarakhand, Dehradun is situated in
seismic zone IV and in the last few decades Dehradun has witnessed rapid urbaniza-
tion causing construction of buildings compromising on safety and people occupying
vulnerable location. This paper focus on spatial and social vulnerability analysis of
Dehradun city suing GIS mapping. The study classifies wards of Dehradun city into
different categorizes based on risks such as slope, built up area, population density
and identifies Spatial Hazard Risk Zones (SHRZ) of Dehradun city. Based on the
study recommendations are made for effective management of earthquake risk in
Dehradun city. The study proposes few techniques that city planners may consider
for earthquake resistant construction in future. Outcomes and recommendations of
the study can be handy to city planners and administration team to enable them to
plan for these critical risks and achieve state’s sustainability targets.

1 Introduction

The Indian state of Uttarakhand was formed on 9th of November, 2000 to transform
the life and economy of people in hilly region. The state government aims to achieve
the target set by United Nation’s Sustainable Development Goals framework by 2030

G. Rani (B) · P. A. Arun · N. A. Abraham · S. Ansari · U. Muktar

School of Engineering, UPES, Dehradun, India
e-mail: grani@[Link]
P. A. Arun
e-mail: [Link]@[Link]
S. Ansari
e-mail: 500051292@[Link]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 197
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
198 G. Rani et al.

Fig. 1 Dehradun earthquake zonation and location between MCT and MBT

[1]. The state’s vulnerability to various natural disasters can be potential challenge in
achieving these targets. Livelihood of people are being severely affected by frequent
occurrence of earthquakes, landslides, flashfloods, cloudbursts, droughts and cold
waves in this region. The entire state falls under Zone IV and Zone V of earthquake
zonation, and state capital, Dehradun is located in Zone IV [2]. After becoming the
state capital, Dehradun has witnessed unpreceded growth in the number of indus-
tries, infrastructure and different types of residential and industrial structures being
constructed in this area. It is estimated that the urban built-up has grown from 982.64
Ha in 2003 to 7162 Ha in 2015. This has led to overcrowding, mass encroachments
and constructing buildings in vulnerable areas compromising on building regulation
[3, 4]. Figure 1 shows the earthquake zonation maps for Dehradun city.
The impacts of tremors on a poorly arranged community have demonstrated to
be destroying with long-term effects. Seismic risk reduction (SRR) looks into the
measures, which can be taken to forestall or decrease impact of an earthquake, essen-
tially before one occurs. Preparedness is a significant segment of risk reduction,
involving taking measures beforehand to caution and educate communities on ways
to be prepared in the event of an earthquake, and teaching people to react properly.
It is well documented that usage of technology can help the city planners in
mitigating the associated with earthquakes. Aim of this research work is to prepare
the earthquake hazard vulnerability maps of Dehradun city, strategize the safety
of buildings in high-risk areas based on spatial and social vulnerability analysis
through GIS mapping, and recommend devices suitable for technology implemen-
tation. This work prepares ward wise risk maps of Dehradun municipal area and
suggests various Non-Destructive Testing (NDT) that can be utilized for assessing
the structural integrity of buildings in vulnerable areas. Recommendations are also
made to strengthen earthquake disaster preparedness to create earthquake resilient
communities.
Sustainable City Planning Strategy Review for Next-Level … 199

2 Methodology

The methodology adopted for this work is depicted in Fig. 2. Extensive literature
review was carried out to comprehend the earthquake disaster management frame-
work in Dehradun city, these includes review of disaster management plans and
guidelines at national, state and district levels, city development plans, Building
byelaws and details pertaining to geographical and social livelihood of Dehradun
city. Seismic risk mitigation strategies adopted by countries which are highly vulner-
able to earthquake risks were also reviewed. The data collected are fed into GIS
software and created spatial, social vulnerability maps of Dehradun city. Based on
national guidelines and standards the city map is categorized into different risk zones.
From these risk maps highly vulnerable zones and wards are identified. Based on the
review of best practices adopted by developed countries, techniques are suggested
to assess the structural integrity of buildings in vulnerable areas and suggestion are
made to improve the earthquake disaster management preparedness in Dehradun
city.

Fig. 2 Methodology
200 G. Rani et al.

Table 1 History of earthquake in Karakoram fault and injuries in earthquake of Uttarkashi (1991)
and Chamoli (1999)
S. No Year Location Magnitude
1 1803 Upper Ganga Valley 6.5
2 1816 Near Gangotri 6.5
3 1916 Near Dharchula 7.5
4 1958 Kapkot 6
5 1980 Dharchula-Bajang 6.1
6 1991 Uttarkashi 6.6
7 1999 Chamoli 6.8

3 Analysis

3.1 Earthquakes of Karakoram Fault and Indus Suture

in the Tibetan Plateau

There have been several earthquakes in the Karakoram Fault and Indus Suture in
Tibetan Plateau. This is an oblique-slip fault system in the Himalayan region across
India and Asia. There has been series of earthquakes heavy loss of life and property
since recorded 1803–1999. The most sever one occured near Dharachula (Pithora-
garh district of Uttarakhand) of 7.5 magnitude. Most recent being in Chamoli, having
6.6 magnitude of earthquake with 21 km focal depth (Table 1). In 1991, Uttarkashi
experienced an earthquake of 6.8 magnitude and focal depth of 13 km. About 1.87
lakh buildings were damaged with 106 fatalities and 453 injuries in case of Chamoli
whereas much destruction was also seen during Uttarkashi earthquake (Table 1 and
Fig. 2). The history of earthquake has been devastating. Dehradun City lies in between
two of Karakoram fault called the Main Boundary Thrust (MBT) and Main Central
Thrust (MCT) (refer Fig. 1). Earlier researches indicate that Dehradun might expe-
rience Peak Ground Acceleration shakings of about 2.2 m/s2 for 225 years return
period and around 4.6 m/s2 for 2500 years return period [5] (Fig. 3).

3.2 Sustainable Land Resources Management

of Built-Environment and City Planning Strategies

Ground water changes qualified to meddle with building’s strength because of fault
rupture during earthquake [6, 7]. In seismic areas, the level of groundwater frequently
changes due to earthquakes in addition to tide and barometric pressure [8]. Occur-
rence of slope failure was experienced when the magnitude of earthquake is above
six. Frequency of 5–10 Hz ground motion is very capable of moving solid structure at
ground surface. An active fault line in vicinity attributes to quick landslip in areas of
Sustainable City Planning Strategy Review for Next-Level … 201

INJURIES

5006

453
UTTARKASHI, CHAMOLI, 1999
1991

BUILDING DAMAGED FATALITIES

768
187000
94898

106
UTTARKASHI, 1991 CHAMOLI, 1999 UTTARKASHI, 1991 CHAMOLI, 1999

Fig. 3 Buildings damaged and fatalities in earthquake of Uttarkashi and Chamoli [11]

steep slope [9]. As per Building Materials and Construction Technologies (BMTPC
2016), earthquake hazard zoning atlas (2016) showed housing category A (clay and
stone) and B (brick) are prominent in Uttarakhand State creates highly vulnerable
built-environment to life and property during an event of earthquake [10]. Local engi-
neers and masons ought to be imparted with training of earthquake resilient building
construction [11].

3.3 Provisions and Technicalities of Uttarakhand

Government

The technical section of strategy implementation, monitoring and evaluation

provided for GIS aided spatial approach. Additionally, its section on integrated
mitigation, planning and preparation offers for risk management capable commu-
nity/stakeholder lessening the level of probable loss of life and assets [12]. The
building bye-laws guides for parameters of low risk, medium risk and high-risk
topographical conditions of slope (refer Table 2) [13].
202 G. Rani et al.

Table 2 Building bye-laws, TCPD, Uttarakhand

4 Results

4.1 Urban Sprawl and Built-Up

Study area witnessed rapid urbanization soon after its formation as the active capital
city of State of Uttarakhand in year 2000. Increase growth rate of housing in the
state was by 1.5% per year, which increased to 3.4% in 2019–2020. These numbers
continue to increase the urban sprawl shown during year 2011–2020 (map). The
built-up growth remains tremendously expanding in south-west direction towards
Selaqui and south-east towards Haridwar. Population is dwelling upon unsafe and
highly vulnerable land. Houses with high number of storeys get located in river flood
plains, steep slopes and on soft soil (Map 1).

4.2 Spatial Hazard Risk Zones

Slope Analysis is an important factor during the study of earthquakes. In places

where ground is sloping, a static shear stress develops in the soil. These stresses
cause deformation to accumulate towards downhill direction. To ensure disaster
resilient built form for mitigation of structural loss owing to vulnerability of the
urban form, the building bye-laws has incorporated ‘risk-based classification’ of
buildings with the slope angle for construction activities for building classification
on the basis of risk level. As per the building Byelaws, those structures which are on
Sustainable City Planning Strategy Review for Next-Level … 203

Map 1 Urban sprawl and built-up change from 2011 to 2020, Dehradun City. Source [Link]
[Link]/web/@0,0,0a,22251752.77375655d,35y,0h,0t,0r, [Link]
[Link]

the slope less than 10° are at low risk while those buildings which are between 10°
and 26.5° are at medium risk and those buildings which lies on the slope more than
26.5° are at high risk. Majorly the study area lies in the medium risk zone which is
between 10 and 26.5° of slope. The figure below overlays the buildings on the slope
map. All these buildings in low, moderate and high-risk regions have 2–3 storeys of
buildings. Quite a number of buildings were found when zoomed into the red code
of high vulnerability. The buildings in high risk zones must be further studied and
strengthened for making them resilient towards earthquake (Map 2).

4.3 Social Hazard Risk Zones

Seismic micro-zonation maps from the study by [14] (evaluating the shear-wave
velocity (Vs) using geophysical technique) has been overlaid on the base map to
indicate the vulnerable zones. Central city wards were found to be densely populated
with high impact of spectral acceleration (Map 3).
Community Mapping
The communities were identified for interventions of community strengthening and
preparedness. These were Prem Nagar, Uttranchal University, Kheri Gaon on west of
the city. Mahesh Indresh area (Nanak Vihar, Derakhas), Irrigation Colony (between
204 G. Rani et al.

Map 2 Slope analysis. Source [Link]

55d,35y,0h,0t,0r, [Link]

Map 3 Micro zonation map overlaid on base map (spectral acceleration 5 and 10 Hz) Source [14],
Census of India 2011, [Link]
[Link]

Rajpur road and E. C. Road) and Sahastradhara colonies lies on the north-east side.
These colonies are highly vulnerable to disaster of earthquake.
Sustainable City Planning Strategy Review for Next-Level … 205

4.4 Comparative Review of Earthquake Resilient Structure

Technology

Since much unplanned development or built-up has already come in the city, the
impact of earthquake would be devastating. Redevelopment of the entire colonies
would also be difficult. It was wise to check of best practices of other countries
dealing with similar threat. Case of Turkey, Japan and Bangladesh were compared
to find that they have experienced more number of earthquakes and are investing in
massive retrofitting of identified buildings through Non-Destructive Testing (NDT)
(Table 3).
Non-Destructive Testing
NDT is a reasonable method to discover the properties of a structure without demol-
ishing it. Evaluation of a prevailing structure is tough since construction does not
always take place according to specifications as designed and various deformities or,
errors occur during construction, which goes unnoticed. Also, the natures of mate-
rials deteriorate over time. For structures that may not be strong against earthquakes,
an NDT evaluation serves as a decent method for estimating the structural safety

Table 3 Review of NDT of different countries [11]

Region Turkey Japan Bangladesh
Seismicity High High Moderate
No. of 77 61
Earthquakes
(1900–2016)
Action Large scale remedial Contributing NDT to evaluate the condition of
initiative—retrofitting/renewal US$ 725,200 existing structures against
of all high-risk buildings for using different loading patterns
within 20 yrs nuclear
technology
to verify the
structural
integrity of
buildings
after
earthquakes
or any other
disasters
Common For on-site strength test of Seismic Ferroscan—Rebar
NDT concrete: UPV—Pull out vulnerability detector—Ultrasonic
Methods method—Drilling resistance assessment device—Rebound
Used method—Rebound hammer using NDT, hammer—Microtremor—Ground
Determining Penetrating Radar
seismic
performance
indices
206 G. Rani et al.

at low budget. Usage of NDT during the development of structures and testing all
through their life expectancy can fundamentally limit collapses during earthquakes
and spare lives. Various NDT tools that can be used are Rebound hammer (Schmidt
hammer), Ultrasonic Pulse Velocity (UPV) instrument, Ground Penetrating Radar
(GPR), rebar detector, Ferro scanner etc. Penetration resistance, Pull-off testing and
drilling core tests are partially destructive methods adopted.

5 Discussion

Spatial hazard risk zone (SHRZ) in conjunction with the slope analysis for seismic
risk mentioned in the byelaws has been prepared indicating areas of low, moderate
and high risk. These to be overlaid with building footprint and building height, check
areas of violation of building byelaws, earthquake risk and vulnerability to life and
property. Further, check there building layouts for non-resilient construction as it
amplifies the susceptibility if buildings are in the high risk of SHRZ. Thus, further
suggests screening these buildings through Non-Destructive Testing (NDT) in areas
of high-risk zone for the once that are not in compliance with building-bye laws,
construction codes and standards. Social Vulnerability Hazard zones and wards has
been identified of highly vulnerable population to carry community-strengthening
programme for integrated mitigation, planning and preparedness.

6 Conclusion

Study carried socio-physical integrated spatial strategy with GIS-Techno aided

seismic risk reduction strategy in Dehradun city and community strengthening.
Strategic location of high-risk areas has been identified for further building details,
testing and carry programs of community strengthening. Morphology of city, urban
sprawl and narrow road network fears higher chance for road blockage and cut-
off access of rescue and relief to affected area and would make dreadful emer-
gency period. Comparative structural resilience technologies were described in the
study, which can be, incorporated appropriately in retrofit (sync Smart City Mission),
seismic strengthening and construction.
This study also highlights, authorities and organizations to ensure the compliance
to building bye-laws for further construction works. Engineers and contactors must be
licensed to do works in these areas, which are under seismic risk. Highly vulnerable
communities identified through social hazard risk zone for earthquake preparedness
and strengthening. GIS and NDT technology provides cutting edge to save existing
buildings that are highly earthquake vulnerable.

Acknowledgements We express our sincere thanks to the state Government of Uttarakhand for
providing sufficient information for completing this report. We thank Mr. Ranjan Bhora, Disaster
Sustainable City Planning Strategy Review for Next-Level … 207

Management Specialist in UNDP India, and Centre for Public Policy and Good Governance
(CPPGG), the division under the department of Uttarakhand Government, Mr. Manas Ranjan Mishra
(Program Manager, DM) for coordination. Gratitude to Dr. Nihal Siddiqui (Program Director), Dr.
S. M. Tauseef (Head of Department) and faculties of Department of HSE and Civil for giving the
opportunity. The Dean-School of Engineering Dr. Kamal Bansal of University of Petroleum and
Energy Studies (UPES) who played an integral part in providing support and relevant guidance, a
special thanks goes to him.

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Investigation of Energy Generation
on Large Rotary Wing Unmanned Aerial
Vehicle’s Propeller Using Coupled
Engineering Approaches

K. Naveen Kumar, S. Meenakshi, K. Deviparameswari, R. Vaidegi,

R. Nandhagopal, M. Ramesh, and R. Vijayanandh

Abstract Low endurance is the predominant issue in the multi-rotor UAVs, which
has been solved through various inventions such as advanced cum integrated propul-
sive systems and implementation of aerodynamic efficient designs. Similarly, this
work deals with the extraction of energy through the components of UAV and its
working principle to tackle energy insufficient issue, in which the methodologies
are used for this extraction, is coupled engineering approaches. The fundamental
platform of this work is a 20-inch two-bladed propeller, which can be suitable for
both Rotary wing UAVs and Multi-rotor UAVs. Two primary material families are
used in this comprehensive investigation, which is Glass Fiber Reinforced Polymer
(GFRP) and Carbon Fiber Reinforced Polymer (CFRP). The subordinate material
types used in this simulation are prepreg, wet, woven, and uni-directional for both
the classifications. Because of the work nature of UAV’s propeller, the probability
of non-linear in vibrations may happen in numerous manners. Therefore the study
about vibration relayed energy harvesting is imposed on the short-listed propeller
and thereby energy obtained through Piezoelectric layers. In this regard, the natural
frequencies, aerodynamic pressure estimations on composite UAV’s propeller are
estimated through advanced computational tools and thus the outcomes are coupled
with an analytical energy estimator. At last, the energy extracted by the piezoelectric
layer for different composite materials are determined, which guided the material
optimization.

Keywords Composite materials · Energy · Piezoelectric · Propeller · UAV ·

Vibration

K. Naveen Kumar · S. Meenakshi · K. Deviparameswari · R. Vaidegi · R. Nandhagopal ·

M. Ramesh · R. Vijayanandh (B)
Aeronautical Engineering, Kumaraguru College of Technology, Coimbatore, Tamil Nadu, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 209
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
210 K. Naveen Kumar et al.

1 Introduction

In today’s world, UAVs are taking over many things like surveillance, animal detec-
tion, rescue operation, etc. To complete the above operations effectively, UAVs should
have acceptable endurance. Instead of increasing battery size, which will decrease
endurance, energy can be extracted from UAV’s components using piezoelectric
materials to elevate endurance. By converting rotational motion of motor to linear
motion and by driving air down, propellers are producing low amount of pressure
in top and high amount of pressure in bottom which results in lift of UAV and here,
electrical energy which is supplied by battery to motor is converted into kinetic
energy. During flight, more amount of vibration occurs at propeller than other UAV
components. To utilize this vibration in effective way and to choose appropriate
material for propeller which can be used to handle low endurance of UAV, this study
performed coupled engineering approach on 20-inch propeller with ten materials,
for this purpose piezoelectric vibration energy harvesters are installed in propeller’s
top surface of both blades to generate electrical energy from kinetic energy [1].

2 Literature Survey

A theoretical calculation and experimental verification of a cantilevered Piezoelec-

tric Vibration Energy Harvester (PVEH) were conducted. Using Euler–Bernoulli
beam theory, the theoretical calculation was calculated and to verify it experimen-
tally, a MEMS-scale cantilevered harvester without tip mass is fabricated. The paper
concluded that maximizing active area does not always increase output power and
the active electrode area should be present in cantilever structure where there is more
than 31% of maximum bending stress [1].
A feasibility study of the Quadcopter propeller at different rotational speeds was
demonstrated to find the energy produced from the propeller vibrations. From the
SolidWorks simulation results and experimental results, it was observed that the
Quadcopter CCW propeller can be deflected without a tip mass also the power
extracted through PVEH is suitable to implement in the UAV’s propeller [2].
A study by Steven R. Anton, deals with investigation of piezoelectric energy
harvesting of an RC aircraft during its flight condition. Based on two energy
harvesting device i.e., piezoelectric devices and photovoltaic panels, the test was
performed and it is concluded that both the devices have the capability of charging
energy storage devices. The piezoelectric patches were having some advantages over
solar panels, since solar panels are dependent on environmental condition [3].
The PVEH was analysed using strain energy method. In order to solve differ-
ential equations, MATLAB software had been used. The Piezoelectric layers were
calculated in both series and parallel connections and the results shown that both
are producing equal amount of power, but the voltage and current are different at
optimum resistive load [4].
Investigation of Energy Generation on Large Rotary Wing… 211

A review on mechanisms of piezoelectric energy harvesting (PEH) based on fluid–

structure interaction, human movement, and vibration were studied. Qualitative and
quantitative analysis of existing PEH mechanisms had been analysed and recom-
mending to use piezoelectric materials with a higher coupling coefficient, to gain
high energy and to reduce the need of batteries and also proved that the efficiency
of vibration-based PEH can be improved by optimizing the geometry of the system
[5].
A theoretical and experimental study on an UAV during its flight was tested using
solar and piezoelectric vibration energy harvesting devices. The results of both the
test conclude that the flight endurance of an UAV can be increased, when the thin
film solar panels and flexible piezoelectric devices were added to an aircraft [6].
The piezo aeroelastic analysis of a cantilevered plate like a wing with embedded
piezo ceramics energy harvesting was investigated using the Doublet-Lattice Method.
The resistive and resistive-inductive circuit in series are considered in the electrical
domain. Among the two circuits, the resistive inductive circuit improves the perfor-
mance of piezo aeroelastic and the power output is 20 times larger than the resistive
case [7].

2.1 Summary

The relevant literature surveys are collected and studied for perfect guidance. From
this survey, the following factors are noted for further processing; (1) The elec-
trical energy generation methodology i.e., PVEH is finalized. (2) The base platform
for PVEH is selected, i.e., UAV’s propeller based on the high probability of vibra-
tions generation while rotating. (3) The coupled engineering approaches such as
analytical and computational investigations are finalized. (4) In the computational
simulations, the vibrational procedures and MRF-CFD procedures are collected with
proper conditions. (5) The conceptual design of UAV’s propeller and the clear view
about on PVEH’s design are obtained.

3 Methodology Used

The coupled engineering approaches are implemented in this Vibration based energy
extraction, which is predominantly depended upon analytical estimation and compu-
tational simulations. In addition to that, another coupled approaches also involved
in the aerodynamic pressure estimations on the UAV’s propeller, which is MRF
(Moving Reference Frame)-CFD (Computational Fluid Dynamics). The alternate
energy extraction through UAV propeller’s vibration is estimated based on analyt-
ical formulae, which is provided in the Eqs. (1) and (2). In which, the predominant
inputs are natural frequency and aerodynamic load. In this regard, the vibrational
212 K. Naveen Kumar et al.

Fig. 1 Conceptual design of 20 inch UAV’s propeller

Fig. 2 A typical view of 20-inch UAV’s propeller

analyses are executed through FEA tool and aerodynamic analyses are executed
through CFD tool [8].

3.1 Conceptual Design of Propeller

The focused application of this work is high payload large UAVs so the 20-inch
modelled propeller is chosen as platform of this work, which is revealed in Figs. 1
and 2. The pitch of the shortlisted rotor is 4.5 inch.

3.2 Discretization

Two kinds of discretizations are used in this work, which are structural based grid
generation and aerodynamic fluid analyses based grid generation. Figure 3 is revealed
the grid generation on the UAV’s propeller, which is used for vibrational analyses.
The facilities used for this grid construction are refinement on propeller surface,
curvature cum proximity based grid set-up also jointly implemented in this grid
formation [9].
Apart from this vibrational grid, the aerodynamic computations also important for
energy extraction so the external control volumes are formed and constructed through
un-structural elements. Both of the grids are generated through fine un-structural
set-up with refinement so the grids are achieved the quality of 0.9862.
Investigation of Energy Generation on Large Rotary Wing… 213

Fig. 3 Discretization of 20 inch UAV’s propeller

3.3 Boundary Conditions

At the vibrational analyses, two boundary conditions are contributed principally,

which are rotational remote displacement at the inner hub of the propeller and the
composite mechanical properties over the entire propeller. The comprehensive mate-
rial properties are listed in the Table 1. At the CFD analyses, the inlet fluid velocity
and rotational velocity of the propeller are major contributors, which were estimated
through literature survey. The focused UAV’s weight is approximately 15 kg and the
success configuration planned is Hexacopter. The Thrust to weigh ratio is assumed
as 2 so thrust requirement by the individual propeller is 5 kg. In the electronics
perspective, the 4S Li–Po battery with 280 kV BLDC Motor and 30A ESC are final-
ized for future process. Thus the maximum rpm is obtained as 4144, 75% of RPM
is obtained as 3108, and 50% average RPM is determined as 2072. Through the
proper instrument, the following velocities are measured: minimum input velocity is
1 m/s, average velocity is between 5 and 10 m/s, and maximum velocity is 20 m/s.
Finally, the inlet velocity is given as 5 m/s and RPM is given as 3108. Apart from
the boundary conditions, the control volumes and its dimensional parameters are
also important in the attainment of convergence. To represent the rotating nature of
the UAV’s propeller, rotating control volume is formed in the cylindrical shape with
the dimensions 0.6 m as diameter and 0.25 m as thickness [10, 11]. In addition to
the rotating domain, the fixed domain is also constructed for the purpose of control
volume formation with the cylindrical shape of diameter is given as 2.54 m and
thickness is given as 10.16 m.
214

Table 1 The mechanical properties of all the materials

Material Material name
properties CFRP-UD-prepreg CFRP-UD-wet CFRP-UD-prepreg-395 CFRP-woven-prepreg CFRP-woven-wet CFRP-woven-prepreg-395 GFRP-E-UD GFRP-E-Wet GFRP-E-woven Al
alloy
ρ (kg/m3 ) 1490 1518 1540 1420 1451 1480 2000 1850 1646 2770
E 1 (GPa) 121 123.34 209 61.34 59.16 91.82 45 35 5.802 71
E 2 (GPa) 8.6 7.78 9.45 61.34 59.16 91.82 10 9 4.966
E 3 (GPa) 8.6 7.78 9.45 6.9 7.5 9 10 9 4.966
G12 (GPa) 4.7 5 5.5 19.5 17.5 19.5 5 4.7 1.898 0.33
G23 (GPa) 3.1 3.08 3.9 2.7 2.7 3 3.85 3.5 0.949
G13 GPa) 4.7 5 5.5 2.7 2.7 3 5 4.700 1.898
υ12 0.27 0.27 0.27 0.04 0.04 0.05 0.3 0.28 0.17 69.61
υ23 0.4 0.42 0.4 0.3 0.3 0.3 0.4 0.4 0.17
υ13 0.27 0.27 0.27 0.3 0.3 0.3 0.3 0.28 0.17
K. Naveen Kumar et al.
Investigation of Energy Generation on Large Rotary Wing… 215

3.4 Explanation of Computational Analysis

Both of the analyses used in this work are comes under non-linear category. Natural
frequency estimation and its outcomes are non-linear in the structural displacements
with respect to applied load and or supports so the modal analysis based numerical
tool is implemented in all the advanced materials. The transient conditional based
solver is used in the CFD analyses because of the rotodynamic nature of the propeller.
The second order based derivates are implemented in this complicated analysis in
order to capture the flow behaviour perfectly.

3.5 PVEH (Piezoelectric Vibrational Energy Harvesting)

The UAV’s propeller with piezoelectric is revealed in Fig. 4, in which the piezoelectric
layer length is used as 0.472011 m (100%) and the thickness is used as 0.0003846 m
(100%).

4 Results and Discussion

Figures 5, 6 and 7 are revealed the structurally displaced propellers with GFRP,
Aluminium alloy and CFRP materials respectively. The predominant initial condi-
tions of this analysis are rotational remote displacement, which is acted about Y-axis.
Totally six degree of freedoms are available for rotational displacement, wherein rota-
tion is made free and other freedoms such as rotation about X-axis, rotation about
Z-axis, displacement in X-axis, displacement in Y-axis and displacement in Z-axis
are made as fixed one through zero deformation’s input.

Fig. 4 Propeller with piezoelectric layer and electrode

216 K. Naveen Kumar et al.

Fig. 5 The displacement variations of the GFRP coated propeller

Fig. 6 The displacement variations of the Al Alloy coated propeller

Fig. 7 The displacement variations of the CFRP coated propeller

Investigation of Energy Generation on Large Rotary Wing… 217

4.1 Natural Frequencies Results

Figures 8, 9, 10, 11, 12, 13, 14, 15, 16 and 17 are revealed the natural frequencies’
details with respect to their mode shapes. First ten mode shapes are obtained for this
comparative work, in which first three odes are only capable to occur at the real-time
applications. In this work, third mode shape is used for the calculation of energy,
which is quite high in very strongest materials and quite low in very lowest strength
materials.

Fig. 8 Aluminium alloy

Fig. 9 Epoxy-carbon-UD-230-GPa-wet
218 K. Naveen Kumar et al.

Fig. 10 Epoxy-carbon-UD-230-GPa-prepreg

Fig. 11 Epoxy-carbon-UD-395-GPa-prepreg

4.2 CFD Results

Figures 18 and 19 are revealed the velocity variations over propeller and pressure
distributions on the propeller respectively.

4.3 Energy Calculation

The alternate energy has been extracted through verified analytical method [1]
with the support of advanced computational simulations’ inputs. Comparatively, the
Investigation of Energy Generation on Large Rotary Wing… 219

Fig. 12 Epoxy-carbon-woven-230-GPa-prepreg

Fig. 13 Epoxy-carbon-woven-230-GPa-wet

proposed PVEH based energy extraction is perfectly matched with the rotodynamic
behaviour of the UAV’s propeller.

18H ρ
B = d231 F2 ω2 ∗ ∗ (1)
WL (h + H)
2 4 [1 + ωερ]
5
x Lx4 5L2 x3 L3 x2 L4 x
P=B − + − + (2)
36 6 12 2 4
220 K. Naveen Kumar et al.

Fig. 14 Epoxy-carbon-woven-395-GPa-prepreg

Fig. 15 Epoxy-E-glass-UD-20

where, d31 is Piezoelectric material constant (0.12), A is area of the UAV’s Propeller
(0.0184942 m2 ), P is aerodynamic pressure (489.7 N/m2 ), F is Force (9.22305754 N),
ω is Natural frequency (Hz), W is Width of the wing (0.048409 m), L is Length of
the piezoelectric layer (0.472011 m), h is Thickness of the wing (0.011538 m), H is
Thickness of the piezoelectric layer (0.000384 m), ρ is Density of the material, ε is
permittivity of the materials. The vibrational energy due to aerodynamic load and the
material response are calculated through aforesaid coupled engineering approaches
and thus the comparative data are listed in Table 2.
Investigation of Energy Generation on Large Rotary Wing… 221

Fig. 16 Epoxy-E-glass-Wet-20

Fig. 17 Epoxy-glass-woven-20

5 Conclusions

The ultimate outcome of this work is determination of alternate energy through PVEH
set-up due to the UAV’s vibrations imposed by the aerodynamic load. Comparatively,
the high payload based UAVs are lack in the endurance than other kinds of UAVs.
Thus this work targeted to enhance the endurance of the high payload UAVs by
means of increasing propulsive energy with the support of alternative energy source.
The platform of this work is propulsive component of high payload UAVs, which is
222 K. Naveen Kumar et al.

Fig. 18 Velocity variations over the UAV’s propeller

Fig. 19 Aerodynamic pressure distribution on the UAV’s propeller

Table 2 Comprehensive power estimations on various piezoelectric layers

Material Name Power (W) Power (W) Power (W) Power (W)
through through 75% through 50% through 25%
100%
CFRP-UD-Prepreg 7.08 1.7115886 0.2211094 0.0069097
CFRP-UD-Wet 7.10 1.7175422 0.2218786 0.0069337
CFRP-UD-Prepreg-395 8.5 2.0543474 0.2653883 0.0082934
CFRP-Woven-Prepreg 7.5 1.8173073 0.2347666 0.0073365
CFRP-Woven-Wet 5.82 1.4074423 0.1818187 0.0056818
CFRP-Woven-Prepreg-395 6.74 1.6290962 0.2104528 0.0065766
GFRP-E-UD 5.94 1.4377652 0.1857359 0.0058042
GFRP-E-Wet 5.51 1.3316131 0.1720228 0.0053757
GFRP-E-Woven 2.42 0.5943669 0.0767825 0.0023995
Al Alloy 17.34 4.2011829 0.5427246 0.0169601
Investigation of Energy Generation on Large Rotary Wing… 223

20 inch in diameter and 4.5 inch in pitch. The conceptual design of this proposed
UAV’s propeller is modeled through CATIA with all needful design parameters.
Natural frequency and aerodynamic loads are primary factors in the determination
of PVEH based energy, so the vibrational analyses are executed for the estimation
of first ten natural frequencies of all the advanced composite materials, and coupled
MRF-CFD computational approach is employed for the purpose of aerodynamic
load’s estimation. Both of these computational analyses are computed with the help
of reliable working boundary conditions. Finally, the verified analytical formula is
involved in the calculation of vibrational energy for all the materials. From these
engineering coupled approaches based investigations, it has been understood that
the huge amount of power can be extracted from PVEH loaded on UAV’s propeller
under normal working conditions.

References

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of flexural behaviour of woven Glass/Epoxy laminated composite plate, IOP Conf. Series:
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for the Energy Product, International Journal of Mechanical and Mechtronics Engineering
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on-board energy harvesting, Proceedings of the SPIE Vol. 7977(2011) 79771H, pp. 1–15, doi:
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electric Energy Harvesting from Aeroelastic Vibrations Using the Doublet-Lattice Method,
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Albert Lin, Andrew Ahn, Design of an In-flight Power Generation And Storage System for
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11. Rajagurunathan. M, Raj Kumar. G, Vijayanandh. R, Vishnu. V, Rakesh Kumar. C & Mohamed
Bak. K, The Design Optimization of the Circular Piezoelectric Bimorph Actuators Using FEA,
International Journal of Mechanical and Production Engineering Research and Development,
8, 7, 2018, 410–422.
Beneficiation Study of Barsuan Iron Ore
Slime to Produce Pellet Grade
Concentrate

Nirlipta Nayak

Abstract Indian iron ore is generally friable in nature that results in generation
of significant quantity of fines (around 35%) during mining and processing in the
country. In India, the ratio of lumps to fines produced is almost 2:3. During washing
and sizing of the ore, particles less than 0.21 mm size generated and discarded into
the tailing pond. It is found, around 10 million tons of slimes generated in every year
during the processing of hematite ore and lost as tailings containing around 48–62%
of Fe. The slime sample collected from Barsuan assaying 54% Fe, 8.3% SiO2 and
11.08% Al2 O3 analysed for pre-concentration of iron values using hydrocylone for
desliming followed by magnetic separation. The results confirmed that Magnetic
separation is a better pre-concentration technique as compared to hydrocyclone.

Keywords Iron ore · Magnetic separation · Slime · Pre-concentration · Tailing

1 Introduction

Iron ore deposits are closely associated with schist belts, gneisses and granulite terrain
of Archaean age. In India, Iron ore deposits are mostly Banded Hematite Quartzite
(BHQ), Banded Hematite Jasper (BHJ) and Banded Magnetite Quartzite (BMQ) in
parts of Jharkhand, Karnataka, Chhattisgarh, Maharashtra, Orissa and Tamil Nadu
states [1]. India is going to be the second largest steel producer in world with annual
production of 200 million tons by the year 2020. India’s Iron ore deposits of 28.5
BT of which, 17.88 BT is Hematite and 10.64 billion tons of Magnetite respectively.
However, we have Magnetite reserve but we are yet to be explored in detail due to
its presence in eco-sensitive areas.
For steel production, India is amongst the highest consumers of CLO (calibrated
lump ore). With the projected steel production, requirement of iron ore expected to
be around 350–400 million tons per year. As predicted, if the rate of consumption

N. Nayak (B)
Department of Petroleum Engineering and Earth Sciences, UPES, Dehradun, India
e-mail: npnayak@[Link]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 225
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
226 N. Nayak

increases in years to come, then good quality reserve will not sustain long. Looking
at this crunch of CLO availability, alternative measures need to think of.
The friable nature of Indian iron ore causes lots of fine generation during mining
and subsequent stages. In conventional processing of 1 ton of Iron ore, 10–15%
slime generated. These fines/slimes however cannot be used for iron making (blast
furnace/direct reduced iron (DRI) units. In order to produce 1 ton of lump ore, about
1.5 tons fines are [2] generated of which only 0.5 tons utilized. The rest either dumped
at the mine or permanently lost due to lack of proper beneficiation facilities. These
fines could be used in the domestic iron and steel industry after suitable beneficiation
followed by agglomeration [3]. Slime is ideal for making pellets and can considered
for preparation of sinter feed.
Recent studies revealed that, more than 600 million tons of Iron ore fines discarded
and remain unutilized and this is due to the predominance of conventional Iron
ores. Apart from detrimental effects on environment, they occupy large space. It’s
unfortunate that slime has more than 50% of Fe values which is in the higher side of
IBM guidelines. It is essential [4] to use and recover the additional iron values from
slimes to augment mineral wealth.
A detailed Beneficiation scheme followed by pelletization appears to be the best-
suited way for utilizing these otherwise waste but valuable mineral. The key reasons
for visible growth in iron ore pellet market is due to the factors like adoption of iron-
based chemicals, rising awareness pertaining to reduction of carbon emission from
steel plants etc. [5]. This can further verified by considering the jump in production,
of 69 million tons in the year 2019–20 against 59 MTs in the financial year 2018–19.
Pelletization is set to achieve multi-fold growth as India seeks to achieve a target of
300 MT of Steel by year 2025 irrespective of restrictions imposed by Apex Court,
high logistic cost. However, the popularity of these routes is yet to gear up/pick up
the momentum in Indian iron and steel industry.

2 Methodology

The slime samples dried followed by Sieving using the Vibratory Laboratory Sieve
Shaker [6]. For the separation of 200-micron particles, micro-precision sieves are
used. From size analysis, it is found that most of the particles in slime are of size less
than 50 µm.
Liberation analysis (Table 1) shows that in coarser fractions hematite is highly
interlocked with clay. In lower fractions, the gangues are highly liberated whereas
for iron it is vice versa. It indicates beneficiation will be effective at lower size range.
Optical microscopic studies revealed that in Barsuan iron ore slime iron principally
present in two phases i.e. oxy-hydroxyl and oxide phase. The principal oxide minerals
are hematite; martite. Hydroxide minerals such as goethite and limonite are the most
commonly found [7]. Goethite having white and light grey features present in very
low quantity. The dull appearance of Quartz and clay are the main gangue phases
Beneficiation Study of Barsuan Iron Ore Slime … 227

Table 1 Liberation analysis of iron ore slime

Iron ore slime (size in microns)
−500 + 297 −297 + 211 −211 + 150 −150 + 100 −100 + 75 −75 + 65
Free 11.5 11.6 9.3 11.0 12.4 16.7
goethite
Free 4.1 5.1 11.6 26.2 35.6 46.0
hematite
Interlocked 57.1 57.0 52.3 39.3 33.5 23.3
(iron +
goethite)
Free 4.3 3.4 4.2 2.1 4.7 4.0
Quartz
Percentage 76.9 77.1 77.3 78.6 86.2 90.1
of iron
mineral
liberated

and can be easily distinguished from ore minerals. Iron found interlocked with clay
whereas quartz mostly occurs as free liberated grains [8].
In the rim like structure found in goethite outer rim is of ochreous goethite and
inter-locked with clay. The inner rim is vitreous goethite, which is hard and crystalline
in nature (Fig. 1c). Some of the samples are martitized with relict magnetite (Fig. 1a)
grains present in the ore samples indicating oxygen incorporated into magnetite
lattice from infiltration water during martite formation. Hematite re-crystallized from
magnetite through martite. Martites preserve the skeletal remains of magnetite with
internal voids, known as Kenomartite (Fig. 1b).
Liberation analysis along with optical photomicrographs highlighted the concen-
tration of iron and liberation of gangue in finer range [8]. From the set of characteri-
zation data, it is imperative that desliming operation removing the ultrafine fraction

Fig. 1 a Rhythmic precipitation of goethite with porous martite, b skeletal nature of euhedral
martite after magnetite (known as kenomartite) and c colloform structure of vitreous goethite with
fracture filling, Recrystallized hematite grains in magnetite base
228 N. Nayak

Fig. 2 a SEM photomicrographs of massive iron particles, b SEM photomicrographs of non-porous

iron bearing particles of slime

would improve the grade. Hence, a beneficiation scheme chosen involving classifi-
cation followed by tabling and WHIMS. The results of the unit operations carried
out in these slimes discussed in the following section.
SEM of liberated iron particles containing low silica and alumina are shown
in Fig. 2b. Most of the clays (kaolinite and gibbsite) are ferruginous and occur
as limonitic kaolinite [9]. Kaolinite in iron ore slime mainly contributes towards
the high Al2 O3 . The iron particles (Fig. 2a) are non-porous and relatively compact
having smooth surfaces containing very low percentages of impurities.

2.1 Beneficiation of Slime

2.1.1 Treatment of slime in Hydrocyclone

The iron ore slime first treated in a 2 -hydrocyclone to remove the ultra-fines [10].
Multiple tests are conducted with different spigot and vortex finder diameters, pulp
density, inlet pressure etc. [11]. After each test, both the underflow and overflow
collected and analyzed for grade and yield. Two best results shown in Table 2. One

Table 2 Hydrocyclone test results of iron ore slime

Product Yield Fe (%) SiO2 (%) Al2 O3 (%)
Test-1 (15 mm spigot, 14.3 mm vortex and 0.68 MPa feed pressure)
U/F 69.5 57.5 5.70 3.9
O/F 30 43.5 7.12 10.30
Test-2 (15 mm spigot, 14.3 mm vortex and 0.68 MPa feed pressure)
U/F 79.6 55 9.32 7.47
O/F 20 37 23.7 23.7
Feed 100 54.70 8.32 11.08
Beneficiation Study of Barsuan Iron Ore Slime … 229

Table 3 WHIMS test with hydrocyclone U/F product of test 1a

Product Fe (%) SiO2 (%) Al2 O3 (%) Yield (%)
Magnetic 66.31 3.4 0.7 74
Non-magnetic 22.3 59.5 4.0 26
Feed 57.5 5.7 3.9 100
a1 A current, Wash water: 20 L/m, Solid: 10%

of the tests aimed at obtaining high grade of the underflow with a low yield (Test
1), whereas the other aimed at obtaining higher yield of the underflow albeit with a
lower grade.
The hydrocyclone underflow of Test 1 treated in Wet High Intensity Magnetic
Separator (WHIMS). A number of tests conducted with variable pulp density, current
and wash water flow rate. Under best condition of Current: 1Amp, wash water:
20 l/min. and pulp density of 10% solids, the best results obtained (Table 3).

2.1.2 Gravity Separation of Slime Samples Using Wilfley Table

Hematite, clay and silica ae the three principal phases present in slime [11]. The
density values of the gangue materials (silica and alumino-silicates) are in the range
of 2.5–2.8 g/cc while that of hematite is 5.0–5.5 g/cc. Due to sharp density differences,
concentration by gravity separation may be adequate to produce a concentrate grade
that is acceptable for iron extraction from slime.
Hydrocyclone underflow of Test-II of Barsuan subjected to concentration in
Wilfley Table to check it’s efficacy. The concentration grade is about 62.48% that
could be much better looking at the raw material quality required for pellet making
[11]. Therefore, concentrate product is not a pellet grade material requiring further
enrichment (Table 4).

Table 4 Wilfley Table test results of hydrocyclone U/F of Test 2a

Product Fe (%) SiO2 (%) Al2 O3 (%) Yield (%)
Concentrate 62.48 2.1 1.5 65.53
Tailing 48.34 48.34 2.3 34.47
Feed 55.00 9.32 7.47 100
a 10% solids, 0.25 in. inclination, 280 rpm speed and 3 L/m wash water
230 N. Nayak

3 Result and Discussion

A flow sheet involving classification, gravity separation and magnetic separation

developed with a view to achieve the grade at reasonably high yield. The hydro-
cyclone underflow product of test 2 (lower grade but higher yield) is treated by
gravity separation technique using Wilfley Table to exploit the differences in specific
gravity. It is observed that, quality of the slime could be improved significantly.
However, the concentration grade is about 62.48% indicating the requirement of
further concentration process. The Tabling results indicate possibility of getting better
grade product. The grade improved substantially from 54.93 to 62%. However, to
make the concentrate grade for pellet making, further processing is required. In case
of U/F product (Test-1) the desired product is suitable for pellet making directly.
No further processing is required. From the above discussion it is concluded that, a
relatively simple flow sheet may be quite effective in producing pellet grade concen-
trate from such low- grade iron ore slimes, with a reasonable yield using desliming
followed by magnetic separation.

References

1. Acharya, S.: (1986) Textural evolution and mineral paragenesis in Precambrian BIF from
sedimentation to metamorphism. Mineral Paragenesis. In Theop. Publ Athens. (1986) 443–469.
2. Das B., Mohapatra B. K., Reddy P. S. R., Das, S.: Characterisation and Beneficiation of iron
ore slimes for Further [Link]: Powder Handling and Process. Volume 7. (1995) 41–44.
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native iron making processes – An Indian Perspective. International Symposium Processing of
Fines; (2002) P. 442.
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addition. In Ph.D Thesis. (2015).
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by Beneficiation of Iron Ore Slimes in India. In: Separation Science & Technology. Volume
42. (2007) 3271–3287.
11. Upadhyay, R.K.: Iron Ore Resources: Their Conservation, Value addition and Impact on Iron
and Steel Industry. In: Tata Search. Volume 1. (2008) 197–205.
Effect of Different Temperature on Host
Susceptibility to SMV-Mild
and SMV-Severe Isolates of Soybean
(Glycine Max)

Nirmala Koranga and Kanchan Deoli Bahukhandi

Abstract Soybean (Glycine max) is a species of legume widely grown for its edible
bean which has numerous uses. It got its origin in China from where it migrated to
Korea and then to Europe and America. The present study highlights the variation
of susceptibility of Soybean plants to mild and severe SMV strains when treated at
various temperatures before and after inoculation. Soybean crop can be infected by
two isolates of soybean mosaic virus which portray mild and severe symptoms and
are hence named as SMV mild and SMV severe. The study of the characteristics of
soybean and the mosaic virus strains gave detailed insight into treatment of infection.
Experiments conducted in the present study show that post and pre inoculation treat-
ment reduces infection in both isolates of soybean, i.e. mildly and severely affected
isolates of soybean. It also indicates that infection gradually decreased as temperature
was raised to 30–35 °C.

Keywords Inoculation · Strains

1 Introduction

Soybean originated in China and got introduced in India almost the same time as in
the United States. Soybean at present is grown in Hilly and Terai-bhabar areas of
Uttar Pradesh, Punjab, Himachal Pradesh, Madhya Pradesh and Maharashtra. It is a
Kharif crop, i.e. it is grown as the rainy season is onset in June–July and harvested
in October–November. Soybean crop is considered a staple therefore the study of
infections is a requisite. It can be seen from previous studies and data showed that
Soybean is affected by several bacterial, fungal and viral diseases. Seven viruses,
some of which have two or more strains, have been reported naturally occurring
in Soybean in various parts of the world. In India Nariani and Pingaly [1] reported
soybean mosaic virus in New Delhi. Three virus diseases viz, yellow mosaic, common
mosaic and ringspot have been reported from Pantnagar [2]. Soybean has also been

N. Koranga · K. D. Bahukhandi (B)

Dehradun, India
e-mail: kanchan@[Link]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 231
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
232 N. Koranga and K. D. Bahukhandi

reported to be affected by yellow mosaic virus possibly caused by mung-bean yellow

mosaic virus [3].
After collecting various isolates of mosaic diseases in a survey, two distinct isolates
showing mild and severe characteristics were selected for detailed study where phys-
ical factors such as temperature were varied for prolonged periods of time to study
reduction of infection. The seedlings were exposed to these factors before and after
inoculation to find out the effect on the reaction of plants against virus infection.
Ram et al. [4] reported new breeding lines of soybean having a gene for resistance to
yellow mosaic virus from Glycine soja linn. Singh and Mullick [5] also studied resis-
tance to yellow mosaic in the Soybean. Tripathi and Khare [6] recognised molecular
approaches for genetic diversity among Rhizoctonia roots which are rot resistant
Soybean genotypes.
Several viral diseases affect soybean crops in different parts of the world. The virus
which have been identified to cause diseases in Soybean include Soybean Mosaic
virus, Yellow Mosaic virus, Tomato Ringspot virus, Tobacco Ringspot virus, Bean
Pod Mottle virus, Cowpea Mosaic virus, Bean Chlorotic Ringspot virus, Bean Yellow
Necrosis virus, Bean Local Chlorosis virus, Cowpea Chlorotic Mottle virus, Rugose
virus, Vein Necrosis virus, Pea Mosaic virus, Groundnut Mottle virus, Soybean Stunt
virus, Lucerne Mosaic virus, Alfalfa Mosaic virus and Top Necrosis virus.
Le D’eau [7] described a virus disease in soybean causing systemic chlorotic step-
pling which rapidly became necrotic systemic chlorotic steppling and later necrotic
which was followed by premature abscission of leaves and flowers. Two viruses,
Soja virus-1 (Soybean Mosaic Virus) and Phaseolus virus-2 (Bean Yellow Mosaic
Virus) causing mosaic disease on soybean were studied by Canover [8].
Muravera [9] recorded Soybean Mosaic, Bean Yellow Mosaic, Tobacco Ringspot,
Lucerne Mosaic, Pea Mosaic, Cowpea Mosaic and Bean Pod Mottle virus on soybean.
Lu et al. [10] studied the relationship between soybean mottling seed and strains of
Soybean Mosaic Virus (SMV). He reported that analysis of seeds from naturally
and artificially infected plants showed that mottled seeds only occurred in plants
infected by SMV-Y or SMV-T. The virus was transmitted by both mottled as well as
symptom-less seeds from diseased plants. The amount of transmission depends on
temperature, cultivars and pathogen strain.
Soybean plants infected with SMV have been observed to contain less moisture
content, higher total nitrogen content, increased amino acid content, decreased cata-
lase activity and increased peroxide activity compared to healthy plants as stated
by Suteri [11]. Iwai et al. [12] observed the distribution patterns of soybean mosaic
virus strains B and D in soybean seeds at different growth stages.
Silodia et al. [13] stated the status and evaluation of soybean varieties against
Mungbean Yellow Mosaic (MYMV) disease under changing climatic conditions of
Kaymore plateau zone in Madhya Pradesh (India) in Indian Journal of Agricultural
Research. Adams et al. [14] studies the molecular criteria for genus and species
discrimination within the family polyvirdae. Ross [15] researched about the effect
of time and sequences of inoculation of soybean with Soybean Mosaic and Bean
Pod Mottle viruses on yield and seed characters as given in Phytopathology 59:
1404–1408.
Effect of Different Temperature on Host Susceptibility … 233

2 Material and Methods

Experiments were conducted to find out the variation in susceptibility of soybean

plants when it was treated at various temperatures before and after inoculation. Six
lots, each containing twenty soybean seedlings were taken. The plants of lots 1–5
were kept at 25 °C, 30 °C, 35 °C, 40 °C and 45 °C respectively for 24 h. The 6th lot
was taken as control and kept under normal temperatures. After 24 h the treated as
well as control plans were inoculated with mild and severe isolates.

3 Discussion

Inoculated plants were kept separately inside insect proof glass chambers. The plants
were observed up to 30 days after the date of inoculation. In order to observe the
effect of post inoculation temperature treatment on susceptibility of soybean plants,
six lots each comprising 20 seedlings were taken. 10 seedlings from each slot were
inoculated with mild isolate and rest with severe isolate. Seedlings of the first five lots
were then treated at 25 °C, 30 °C, 35 °C, 40°C and 45 °C for 24 h respectively. Plants
of the sixth lot were considered as controlled and kept under normal temperatures.
Observations were taken upon 30 days of inoculation (Figs. 1 and 2).
In the present study, it was found that under pre inoculation treatment, infection
was reduced at 25 °C and it increased gradually between 30° and 45° followed by
which the infection decreased again.
In post inoculation temperature treatment the plants inoculated with mild and
severe isolate showed a gradual decrease in their susceptibility. Maximum infection
was achieved at 25 °C and sharp decrease was noticed after 35 °C. The data obtained
are significant at 5% level.
Exposure of seedlings to various temperatures before inoculation showed variable
results. Susceptibility of pre-inoculated seedlings to both the strains was reduced at
25 °C and increased between 30 and 35 °C, followed by decrease thereafter. On the

Fig. 1 Effect of temperature on Soyabean susceptibility to SMV-mild isolate

234 N. Koranga and K. D. Bahukhandi

Fig. 2 Effect of temperature on Soyabean susceptibility to SMV severe isolate

other hand gradual decrease in susceptibility of soybean seedlings was recorded with
post inoculation temperature treatment.

4 Conclusion

Soybean crop is a kharif crop which is highly consumed by various industries such
as food industry, soap industry and various others. Hence, its demand is very high.
A majority portion of this crop is lost due to viral infections, which makes their
treatment to be a requisite. Various physical factors can be altered that may make
the crop immune to different diseases and viruses. In our study we have found that
temperature can be used as an effective method for treatment of soybean seedling pre
and post inoculation against mild and severe soybean mosaic virus. The infection was
found to be reduced at 25 °C temperature in mild Soybean Mosaic Virus and increased
between 30 and 35 °C. With gradual increase in temperature the infection decreased
again. Seedlings infected by severe soybean mosaic virus were found to be highly
susceptible at 25 °C. The susceptibility decreased as the temperature was raised
between 30 and 35 °C. After which the susceptibility increased as temperature was
increased. Hence, the optimum temperature for decreased susceptibility of soybean
crop is dependent on the strain of soybean mosaic virus, i.e. severe soybean mosaic
virus infection should be treated at 30–35°C and the mild isolate must be treated at
25 °C.
Effect of Different Temperature on Host Susceptibility … 235

References

1. Nariani, T.K. and Pingaley, K.U. (1960). A mosaic disease of soybean. Indian Phytopathology,
13(2): 130–136.
2. Anonymous, (1971). Soybean at Pantnagar 1969 and 1970. Research Bulletin No. P.I. February.
1971.
3. Suteri, B.D. (1974). Occurrence of soybean yellow mosaic in Uttar Pradesh. Current Science,
43: 689–690.
4. Ram, H.H., Pushpendra, K., Singh, K., Verma, V.D. (1984). New breeding lines of soybean
lines of soybean having a gene for resistance to yellow mosaic virus from Glycine soja Linn.
Sieb and Zucc. Indian Journal of Agriculture Sciences. 54:1027–1029.
5. Singh, B.B., Mullick, A.S. (1978). Inheritance of resistance to yellow mosaic in soybean. Indian
Journal of Genetics. 34:400–404.
6. Tripathi, N., Khare, D. (2016) Molecular approaching for genetic improvement of seed quality
and characterization of genetic diversity in soybean.
7. Le D’eau, F.J. (1947). A virus induced top necrosis in bean (abstract). Phytopathology. 37: 434
8. Canover, R.A.(1948) studies of two viruses causing mosaic disease of soybean. Phytopathology.
38: 724–735.
9. Muravera, M.F. (1968). Virusne bolezni soi. Ser. Khimbiol. 13:156–162.
10. Lu, W., Zhang, W. and Zhong, Z. (1982). Relationship between soybean mottling seed coat and
strains of soybean mosaic virus (SMV). Acta Phytopathologica Sinica (1981), 11(2): 31–36.
11. Suteri, B.D.(1985). Metabolic changes in soybean plant infected with two strains of soybean
mosaic virus. Indian Pythopath, 38: 714–720.
12. Iwai, H., Ito, T., Sato, K., Wakimoto, S. (1985). Distribution patterns of soybean mosaic virus
strains B and D in soybean seeds at different growth stages. Annals Phytopath Soc Japan 51(4):
475–481.
13. Silodia, K., Bhale, U., Bhale, M.S. (2018). Status and evaluation of Soybean varieties against
mung Bean yellow mosaic (MYMV) disease under changing climatic conditions of Kaymore
Plateau, Madhya Pradesh, India. Indian Journal of Agricultural Research. 52: 686–690.
14. Adams, M.J., Antonio, J.F., Favquat, C.(2005). Molecular criteria for genus and species
discrimination within the family polyvirdae. Arch Virol 150: 459–479.
15. Ross, J.P. (1969). Effect of time and sequence of inoculation of soybean with soybean mosaic
virus and bean pod mottle viruses on yield and seed characters. Pythopathology. 59(10): 1404–
1408.
Development of a Conceptual Safety
Culture Framework to Enhance
Workplace Safety

Rishi Diwan, Yusuf Faizan, and Sandesh Mishra

Abstract Safety at workplace has always been neglected by firms for greater produc-
tivity. From last decades, safety concerns and attention to safety has rapidly increased
due to a chain of terrible events occurring across many different industries (e.g., Cher-
nobyl, Upper, Big-Branch Mine, Davis-Besse etc.) which caused havoc in the society.
Many organizations have started to focus on promoting a positive safety culture to
make people understand and prevent disasters from happening. There is a widespread
academic literature devoted to safety culture, and the Department of Energy has also
published a significant number of documents stating safety culture. The purpose of
the paper was to develop a framework that would build the development and suste-
nance of sound safety culture in the workplace. After developing a framework for
better safety culture, a model is proposed which shows that job satisfaction is the
main aspect of safety culture for any individual that ultimately decides their internal
psychological factors such as values, beliefs, attitudes and perception towards safety
which can be measured and observed through their behavior and moreover the method
of assessment and validation of the proposed model with the help of questionnaires
has also being highlighted in this report.

Keywords Safety culture · Values · Belief · Attitude · Psychological factor ·

Framework · Job satisfaction

1 Introduction

Safety at workplace has been neglected from a long period of time for production and
profitability. Past industrial disasters like Chernobyl, Big-Branch mine has reflected
the outcomes of a poor safety culture. After years of research it has been proven
that organizations which are not following safety protocol are developing a negative
safety culture. A poor safety culture includes increased accidents, lost time injuries,
fatalities and faded image of organization. Researchers have shown that a positive

R. Diwan (B) · Y. Faizan · S. Mishra

University of Petroleum and Energy Studies, Dehradun, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 237
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
238 R. Diwan et al.

safety culture sees safety as an investment rather than an expense. Organizations

have shown an increased interest in investing in safety to improve training and safety
in organization as smaller investments like training and certifications could lead to
an improved mindset. Disasters like Chernobyl accounts to a total of $235 billion
and all was a result of poor safety culture. One way to understand safety culture is to
understand it within context of organizational culture. The effect of organizational
culture has been a topic of debate for years. It is proved that organizations with high
level safety performance share culture as a common value. As a result many of them
achieved thousands of safe working hours. Behavioral-based safety were seen as a
solution to problem of safety culture but data always showed that underlying problem
is much deeper than it seems. The relationship between organizational culture and
safety culture can’t be understood without investigating it. Followers [1] of classical
theories stated that safety culture from a theoretical perspective of social psychology.
Focusing on small groups, management roles and top managers, they looked at how
front line managers saw their own working environment. Questionnaires were seen
as important part of safety culture as they aim to question on present safety aspects
and human-organization relationship. As a result, a well-established safety culture
comprises of traits like democratic and unbiased leadership, responsibility and roles
to be understood clearly, respect and dedication for the process and procedures,
absence of fault finding and blame culture. Safety culture can be classified based
on two approaches i.e. Qualitative and Quantitative method. Qualitative methods
comprises of observations, discussions and previous information. Qualitative method
serves a deep purpose of understanding safety culture by having interactions between
the organizations and researchers to give an intensive and in-depth analysis of safety
culture. Whereas quantitative approach uses questionnaires and surveys which are
highly standardized and regulate. Based on the two approaches qualitative gives in-
depth information rather than scores on safety culture. Both of them share a common
value to enhancing safety culture at workplace. It is still ambiguous that how safety
culture shapes and influences safety behaviors and safety program effectiveness, it
is important to define and understand what is meant by safety culture. Each of us has
different ideas regarding safety culture. Many followers of classical theories have
their own definition and they all share a common theme i.e. to make work place safer
and bind everyone with a common theme and belief, attitude and competencies to
create a positive safety culture through a value system. Impact of safety culture is still
hard to be determined. Research is still going on to develop a conceptual model of
safety culture by relating attitudes, belief, behaviors and commitment of organization
and the same approach we have tried to shed some light on the topic.
Development of a Conceptual Safety Culture Framework … 239

2 Literature Review

2.1 The Concept Safety Culture

The term safety culture first appeared in 1987 by International Nuclear Safety Advi-
sory Group on the 1986 Chernobyl disaster. The major conflict raised by them is that
the errors and violation of the operating procedures which contribute the incident
were due to an ineffective and a poor safety culture of the plant. Then another disaster
happened i.e. the Piper Alpha disaster in 1990 where also the root cause was lack
of positive safety culture and then the public inquiry in the UK sector of the north
sea of this case highlighted the importance of creating a positive safety culture to
prevent any future disaster. Although this was the first time when the safety culture
came into role and was identified as important aspect of effective safety management
system and in all other previous inquiries only addresses the importance of cultural
issues without using the term safety culture.

2.2 Definition of Safety Culture

Deal Kennedy [2] defines safety culture as “a way in which we act here”. Ostrom
[3] shows the concept of safety culture based on organizational beliefs and attitudes,
shown actions, policy and procedures and thought that these influence the level of
safety. Geller [4] then developed an ABC model of safety culture and shows that
everyone feels responsible for safety in everyday work. This is a typical behavioral
approach.
The second approach which we can identify is based on research of foundations,
values for classical (analytical) approach of safety culture. According to this approach
of safety culture some researchers has proposed the model such as Cox and Cox [5]
for which safety culture is defines as “approaches beliefs, perceptions and values
which are shared by employees in relation to safety”.
The third approach is based on deeper areas such as values and attitudes and also
called as pragmatic approach. One of the example of complex attitude in presenting
the definition of safety culture is Pidgeon [6] for which safety culture is the collection
of beliefs, values, norms, attitudes, roles, social and technical practices which aimed
towards minimizing the exposure of employees, customers and other members of
society to danger and threat.

2.3 Organization Characteristics of Good Safety Culture

Cooper [7] Researchers make effort to identify some specific organizational char-
acteristics that were able to distinguish low accident companies to high accident
240 R. Diwan et al.

companies. At the time of 1960s to the end of 1970 some researchers conducted
their research over a wide variety of industries and marked out certain features such
as:
• Leadership, senior management commitment and involvement in the safety.
• Better communication, closer contact between all organizational levels.
• Greater hazard control practices and a good housekeeping.
• A mature and stable workforce.
• Job placement, good personnel selection and promotion procedures.
• Good induction and follow-up safety training.
• Reinforcing the importance safety with the help of scheme including near miss
reporting.
Recent study also shows almost same signs that were identified at early 1990’s
which indicate a good and a positive safety culture and to maintain that, these features
should be implemented and should always be at first priority:
• Leadership commitment at all level of organization.
• All employees should aware about working knowledge of health and safety.
• Organization must ensure financial investment in health and safety.
• There is regular, facility-wide communication on health and safety topics.
• Managers should spend an adequate amount of time out on the shop floor, where
the people are.
• Participation rates should be at all time high which indirectly shows that employees
are highly motivate.
• Employees should actively engaged in health and safety initiatives, producing
tangible results for the company.
• Employees should feel comfortable in reporting safety issues to their supervisors.
• Regular, detailed audits of the company’s health and safety program are conducted
by an external auditor.

2.4 Incipient Issues and Weaknesses in Safety Culture

Carnino [8] while developing different models of safety culture the four major areas
that needs attention includes organization, employee, regulatory and technology. The
major issues arise at operating organizations while maintaining the safety culture are
as follows:

Organizational Issue
• External environmental pressure
• Inadequate problem resolutions
• Organizational insularity
• Openness.
Development of a Conceptual Safety Culture Framework … 241

Regulatory Issues
• Corrective actions
• Patterns of problem
• Procedural inadequacies
• Reality mismatch
• Violations.

Employee Issues
• Duration of work
• Negligence of training
• Efficient hiring of people
• Job roles and responsibilities
• Employment of contractors.

Technology Issues
Plant condition and technological advancement is a major indicator of a sound safety
culture. Housekeeping, preventing maintenance and equipment safety are integral
part of inherent safety. Technological aspects of plant safety should be properly
maintained and understood.

2.5 Safety Culture Models

Developing a safety culture mainly depends on continuous manipulation various

organizational characteristics that directly affect safety i.e. conducting risk assess-
ment and these manipulations should be such that it is goal directed and if the goal
theory concepts are accepted then creation of safety culture can be done by dividing
the task into a series of sub-goals. The goals or outcome should be like reduction
in accident or injuries, ensuring that safety issues receives proper attention (IAEA),
ensuring that organizational members share the same ideas and beliefs about risk,
accident and ill health etc. Based on those certain goals and outcome there are some
models that have been developed during the period of 1986–2000 and have been
adopted as an organizational safety culture. These models are adapted from [9]:
• Cox and Cox [5] model:
Goal:
– To further develop the safety culture as part of one means of improving on the
company’s safety culture.
• Ostrom [3] model:
Goals:
– Discussion of concept of safety culture.
242 R. Diwan et al.

– Presenting a survey instrument developed to asses safety culture of organiza-

tion.
– Discussing how the result of survey instrument used to improve safety culture.
• Geller [4] model:
Goal:
– To achieve a Total Safety Culture.
• Berends [10] model:
Goals:
– Develop an alternative measure for safety performance.
– Identify strength and weaknesses.
• Lee [11] model:
Goals:
– To identify those aspects of safety culture that is in need of improvement (Table
1).

Table 1 Review of some of the major models of safety culture

Models Elements considered Elements lacking/weaknesses
Schein’s model of Basic assumptions: These are Schein model focus on building
organizational culture formed over a long period and general cultural framework
shape the way that an employee rather than defining cultures into
interprets the environment specific types
around them Schein model seems to be
Espoused belief and values: time-consuming for these
Ideals, goals, values, aspirations outside analysts
and ideologies Due to lack of phyletic
Artefacts: Visible manifestation classification, straightforward
such as dress code, signs, comparison among organizations
structures, written doc, rewards cannot be proceed
etc
Guldenmund’s safety Identified three layers of safety Major criticism—Safety climate
culture framework [9] culture: may be assessed through
The core: basic fundamental attitudes other researchers
assumptions which are identifies perception rather than
unconscious and unspecified attitude as psychological feature
The middle layer: represents of safety climate
safety climate and includes Other criticism—Simple and
espoused values regarding unidirectional relationship
hardware, software, people and between assumption attitudes
behavior and between attitudes and
The outermost layer: behaviors
represents the artifacts which
are evident appearance of safety
culture such as inspection
(continued)
Development of a Conceptual Safety Culture Framework … 243

Table 1 (continued)
Models Elements considered Elements lacking/weaknesses
Cooper’s reciprocal safety Represents three factors of The amount of resources
culture model [7] safety culture required to observe safety related
Person (safety climate): behavior might be substantial
believes and perception about and come at the cost of other
values of safety culture areas such as process safety
Job: visible safety related The observer of unsafe behavior
behavior may hesitate to report those seen
Situation: objective situation violating safety rules results in
factors such as organizational underreporting
policies
Mohamed’s model of Person: Safety climate Not provide a rationale why a
construction safety culture Behavior: Safe behavior separate safety culture is
Environment/situation: Safety required for construction
management system industry

3 Methodology

3.1 Elements of the Framework

Considering the early studies (late 80s and 90s) and the recent studies on development
of conceptual model of safety culture has showed that elements that were common in
almost each proposed models are person, behavior and situation/environment. For
example Heinrich et al [12] identified the interactive relationship between behavior
situation and person factor at operator level. After that Bandura [13] reciprocal model
appears to offer a perfect framework to analyze safety culture which also consists of
psychological, behavioral and situational element. Then Reason’s pathogen model
also recognize that person, situational and behavioral factors are the immediate
means of unsafe act, strength of each may differ and it may take time for one elements
to exert its effect on another. Finally Cooper proposed a theory based on Bandura’s
reciprocal model [13] elaborating about reciprocal relationship between person, job
and situation. By observing these models and associated framework this proposed
conceptual model also consist certain common attributes and their sub-attributes such
as person, job, behavior, organization and accordingly the relationship between them
are defined (Fig. 1).
244 R. Diwan et al.

Person

Organizati Safety
Job If complied
on culture at all levels

Behaviour

positive safety
culture

Fig. 1 Cycle of closed loop of the elements of safety culture

Values
Attitude Norms
Daily • Beliefs
• Desirable goals • Cognitive • Evaluative
Activities
• Standard/Criteria • Evaluative • Descriptive
• Action guide
Increase Improve Health
Motivation Assessment Perception
safety Competencies
Psychological factor
• Proper training
Job satisfaction
• Skills
• Flexible working hrs. • Knowledge
• Reward & Recognition. • Experience
• Perks & Benefits Person • Awareness
• No undue pressure of overtime
• Good ambience and working conditions
• Compensation & Benefits
• Promotion policies Increased
Management • Appreciation POS
Safety Organiz Safety
leadership, Effective Job • Good work life balance (Perceived
Management ation Culture
communication, organization
system • Job security
Commitment & al support)
• Interesting job content
Accountability
• Good co-workers & Seniors
• Teamwork
Behavi
Policy & Planning • Housekeeping
our
Development of a Conceptual Safety Culture Framework …

• Standard Operating Procedure

• HSE policy
• Management of hazard &
Implementation & Operation Safe behavior
risk
• Compliance & Advocacy • Practices & Procedures, Competency & Training
Assessment &
• Objectives & Targets • Emergency preparedness & response, PPE
Corrective action • Behavior based safety programs
• Financial, Human & • Contractor control program, Environmental
• Changing Belief, values & attitude
Physical Resources protection
• PDCA cycle • Changing habits
• Occupational Health
• HSE audits • Developing interpersonal skill and
• Efficiency of operations
situational awareness
• Incident Management
• Documentation & Records
245
246 R. Diwan et al.

3.2 Description of the Framework

The proposed conceptual framework relates four parameters i.e. Person, Job, behavior
and Organization. The main focus is to relate a person’s perception about job satis-
faction to improve behavior related to safety and at last improving organizational
behavior. To improve organizational behavior, job satisfaction is seen as a key factor
in changing work psychology, job design and workplace safety. It is the degree of
satisfaction or perception for one’s job.
Job satisfaction shows the level of commitment of employee with the organi-
zation and reactive reaction and interaction with working environment. It affects
the employee’s performance level, employee readiness to participate in problem-
solving activities, and the amount of work they do going one step ahead of work
assigned. Researchers have found that when a person enjoys his or her work then
roles and responsibilities are more clear that would certainly improve safe behavior.
As discussed in the model, a person perception regarding job safety could possibly
end up changing his behavior. Factors like work environment could be an indicator
in determining job satisfaction. Recent research work has proved that there is a deep
relationship between behavior, job satisfaction and organizational culture. Details
regarding every parameter have been discussed below.
A Norm is “any pattern of behavior or performance that is typical or representative
of a group or a society”. Break down into 3 types.
• Subjective norms (i.e. the pressure that people perceive from important others to
perform, or not to perform, a behavior);
• Descriptive norms (i.e. perceptions of significant others’ own attitudes and
behaviors in the domain)—exerts the biggest influence on behavior
• Behavioral norms (the consistency of a behavior being enacted among a group of
people—i.e. the way people do things around here).
Perceptions refer to a way of regarding, understanding, or interpreting how safety
management is being operationalsed in the workplace, at a particular moment in
time [14]. Assumption that perceptions serve as a frame of reference for guiding
behaviors, but the evidence is not clear.
These psychological factors of a person decides the overall behavior of a person
i.e. whether a person inherent the safe, unsafe, or at-risk behavior. Model considers
these aspects an important part of behavioral changes from root. The change can be
introduced in a person by basic developing sense of satisfaction in them by winning
their trust and loyalty which would also increase the productivity.
The role of organization in proposed model is inevitable. An effective organiza-
tional culture could easily tackle employee’s problem and resolve the conflicts that
can certainly help individual to feel a sense of satisfaction in them. Effective leader-
ship can drive company towards an effective culture. People like Managers and CEO’s
if purpose driven can easily connect with the lower level and make them understand
them about their cooperation. By changing policies and providing growth oppor-
tunities to employees’ organizational culture could be improved. Appreciation and
Development of a Conceptual Safety Culture Framework … 247

rewarding system for eligible employees can instill a sense of achieving better. The
model proposed is directly links an effective organizational culture with employee’s
behavior and following which can easily achieve a positive safety culture.

3.3 Method of Assessment

The proposed conceptual model depends upon four parameters i.e. person, job,
behavior and organization to improve the safety culture. In order to define the rela-
tionship between four of them data needs to be collected. This quantitative approach
would help to calculate employee satisfaction by proving various questionnaires to
employees regarding the organizational culture, working conditions (environment,
work stress, co-workers), technology and process, safety aspects and SOP’s, perks
and benefits (salaries, bonus and growth opportunities, Management issues (leader-
ship issues, commitment etc.) and few more. There is no way to calculate employee
satisfaction but ESI (Employee satisfaction index) with seven categories would be
the most accurate one. ESI value can be obtained by collecting data from a sample
space through online and offline surveys.
After collecting the data, ESI scores can be assigned. Furthermore we can calculate
the mean and variance for each question and identify the main issues can be identified.
The one with high mean value represents that maximum number of workers are
satisfied and if the mean value is low, it needs to be taken under consideration.
Similarly high value of variance for a given question shows there is difference in
opinion of many employees though average can be higher for the given question.
Issues can be easily identified using this method. After performing the ESI and
getting the loopholes, next we come to behavior analysis.
Behavior analysis can be easily identified by going through documents and data
from previous year records. Records of BBS programs and training can be useful to
set a baseline data to compare before and after scenario. After assessing ESI results,
loophole needs to fill as soon as possible. Issues should be addressed and any conflict
needs to be mitigated.
This can be divided into five phases:
• Phase 1: Calculation of ESI and finding the persisting issues
• Phase 2: Addressing the issues by finding problem statement
• Phase 3: Implementing corrective actions
• Phase 4: Comparing the base line data (behavior based or accident data) with new
one (after implementation)
• Phase 5: Addressing the change and improving organizational behavior (Fig. 2).
248 R. Diwan et al.

Fig. 2 Steps of the

assessment Analyzing the
data to find
problem
statements

Implementin
Collection of
g corrective
ESI data
actions

Comparing
Improving Accidnet and
orgaizational behaviour data
culture after
implemetation

3.4 Employee Satisfaction Index Survey: (Questionnaires

Shown in Appendix)

This approach is quick and easy. It comprises of few questionnaires that would give
an overview of present employee satisfaction with the workplace. This approach
would not give an in depth analysis of workers satisfaction. This approach can be
carried out using three simple questions:
• How satisfied are you with your current workplace and job?
• How well does your workplace meet your expectations?
• How close is your current workplace to your ideal workplace?
Simple formula to calculate ESI (Negitate) is:

ESI = (Mean value of Question/3)−1)/9 × 100

The scores gives an ESI value which is out of 100 which shows section of
employees with major job satisfaction issues but doesn’t give an in depth analysis of
workplace. Method can be used for a quick survey just to know if there is any major
employee issue persisting in organization.
Development of a Conceptual Safety Culture Framework … 249

4 Conclusion

This paper discusses and reviews the literature about the development of different
safety culture models in terms of conceptual understanding, measurement method-
ology and specific case studies for better and clear understanding about the validation
of the model and also it has been observe that there is no one correct conceptual-
ization of safety culture, or even one that is generally accepted. Although there are
many different safety culture models, there is a significant amount of overlap between
models, making it is possible to identify common themes. Given this complexity it is
easy for misinterpretations to occur, therefore it is important for regulators to clearly
define the term and adopt a conceptual model or framework. Based on the some of the
major conceptual models of safety culture and by observing their attributes, elements,
sub-elements as well as their weaknesses, a conceptual model has been formed in
this paper. This model is anchored in three fundamental conceptual categories that
include person, job, behavior and organization; change in any one element could lead
to change in other elements also. These elements of the model could be validated by
conducting a safety culture survey based on some questionnaires and by analyzing
those answers an ESI (Employee satisfaction Index) should be calculated. Surveys
like ESI and others can help to address issues which are underlying and untouched.
Proper Leadership and care for employees and commitment towards safety can help
organizations to take safety culture to a new level. The proposed model focuses on
entire benefits of organization consisting of employees, policies, management etc.
to improve in such a way that no further difference in opinions exist and workplace
safety could be seen as a major source of motivation among employees and goal of
“zero harm” and “safety first” could be achieved.
ESI is an effective technique to improve employee satisfaction and organizational
culture. In the proposed model employee satisfaction is seen as major cause for
distrust and behavioral changes among employees. Improving interactions between
employees and work place could show magical changes within a short span of time.
Proposed model shows that entire theme of safety culture could be improved though
digging deep into employee satisfaction. Human resource needs to be addressed as
a major part of organization. To instill safe behavior among employees psychology
should be seen and addressed. The kind of loyalty and attachment an employee
feels for the organization can be contribute and inevitable contribution in improving
overall safety culture. By proving proper training and BBS programs, it can be easier
to understand the safe and unsafe behavior among employees and what makes them
do that. A proper system of constructive feedback could lead to have a deep insight
into worker’s psychology and beliefs.

References

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Proceedings of International Conference on Safety Culture in the Energy Industries 1997 Sep.
University of Aberdeen.
Implementation of Total Quality
Management in Construction Industry

Rishi Dewan, Ayush S. Patel, and Md. Obaid Kuraishy

Abstract Quality has become a rising significant means of competition in the

market of this world and has developed into a tactical weapon in the tussle for
market shares and improved profitability. Implementation of quality management in
construction industry provide several benefits such as higher productivity, reduced
rework, improve budget performance, improved employee job satisfaction. Since the
industry of Construction is dissimilar from other industries in many aspects such as
kind of work that they are doing, lack of management support, lack of skilled workers,
lack of leadership qualities in employee and also lack of support from higher level,
lack of team work and that’s why it becomes difficult to implement Total Quality
Management in this industry and above this more construction companies found
quality as an expensive accessory due to the fact that construction companies are
completely unknown to the detail that unimplemented quality is way more elevated
than running a fully functional quality program. This paper describes the issues
in signifying quality in the majestic industry of construction, a highly dangerous
industry and then study the advantages of quality management (QM) implementa-
tion in the vast industry of construction and barriers to quality management during its
implementation. Data is collected through surveying the contractors. Various Data
analysis tools was used for analysis purpose. Result indicate that the contractors
know the benefits of quality management but that change is slow and some efforts
are needed for effective implementation of quality management in the much required
vast industry of construction.

Keywords Quality management · Survey · Industry of construction

R. Dewan (B) · A. S. Patel · Md. O. Kuraishy

University of Petroleum and Energy Studies, Dehradun, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 251
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
252 R. Dewan et al.

1 Introduction

India will expected to be the world’s third-largest Construction Market by 2025

therefore construction and Infrastructure Sector plays very important role in Indian
economy and growth. Construction sector in India contributes nearly 9% of total GDP.
This sector involve large number of various category of people hence consider as the
sector of large employability. As far as the status of Indian infrastructure sector is
consider, it is inadequate to meet the demand of the existing urban population. There
is an urgent need of re-generation of urban areas in existing cities and the creation of
new, inclusive smart cities for handling the challenge of increasing population and
migration from rural to urban areas.
Various unorganized player is involve in this sector which work on subcontracting
bases which is responsible for variable profitability across different segment of
construction project.
Indian construction market divided into three broad segment (1) Real Estate,
This segment involve residential as well as commercial construction of various level
(2) Infrastructure, this segment include development of roads, railways, transport
projects, power project (3) Industrial construction which involve various oil and gas
project, pipeline, refinery etc.
Effective implementation of innovative technology is responsible for reduce
the cost and also responsible for speedy completion of project, which is turn
increase profitability in system. The current demand of Indian construction industry
is “Quality Construction”, which involve quality in system, quality in process,
procedure, methods etc. which is turn responsible for increase profitability in
system.. Reducing the gap between national and international standard bring Indian
construction system in pace to beat the challenges of international market.
TQM, brought a new concept which tells not only about quality of product but
quality of all matter which are present in the organization. It comprises of all aspects
of business, make an objective of continual improvement at all level to increase
customer satisfaction [1].
A purely low cost model would not be a sustainable business proposition for Indian
construction units in the wake of rising competition. This is the need that current
construction industry must focus on developing a strategy, which create a competitive
advantage, and ensure its effective implementation. Strategy must percolate from top
to each and every employees. Quality actually contribute to the bottom line, in term
of reduction in scrap/waste, inventory turnover,productivity,and lead time to execute
an order.
TQM aims to establish quality at organizational level to improve effectiveness
through eight principles: (1) top level managerial staff, (2) managing customer needs,
(3) people needs and wants management, (4) suppliers overseen, (5) extensive quality
monitoring, (6) managing of process flows, (7) learning and education, and (8) contin-
uous improvement by training [2]. The process of doing quality work starts from top
management by defining quality, its goals, values and by providing resources to
operate quality management system. Total Quality Management can be defined as a
Implementation of Total Quality Management … 253

journey and not as a destination [3] and require a complete turn about overhaul in
corporate culture and management approach [4].
A Satisfaction of Customer is the core factor of success in the market. All products,
materials, goods must fulfil the needs of customer in order to make them happy and
it can only be done through proper communication i.e. by taking feedback or through
survey. Resources play a vital role in manufacturing of quality products. Therefore,
developing relations between contractor, subcontractor, supplier’s increases ability
to create valuable product. Various independent processes are carry out in company
and these individual process play critical role in the production of final product.
So, ultimate motive of TQM is to achieve continual improvement in the organi-
zation at technical and managerial level in order to meet customer expectations
[5] The implementation of TQM in construction industry has brought reliability,
increased productivity decreased product cost [1, 6]. It is affirm that implementation
of TQM in construction industry provide benefits such as reduced rework, increasing
budget, employee job satisfaction, improve bidding in market, increase market share.
However, Lack of Standardization is one of the factors which is creating a barrier
during implementation of TQM in construction industry.
This paper aims to identify firstly the problem in defining the quality in construc-
tion and then barriers which are found during implementation of TQM in construction
industry and after that benefit of implementing TQM in construction industry [7].
According to [8] the implementation of performance of construction related organ-
isations where cost-cutting is of dire need there is a much need of quality cost
measurement [9]. But this is a problem even in developed countries as Australia
were very few firms or companies have in their arsenal a system that can on ground
give a comprehensive and in-depth quality cost feedback of the work they do [10].
It can be hence stated with union of many others that quality management was and
is unmistakably a very important component in the proper and successful managing
of construction industry related firms [11–13].

2 Literature Review

Building projects are getting more complex and larger; clients are expecting high
standard of outcome [14]. In service industries TQM is the successful equipment for
management and it hold same for manufacturing sectors. Increase in productivity and
quality in construction industry is achieved by TQM. Two case studies conducted
for two different construction industry shows successful implementation of TQM
[14]. This experiment benefits better job satisfaction for employees, reduction in
cost of quality and recognition by clients. TQM execution measures were addi-
tionally reflected through best administration duty, client inclusion and fulfilment,
representative contribution and strengthening, customer–provider connections, and
process enhancement and administration. At long last, a system for executing TQM
in development is prescribed.
254 R. Dewan et al.

TQM justifies and mandates the coordination and construction industry existing
framework required between the different levels of an industry like organisation,
suppliers and customers [15], And here such a facility works on sole needs of
customer satisfaction more than what it believes in [16].
TQM can be the answer of problems relating to cost, production, health and
safety that the industry is facing [17, 18]. Better construction can be achieved by
TQM [19]. Many companies are heart-broken due to the fact of their efforts to
improve TQM failed as they focused much on the financial aspect of quality control
than to manage quality itself by TQM for better quality [20]. Construction industry
slowly and steadily inclines towards TQM, Quality control and assurance believing
that these can only be guaranteed by the proper and well use of TQM [21]. Also,
management system must be flexible and responsive to effective communication
repeatedly improving, which can be an experiential TQM objective that is vibrant in
nature and keeps on updating demands as per customer satisfaction [22].
In their survey of writing about quality and security administration in the devel-
opment business, inspected the meaning of value creators utilized [23]. Specialists
in development quality foretold the accompanying definitions for quality execution:
‘meeting needs for the client’.
Evolution of quality management is directly proportional to the advert of
manufacturing industry [24].
“Development Sourcing” ought to end up perceived by substantial and little
customers, including both new and customary clients of the ventures, as middle for
solid free counsel on the best way to contract for development, including building,
and common, electrical, mechanical and process building [25].
TQM techniques have been initially have said to be made and developed for
manufacturing process industries to be used utmost and beneficially for process
control and defect prevention pre-happening ultimately helping of cost saving front
[24]. Because of the cut-throat bidding and nature of industry in construction, there
lies an unsaid but present emphasis on fast work methods and almost complete
absence of long-term practicality and quality [23]. Hence TQM methodologies that
are used to upgrade quality are hence totally applicable to construction industry in a
broad way as well [26].
The examination involves poll improvement and the investigation of its reac-
tions from seventeen driving development associations working in Pakistan amid
year 2012 [25]. The investigation likewise fuses information from different auxiliary
sources. The examination was completed utilizing fundamental factual instruments,
for example, mean, middle and standard deviation and bar graph was utilized to
speak to the information. The discoveries uncovered that the idea and importance
of value isn’t comprehended and deciphered in its actual sense. The conformance to
standard details (SOPs) is viewed as proportionate to execution of Quality Manage-
ment which is a long way from truth. It was likewise confirmed that general absence
of mindfulness and untrained workers that are for the most part uneducated work is
one of the real causes towards this bleak. It is trusted that the results of this investi-
gation may give a rule to the proprietors of the development business and help them
comprehend the idea of Quality Management in its genuine term. It will likewise help
Implementation of Total Quality Management … 255

the observing and directing organizations to devise strategies in like manner taking
into account the need of the advanced period that will help Pakistani development
industry to contend locally and all inclusive.
An extensive variety has been seen in connection to particular quality related
results [27]. With the end goal to accomplish predictable results, a best practice usage
show for administration of value in development should be created by distinguishing
the causality of every result. In any case, the improvement of such a model requires
the utilization of approved builds particular to the order, something that has not been
found in the current writing. An arrangement of builds is proposed for this reason.
Success of TQM can be seen by numerous examples already set in the construction
industry which include examples of electric and electronic industry [32], Industries
from the UK (Cabe 1996) and HDR Inc., Omaha, Nebraska [19].
However, there is a resistance seen to TQM in construction industries due to: -
• Product Diversity—All construction projects are unique and quality is in reference
to personal customer needs [33].
• Organisational Stability—High number of collapses of firms and companies
prominently during falling economy [33].
• Misconception of cost—The cost of quality can be seen as cost associated with
cost related to non-conformity [28].
People seem to think TQM as extra cost but do not realize that actually the sources
the lead to non-achievement of goals, rework and re-do requirements cost, error fixing
budget inadequacies due to bad planning and missing crucial deadlines are the ones
that cost more [19]. So, the cost in question due to implementation can be high for
TQM in big projects but the cost incurred due to under quality can be as high as 12%
[22, 29].

3 Methodology

The research design used in this study is descriptive in nature. The objective is to
explore all issues related to quality in highly dangerous construction sector. The
aim is to study the advantages of Total quality management (TQM) implementation
in construction industry. This study is also beneficial to understand the barriers in
quality management implementation process.
Data was collected through surveying the contractors at the construction site.
A questionnaire-based survey was designed and analysed. The questionnaire was
framed after careful perusal of literature. Nine interviews were conducted with
contractors of construction industry [30]. The items were measured on a 7-point
Likert scale from strongly disagree (1) to strongly agree (7). The questionnaire was
prepared to know about quality management in the industry of construction. In first
part of questionnaire, questions related to quality were asked in the field of safety in
256 R. Dewan et al.

construction and related industries [31]. Second part of questionnaire contains ques-
tions linked to protection and excellence in construction industry. Approximately
three hundred (300) contractors have participated in this survey.
Data analysis was performed for identifying barriers to quality, gauging quality
execution, quality execution enhancement and quality improvement. Data were anal-
ysed using SPSS 20.0 and MS-Excel 2010. The extent of relationship between
different parameter is studied using correlation and regression analysis. The descrip-
tive analysis was also performed to identify the positive and negative response rate
of the respondents.

4 Results

The three type of construction sites was used for data collection and analysis purpose:
1. New construction—Involving the construction of new building from the scratch.
2. Retro-fit construction—Involving fixtures to previously made structure as per
the need of customer
3. Upgrade—Involving minor or major changes that can be done to already made
structure as per required needs and economical constraints [22].

4.1 Interview

Over three forth of respondents of interview stated that primary measure in construc-
tion industry for quality measurement was reputation of contractor in that area.
Another important feature without which thing are not going well is customer satis-
faction. One of the interviewees is to have said to quote that at ground level we
actually come to know that which of the contractors are good and which of them
are not. Some quote that getting continuous business of customer related projects
to do every now and then can be a proper measure of good quality as people come
back for where the work is good enough. But in reality just to measure up how the
construction industry can flourish using TQM apart from manufacturing industry
is a whole lot dependent on the academic way point of the employees as well as
training of quality control that includes initial training, refresher courses and time
to time checks and guidance from person skilled enough to train others along with
the pre-qualification of workers joining the force of the industry at a worker level as
well as managerial level along with the use of state of art and newer techniques of
designing and building.
Some people also stated that a major cause of low quality might be due to
the bidding structure of construction industry. Most of the time the lower bids is
responsible for cost cutting and quality degradation.
Implementation of Total Quality Management … 257

Quality can be described as customer satisfaction but many a times customer

cannot be the judge of quality as the customer will only be interested in its need
fulfilment and then the quality management fall of the shoulders of firm itself.

4.2 Questionnaire Survey

There were 43% respondents who said that they were aware of total quality
programmes in the construction industry; 57% said they were not aware of
such programmes. 38% of the respondents said that their company has a quality
programme; while 62% said that this was not the case. (Table 1; Fig. 1).
51.13% of respondents (contractors) believe that ‘satisfaction of customer’ is the
best measure for quality management. Similarly 36.83% believe that ‘commitment
to quality by management’ is the best measure for quality management. The details
shown in Table 2 including all other parameter that are best measure for quality
management (Fig. 2).

Table 1 Awarness about TQM programmes

TQM programs Percentage
Yes No
Are you aware of total quality programs in construction industry? 43 57
Does your construction company has quality programs? 38 62

50
Percentage

30
Percentage Yes
20
Percentage No
10

0
Are you aware of total quality Does your construction
programme in construction company has quality
industry? programmes?

Fig. 1 Awarness about TQM programmes

258 R. Dewan et al.

Table 2 Beat measure for quality management

Best measures for quality management Percentage (%)
1. Satisfaction of customer 51.13
2. Commitment to quality by management 36.83
3. Returns on business 0
4. Gifted work constrain 0
5. Education training 11.90
6. The measure of call backs/revise 0.02
7. Customary assessments 0.02
8. The length of warranty (in years) companies can give on their work 0.07
9. General construction standards, such as BOCA, CABO, ICC 0.02
10. Quality awards 0.02

60
51.13
50

40 36.83

20
11.9
10
0 0 0.02 0.02 0.07 0.02 0.02
0 Percentage

Fig. 2 Best measure for quality management

Table 3 represent the factors for good company characteristics, 38% of respon-
dents believe that ‘culture of organization’ is a good company characteristic. Simi-
larly, 11.92% believe that ‘employee participation’ and ‘good workforce’ are good
company characteristics (Fig. 3).
Figure 4 shows that 88% of the respondents responded that their representatives
are engaged with endeavours to enhance quality. 76.19% responds positively that a
representative quality preparing program does exist at the organization. 78.57% do
Implementation of Total Quality Management … 259

Table 3 % Data for good company characteristics (category wise)

Good company characteristics Percentage
1. Employee participation 11.92
2. Commitment by management 7.14
3. Good workforce 11.92
4. Talk between manager and employee 4.73
5. Training and education 7.14
6. Subcontractors involvement 0
7. Culture of organization 38
8. All around characterized jobs and obligations 4.73
9. Very much characterized jobs and obligations 0
10. Review/analysis used to improve performance 7.14
11. Regular inspections and audits 7.14

40 38
35
30
25
20
15 11.92 11.92
10 7.14 7.14 7.14 7.14
4.73 4.73
5 0 0
0 Percentage

Fig. 3 Good company characteristics

require sellers and subcontractors to utilize a quality program. 73.80% do promote

partnering on their projects (Tables 4 and 5).
Figure 5 tells about the few quality improvement deeds done by firm in some
kind or another and 78.57% respondents do change the customer’s order if there
arises an issue with the order. 83.33% respondents work again to correct wrongly
placed customer’s orders. 90.47% respondents find customer satisfaction as an impor-
tant thing in their company. 85.71% respondents rectify or try to rectify supplier
complains. 80.95% respondents acknowledge complains laid by sub-contractors.
260 R. Dewan et al.

100
90
80
70
Percentage

60
50
40
30
20
10
0
Are your Does a representative Do you require sellers Do you promote
representatives quality preparing and subcontractors to partnering on your
engaged with program exist at the utilize a Quality projects?
endeavors to enhance organization? Program?
quality?
Percentage Yes
Percentage No

Fig. 4 Company’s involvement in quality improvement

Table 4 % wise data related to company’s involvement in quality improvement

Company’s involvement in quality improvement Percentage
Yes No
Are your representatives engaged with endeavors to enhance quality? 88 11.9
Does a representative quality preparing program exist at the organization? 76.19 23.8
Do you require sellers and subcontractors to utilize a Quality Program? 78.57 21.42
Do you promote partnering on your projects? 73.8 26.19

Table 5 % Data related to “company’s established quality improvement programme”

Company’s established quality improvement programme Percentage
Yes No
Do you change your customer’s order if there is an issue in previous 78.57 21.42
order?
If the order was wrongly placed then you work again to correct your 83.33 16.66
customer’s order?
Is customer satisfaction important for your company? 90.47 9.52
Do you rectify supplier complaints? 85.71 14.28
Do you acknowledge complaints of sub-contractors? 80.95 19.04

4.3 t-statistics Analysis

t-statistics is a mathematical turned computer tool to standardize value of sample

data mainly where there is the requirement of hypothesis testing. That is where we
Implementation of Total Quality Management … 261

100
90
80
70
Percentage

60
50
40
30
20
10
0
Do you change If the order was Is customer Do you rectify Do you
your customer’s wrongly placed satisfaction supplier acknowledge
order if there is then you work important for complaints? complaints of
an issue in again to correct your company? sub-contractors?
previous order? your customer’s
order?
Percentage Yes
Percentage No

Fig. 5 Company’s established quality improvement programme

need to see how our idea is supposed to work when compared to actual hypothesis
that we will get in real world application. The various values known as the t-value
defines how well the hypothesis matches the tested sample data. 0 indicates sample
results exactly matching the sample data and as the value differentiates the t-value
changes along as well; generally increases.
In Table 6 the ‘t’ statistics value of ‘reputation’, ‘customer satisfaction’ and
‘quality programme records’ are more than 1.96 (sig. < 0.05). Therefore these are the
variables to ‘gauge quality execution’. The adjusted R square of the variable ‘records
of ongoing business and new works’ has found to be less than previous variables of

Table 6 ‘t’ statistics value of ‘reputation’, ‘customer satisfaction’ and ‘quality programme records’
Coefficientsa
Model Unstandardized Standardized t Sig
coefficients coefficients
B Std. Beta
error
1 (Constant) 0.091 0.146 0.625 0.533
Reputation 0.300 0.015 0.507 20.363 0.000
Customer_satisfaction 0.316 0.020 0.402 15.557 0.000
Quality_programme_records 0.357 0.018 0.518 19.984 0.000
a Dependent Variable: QualityExecution_scale
262 R. Dewan et al.

Table 7 ‘t’ statistics value of ‘education plus training’, ‘work size’, ‘better craftsmanship’ and
‘enhanced board and labour relation’
Coefficientsa
Model Unstandardized Standardized t Sig
coefficients coefficients
B Std. Beta
error
1 (Constant) 0.418 0.081 5.139 0.000
Education_plus_training 0.218 0.014 0.310 15.691 0.000
Work_size 0.244 0.013 0.345 18.374 0.000
Better_craftsmanship 0.218 0.014 0.289 15.254 0.000
Enhanced_board_labour_ 0.235 0.016 0.307 14.830 0.000
relations
a Dependent Variable: Quality Execution Enhancement scale

gauging quality execution and hence the independent variable was removed from the
model.
As per the findings; the reputation of the company is the highest variable to gauge
quality execution followed by quality programme records and customer satisfaction.
In Table 7 The ‘t’ statistics value of ‘education plus training’, ‘work size’, ‘better
craftsmanship’ and ‘enhanced board and labour relation’ are more than 1.96 (sig. <
0.05). Therefore these are the variables which ‘enhance quality execution’.
The adjusted R square of the variable ‘utilization of configuration, assemble
contract and quality requirement’ has found to be less than previous variables of
‘quality execution enhancement’ and hence these independent variable was removed.
As per the findings; the work size for the company is the strongest variable to
enhance quality execution followed by education plus training, better craftsmanship
and finally enhanced board and labour relations.
Table 8 shows the ‘t’ statistics values of ‘product problems’, ‘turnover in
company’, ‘lack of proper equipment’, ‘lack of supervision’, ‘working with new
people’, ‘unreal deadlines’ is found to be more than 1.96 (sig. < 0.05). Therefore
these variables are a ‘barrier to quality’. Bad seed effect and lack of skilled workers
had ‘t’ statistics value less than 1.96 hence they were not a barrier to quality.
As per the findings; lack of supervision is the highest barrier to quality followed
by unreal deadlines and working with new people.
In Table 9 the ‘t’ statistics values of ‘training administration plus workers’ and
‘consumer loyalty’ are more than 1.96 (sig. < 0.05). Therefore these are the variables
that affect ‘quality improvement’.
The adjusted R square of the variables such as ‘means and methods for ensuring
continuous improvement’, ‘obviously characterized objectives identifying with
quality work execution’, ‘systems for collecting and tracking data for ensuring quality
objectives’ and ‘review/analysis process for identifying errors in the system’ has
Implementation of Total Quality Management … 263

Table 8 A ‘t’ statistics value of ‘product problems’, ‘turnover in company’, ‘lack of proper
equipment’, ‘lack of supervision’, ‘working with new people’
Coefficientsa
Model Unstandardized Standardized t Sig
coefficients coefficients
B Std. Beta
error
1 (Constant) 0.813 0.071 11.419 0.000
Bad_seed − 0.029 0.013 − 0.052 − 0.022
2.316
Lack_SW − 0.058 0.014 − 0.118 − 0.000
4.228
Product_problems 0.112 0.012 0.225 9.760 0.000
Turnover 0.094 0.010 0.176 9.252 0.000
Lack_ProperEquip 0.113 0.016 0.220 7.160 0.000
Lack_supervision 0.170 0.015 0.372 10.981 0.000
Working_newpeople 0.124 0.009 0.290 13.516 0.000
Unreal_deadlines 0.178 0.012 0.344 14.992 0.000
a Dependent Variable: Barriers Quality_Scale

Table 9 ‘t’ statistics value of ‘training administration plus workers’ and ‘consumer loyalty’
Coefficientsa
Model Unstandardized coefficients Standardized t Sig
coefficients
B Std. error Beta
1 (Constant) 1.379 0.154 8.968 0.000
Training, 0.447 0.025 0.634 18.170 0.000
administration
plus worker
Consumer 0.320 0.021 0.541 15.499 0.000
loyalty
a Dependent Variable: Quality Improvement Scale

found to be less than previous variables of ‘quality improvement’ and hence the
independent variable was removed from the model.
As per the findings; training administration plus its workers of the company is the
strongest variable that affect quality improvement followed by consumer loyalty.
264 R. Dewan et al.

5 Conclusion

From the survey conducted, it was found that most of the respondents (contractors)
believe that satisfaction of customer and commitment to quality by management is
the best measure for quality management. Many respondents believe that culture of
organization, employee participation and good workforce is a good company char-
acteristic. Most of the respondents responded that their representatives are engaged
with endeavours to enhance quality. Respondents positively replied to the statement
that a representative quality-preparing program does exist at the organization. Many
do require sellers and subcontractors to utilize a quality program and most of them
do promote partnering on their projects. Many respondents do change the customer’s
order if there arises an issue with the order and work again to correct wrongly placed
customers’ orders. Respondents believe that customer satisfaction is an important
thing in their company and rectify or try to rectify supplier complains. A high number
of respondents acknowledge complains laid by sub-contractors.
Reputation, customer satisfaction and quality programme records are the variables
to gauge quality execution. Education plus training, work size, better craftsmanship
and enhanced board and labour relation are the variables which enhance quality
execution. Product problems, turnover in company, lack of proper equipment, lack of
supervision, working with new people, unreal deadlines are found to be the variables
that are a barrier to quality. Training administration plus workers and consumer
loyalty are the variables that affect quality improvement.

6 Suggestions

In construction industry productivity and quality improvement implementation is

new area of interest. In numerous nations dependent on ISO-9000 and ISO-14000
models TQM systems are executing. Anyway, for better usage of TQM, investigations
are to be made but to increase effectiveness the following steps can be brought forward
like (1) extra effort on education and training of people that might affect the quality of
the works of the industry, (2) clear knowledge of customer requirements and planning
to satisfy it properly, (3) taking TQM as a work for all and not as responsibility of
one, (4) Framework management and development for performance check of TQM
in the firm.

References

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Study on Effective Management of Total
Suspended Particulate Matter Generated
at a High-Rise Building Construction Site

S. Sanjay, P. A. Arun, and N. A. Siddiqui

Abstract Particulate matter is a concern and a consequence of the rapid urbaniza-

tion. These particulate matters of size less than 15 µm are a major deteriorator of
public health and wellbeing. Particles size less than 10 microns reach respiratory
track and particles size less than 2.5 µm can reach the bronchioles of lungs. Lack
of dust management at construction sites may lead to wide spread chronic health
diseases linked to non-fatal heart attacks, irregular heartbeat, aggravated asthma,
silicosis, lung cancer etc. Average life expectancy of people continuously exposed to
Total Suspended Particulates (TSP) reduces over a period of time. A construction site
where various activities carried out produces a significant amount of dust particles
hence effective management of those particulate matters are of great importance. This
paper discusses on the Dust management aspects for the control of total suspended
particulate matter generated at a High-rise building construction site. Sampling was
carried out using particulate matter measuring equipment and real time monitors.
Results were compared with national ambient air quality standards and suggestive
measures are proposed for effective dust management in construction sites.

Keywords Total suspended particles · Dust management · Public health

1 Introduction

Airborne Contaminants are a concern due to the diseases associated with it. These
airborne contaminants are commonly termed as Dust particles or Particulate matters.
As per ISO 4225:1994, these particulate matter sizes are less than 75 µm. The heavier
particles settle near the source whereas the lighter size particles are suspended in air
for period of time. These particulate matters may have different contaminants and

S. Sanjay · P. A. Arun (B) · N. A. Siddiqui

School of Engineering, UPES, Dehradun, India
e-mail: [Link]@[Link]
N. A. Siddiqui
e-mail: nihal@[Link]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 267
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
268 S. Sanjay et al.

corresponding these are classified as Mineral dust, metallic dust, chemical dust,
organic and vegetable dust, biohazards [1]. These particulate matter may be gener-
ated by various activities performed at construction sites such as to excavation, bulk
material transportation, loading and unloading, open-air material storage, drilling,
concrete and mortar making, cut and fill operations and equipment movement. Espe-
cially the demolition of concrete or masonry hazardously render workers to respirable
crystalline silica [2]. Dust Generated from vehicle traffic on an unpaved road is due to
the shearing forces caused at the area between the surface and vehicle tires generates
dust from an unpaved road. The generated dust becomes airborne due to turbulence
generated by the moving vehicles [3]. Many of the activities at a typical construction
site involve cutting, grinding, drilling, excavation, loading and unloading of debris,
excavation etc. is the major contributor for generation of dust. Loose silica parti-
cles settled on the ground are often disturbed by the wind blowing and carry to the
surrounding area.
The Main concern of this particulate matter is the impact on the respiratory system.
The fine particles of size equal to and less than 10 µm cause a detrimental effect on
the respiratory system. It is estimated globally that approx 3% of cardiopulmonary
and 5% of lung cancer deaths are due to particulate matters. Some of the common
effects include Silicosis, lung cancer, shortness of breath etc. Since the diseases are
chronic and the latency period is high, the risks of dust exposure are often ignored at
many of the construction sites. Exposure to particulate matters of 2.5 µm reduces the
life expectancy of people of European region has reduced by about 8.6 months on an
average. It is also said that Health improvements of those affected due to particulate
matter can improve their health almost immediately after reducing the air pollution
[4].
Some of the significant sources of particulate matter identified during this course
study are from the activities listed in the following,
Drilling and Breaking
In process of the drilling, the drill bit with high rotating speed shatters the concrete
and rock forming holes of required sizes and resulting in dust generation due to
friction between concrete and drill bit.
Breaking/Chipping
It involves removing the surface layer of the concrete or stone area using machines
which linearly vibrates.
Excavation
Excavation involves removing earth materials from the ground surface and moving
earth, rock or other materials with tools, equipment which results in fine soil particles
flying in air.
Loading and tipping
Loading and tipping activities consists of transporting the excavated materials from
one place to another designated place.
Study on Effective Management of Total Suspended Particulate Matter … 269

Transporting
Transporting construction materials using heavy construction equipment and utility
vehicles for transferring materials from activities such as demolishing, abrading, or
fracturing silica-containing materials such as brick, block, and concrete can generate
respirable crystalline silica dust.
Stockpiling
In stockpiling, the excavated Earth is dumped at a designated place during which the
fine particles of Earth materials/ soil are usually eroded by the wind flowing creating
particulate matter travel in air. During loading and unloading operations also the fine
particles of soil are scattered in air arising dust.
Demolition
This Operation involves removing unwanted structure which are previously existing
or built temporarily or which are no longer suitable due to changing conditions.
Demolition is carried out manually and use of portable hand tool machine for smaller
area. Whereas heavy equipment are being utilized for larger area.
Dry sweeping
Cleaning of Areas covered with dry, loose and fine particles of soil and concrete
materials makes the particles fly in air. Cleaning at construction often involves manual
sweeping, with the help of compressed air or Portable Air blowers.
Scrabbling or grinding concrete: Grinding the concrete in order to create a smooth
surface on the concrete where uneven particles are accumulated. This removal process
which involve use of mobile grinding machine. The friction between rotating grinding
wheels and the concrete scatters fine dust particles.
Cutting and sanding wood
Wood pieces and Plywood sheets are normally cut with the portable cutting machine.
The fine wood particles are generated as the cutting process continues.
Various research work carried out across the globe provides an insight on the
particulate matter management and its sustainable solution practiced for an effec-
tiveness. Evelyn et al. [5], states that samples quartz exposure measurement shows
that 35% of 728 samples exceeded occupational exposure limit. The authors suggest
ways to reduce the occupational exposure of particulate matter and mention that by
use of local exhaust ventilation, dust suppression by use cooling water, use of personal
protective equipment, awareness and training. Through a short term sampling they
found that around 90% of repairable dust can be controlled through Local exhaust
ventilation and wet techniques.
As per Johncy et al. [6], explains that when crystalline silica is inhaled, they are
settled in and irritate the lungs causing inflammation in small air tubes and sacs of
the lungs. When the inflammation heals, scar on the tissue leading to fibrosis.
Nash et al. [7], elaborates that evaluation carried out during a truckpointing opera-
tion on a grinder machine with a hose attached to a collection bag found that respirable
270 S. Sanjay et al.

silica exposure nearly reduced by 93%. John et al. [8] carried out similar evalua-
tion and it was found that when engineering control was used during tuck-pointing
reduced the exposure of respirable silica by 98% when the grinding machine was
attached a shroud and vacuum system.
Ellen et al. [9], says that Quartz exposure was prominent in some scenarios of
most construction activities, out of which five activities having geographical mean
exceeding the Threshold Limit Value (surface grinding, tuck-point grinding, concrete
cutting, demolition and floor sanding). Risks were highest for surface grinding, which
had a geographical mean twelve times the Threshold Limit Value. The amount of
enclosure for the work area, equipment utilized and cross draft were prominent factors
affecting the exposure.
Zuo et al. [2], conducted a series of surveys and interviews of managers involved
in construction projects and When questioned about the opinion of the managers
on the attitude and attitudes about dust contamination and their regulation among
the employees they oversee, the majority of responses suggested relative ignorance
and indifference among the employees. Based on the evaluation by the interviewees
of the perception of dust emissions by building workers and its effects, it could be
concluded that they are not fully conscious of the issue and sometimes neglect it.
Statements varied from “lack of information”, “oblivious”, “poor perception” and
“lack of skill”.
Mieke et al. [10], concludes from his research that a prominent factor in the
susceptibility to respirable crystalline silica is the nature of building material and
its quartz composition. This is most crucial for the drilling operators. Construction
material is well established in this occupational category, especially compared with
demolition workers, who almost all operate in a mixed dust atmosphere. Drilling
operators typically know the form of building material they were drilling, as their
preference of grinding wheel dependent on the strength of the material.

2 Methodology

For any particulate matter management, the measurement or the quantification of

the amount of dust specifically the total suspended particulate matter which poses
a substantial danger to health and wellbeing of human beings. Measurement of the
Total Particulate matter of size 10 and 2.5 µm are easily measured with the sampling
instrument with the help of the filter paper of 10 and 2.5 µm pore size respectively
using gravimetric method. The amount of total suspended particulate matter can be
found using the differential weight of the filter paper. The methodology adopted is
portrayed in Fig. 1. The sampling equipment used for this study is given in Fig. 2.
The sampling was carried out through an agency complied under Legal Regulations.
The equipment was placed at 4 feet above ground and the sampling was done for
a period of 24 h. Sampling was done at two points where the building construction
work is carried out. At the end of the sampling, the filter paper was removed and sent
Study on Effective Management of Total Suspended Particulate Matter … 271

Fig. 1 Methodology

Fig. 2 Particulate Matter

Sampling Equipment
272 S. Sanjay et al.

Table 1 Gravimetric
Pollutant Sampling Concentration in ambient air
sampling results
period (h) Sampling point Sampling point 2
1 (µg/m3 ) (µg/m3 )
PM 10 24 87.4 79.2
PM 2.5 24 43.6 40.7

Fig. 3 Real-time dust

Sampler

for further calculations. The condition of the site was normal where no water was
applied to reduce dust. The results of the sampling are tabulated in Table 1.
Some of the activities are intermittent and it was important to know the amount
of dust generated during those activities in place and the amount of dust generated
from specific activity. Hence Real-time monitoring of Suspended particulate matter
was carried out using portable dust monitor equipment as shown in Fig. 3 (Tables 2,
3, and 4).
The device gives a real time value of PM 10, PM 2.5, PM 1 and corresponding
Air quality Index. This way we can measure the particulates of an ongoing activity
and can be used to measure the particulates arising out of specific activity.

3 Results and Discussion

Based on the sampling conducted over a period of 24 h by Gravimetric method the

results obtained are tabulated in Table 1. We see that the sampling result comply
the legal requirement as per National Ambient Air Quality Standards which is as
tabulated in Table 5.
The Monitoring points were chosen based on the significance of the place such
as workstation, Activities being performed – food, resting etc. (Table 2).
Study on Effective Management of Total Suspended Particulate Matter … 273

Table 2 Real time dust monitoring—before water sprinkling

S. No. Construction Location PM 10 PM 2.5 PM 1(µg/m3 ) AQI
site (µg/m3 ) (µg/m3 )
1 Cluster 2 Security Check 96 86 61 186
Post
2 Non Tower Area 100 87 60 190
3 Tower 1 111 103 70 243
Entrance
4 Tower Crane 94 86 62 186
5 Steel Yard 1 102 91 60 203
6 Office Office Entrance 120 109 75 253
7 First Aid Entrance 106 92 66 203
Center
8 Stores Entrance 91 80 56 163
9 Canteen Entrance 100 92 67 206
10 Workmen Middle 94 82 60 186
Colony
11 Cluster 4 Steel Yard 2 96 82 52 173
(in btw Tower 1
& 2)
12 Tower Crane 1 123 102 62 243
(tower 1)
13 Entry Point 102 92 58 206
(near Drinking
Water)
14 Steel Yard 3,4 88 78 54 162
(behind tower 3)
15 Site office 91 73 58 156
(behind Tower
4)
16 In front of 87 72 56 143
Tower 3,4
17 In front of 88 68 52 128
Tower 3
18 In front of 94 85 57 183
Tower 2
(Below Tower
Crane 2)
19 In front of 98 82 61 173
Tower 1
(near NTA)
274 S. Sanjay et al.

Table 3 Real time dust monitoring—post water sprinkling

Sl no Construction Location PM 10 PM 2.5 PM 1 (µg/m3 ) AQI
Site (µg/m3 ) (µg/m3 )
1 Cluster 2 Security Check 91 76 50 150
Post
2 Non Tower Area 87 72 49 123
3 Tower 1 74 58 39 93
Entrance
4 Tower Crane 73 58 40 95
5 Steel Yard 1 80 63 44 110
6 Office Office Entrance 90 74 51 140
7 First Aid Entrance 84 66 46 120
Center
8 Stores Entrance 82 62 40 92
9 Canteen Entrance 76 58 39 96
10 Workmen Middle 80 62 40 110
Colony
11 Cluster 4 Steel Yard 2 67 54 36 90
(in btw Tower 1
& 2)
12 Tower Crane 1 80 60 37 100
(tower 1)
13 Entry Point 72 50 36 83
(near Drinking
Water)
14 Steel Yard 3,4 74 58 38 95
(behind tower 3)
15 Site office 75 57 39 96
(behind Tower
4)
16 In front of 86 73 44 143
Tower 3,4
17 In front of 80 61 43 106
Tower 3
18 In front of 91 72 45 140
Tower 2
(Below Tower
Crane 2)
19 In front of 90 67 42 123
Tower 1
(near NTA)
Study on Effective Management of Total Suspended Particulate Matter … 275

Table 4 Real-time particulates from activities

S. No. Activity PM 10 (µg/m3 ) PM 2.5 (µg/m3 ) PM 1 (µg/m3 ) AQI
1 Dry Sweeping 76 68 42 103
2 Chipping 90 66 42 120
3 Soil Excavation 85 63 40 103
4 Concrete Grinding 183 112 56 270

Table 5 NAAQ standard of particulate matter

Pollutant Sampling period (h) Concentration in ambient air
Industrial, residential, rural Ecologically sensitive area
and other areas (µg/m3 ) (notified by central
government) (µg/m3 )
PM 10 24 100 100
PM 2.5 24 60 60

During recording values of Table 3, water was sprinkled on the ground, walkway,
pathway etc.
We now have the data of particulate matter at various areas before and after the
application of water as a dust suppression agent. There are few activities which
majorly generate particulate matter. These activities were specially monitored for
the generation of particulate matter. During sampling, a minimum of 4-m distance
was maintained to record the values of particulate matter. The recorded data specific
to those activities are recorded in Table 4.
Indian Legislation namely National Ambient Air Quality Standard 2009 under
the Environmental Protection Act 1986 regulates the Particulate matter generation
and prescribed standard values to comply. Table 5 represents the standard set by
NAASQ.
Graphical comparison of Sampling results of Particulate matter PM 10 and PM 2.5
levels with prescribed standard under NAAQS. These sampling results were obtained
under the normal work conditions where no dust suppressant or dust management
was in place (Fig. 4).
The following provides a Graphical comparison of Sampling results of Particu-
late matter PM 10 and PM 2.5 levels with prescribed standard under NAAQS post
water sprinkling on the unpaved roads. It shows that water sprinkler is effective in
controlling PM 10 levels but not so effective in controlling PM 2.5 levels (Fig. 5).
Current Dust Management Scenario
The Dust Management is gaining traction since the construction site surrounds a
residential neighborhood. Through dust management, the impact on workmen in the
site as well as the people in the surrounding areas could be minimized.
276 S. Sanjay et al.

140 120
120 100
100
80
80
NAAQS 60 NAAQS
60
PM 10 40 PM 2.5
40
20 20
0 0
1 3 5 7 9 11 13 15 17 19 1 3 5 7 9 11 13 15 17 19

Fig. 4 PM 10 and PM 2.5 levels before water sprinkling

120 80
70
100
60
80
50
60 NAAQS 40 NAAQS

40 PM 10 30 PM 2.5
20
20
10
0 0
1 3 5 7 9 11 13 15 17 19 1 3 5 7 9 11 13 15 17 19

Fig. 5 PM 10 and PM 2.5 levels post water sprinkling

Reduction of Speed
Regulating the vehicle speed to between 10 to 15 km/hr can reduce the fugitive dust
from arising in the air. When the vehicle speed increases the there is a shearing
force created on the surface of road by vehicle tyre which creates a float of the soil
particles. When the vehicle speed is reduced the shearing force acting on the road is
also reduced in turn reducing the particulate matter [Link] site has restricted the
vehicular speed to 10 km/hr through the site and is applicable for all construction
vehicles, passenger vehicles and equipment’s.
Water Sprinkling
The HSE team at the site is addressing this need for the dust suppression with the
application of Water. The site has an adequate supply of Water through groundwater
resources. The dust management is carried out on the vehicle pathway in the site.
Initially before the hauling of equipment and vehicles starts, water is sprinkled manu-
ally on the unpaved pathway. This activity of water sprinkling is being done thrice a
day. Water is perhaps the oldest of all dust palliatives; it is readily accessible and is
usually spread over the surface of the lane. The capacity to remove the dust is very
transient due to evaporation. Water damps the layers with dust. It does need to be
used properly, however. That ensures adequate water supplied for the whole period
Study on Effective Management of Total Suspended Particulate Matter … 277

the work is being performed at the correct stage. Wetting the content in advance just
doesn’t work [11–13].
Water Mist Cannon
Dust suppression is carried out by the fine water mist which moist the dust particles
causing them to settle down at a faster rate. The tiny nozzles create a water mist
of varying sizes from 10 µm till 100 µm. The water mist guns can spray water
molecules for a distance range of 70–100 m. It can be installed on a fixed platform
or on a movable wheel base or it can also be mounted on trucks to spray along a
required area [14].
Local Exhaust Ventilation
Local Exhaust Ventilation comes under the Engineering control where major Partic-
ulate matters generated during the machine operation can be captured. Adapting
and using the machine with new technologies can help capture the generated dust
along with the required precautions; the dust management can be more effective and
sustainable. Portable machines such as grinding machine, Saw machines, drilling
machine etc. can be connected to portable vacuum machine to ease the dust collec-
tion process. These vacuum machine aids mobility and the waste collected can be
easily disposed [16].
Mulch
Mulch is a layer of material applied on the soil surface to aids retention of soil mois-
ture, reduces soil erosion and enhances the visual appearance. Different materials
can be used as mulch such as grass, crushed stone etc. depending on the feasibility.
Open Areas are prone to soil erosion whenever wind blows causing the top layer
of the soil to travel along with the wind and spread around the area. This problem
can be managed with growing vegetation or grass can be used as mulch on the open
ground where no activities or no vehicle movements are carried out. For pathway
where vehicle movement occurs, crushed stones can be used as mulch to prevent
dust arising when the vehicle moves.
Dust Nets
Dust nets covering the site, vehicle pathway or the around the activities performed
helps to contain the dust. Whenever the dust arises from operation or due to vehicle
movement, the material of the net and the design of the net helps to retain the dust
for the maximum extent. This also serves the purpose of blocking the winds which
disperses the particulate matters into the surrounding places.
Water Dampening System
As per Evelyn et al., based on a brief sampling, it was found that combination of
wet techniques and Local exhaust ventilation (LEV) and can minimize exposure to
silica and total suspended particulates by > 90%. During operations such as grinding,
concrete cutting, chipping etc. application of water reduces dust arising out of the
operation since the surface contain moisture, the dust particles are absorbed by the
278 S. Sanjay et al.

moisture and it also reduces the friction between grinding wheels and the surface.
But precautions and supervision to be ensured that water is not accumulated on
the working surface to avoid ingress of water into the equipment and instances of
electrocutions [15].
Vacuum Cleaning
Conventional and cheaper method followed for cleaning at the site is sweeping.
Sweeping generates large amount of dust since activity disturbs the fine particles
settled on the surface. Sprinkling of water before sweeping is one way to keep
the fire particles settle on the surface, but it is not the optimum technique. Some
utilize compressed air to clean the surface which works similar to sweeping by
blowing high pressure air on surface. Industrial vacuum cleaners have eased the job
of cleaning since the settled particulate matters are extracted without disturbing into
the surrounding.

4 Conclusions

Construction sector is the backbone of the infrastructure boost in the county. Partic-
ulate matter generation during some construction activities may be inevitable but its
exposure to workmen can be mitigated. Firstly adequate awareness is essential on
the importance of dust control and its consequence. This motivates people to protect
themselves and workers who are at the line of fire. Nowadays dust management is
commonly adopted as a part of the project plan and adequate resources are allocated
to implement the plans.
In the current scenario, the site HSE team is providing an interim solution of manu-
ally watering the unpaved roads thrice a day. The conditions can still be improved
by adopting the recommendations provided in this report. These recommendations
are examined for their feasibility at the site and can prove to be an effective means
of dust mitigation.

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Women Empowerment and Sustainable
Development in Uttarakhand: Challenges
and Strategies—A Case Study of Selected
Villages of Dehradun

Shalini Vohra and Kanchan Deoli Bahukhandi

Abstract India is considered as the country of villages as bulk of its population lives
in far flung area/rural area. Survey conducted at village Bhauwala, Saheshpur Block
of Dehradun shows that rural women suffer both from economic and social invisi-
bility. Economic invisibility stems from the perception that women are not relevant
to the wage and self-employment although they have been playing very important
and significant role in the society. In addition, in patriarchal society, the rural women
hardly have any decision-making role in the family. In the survey area it has been
observed that the women are deprived of development with toughest living condition,
the main reason being lack of education, awareness about health and hygiene and lack
of self-reliance. Empowerment of women comprises of multidimensional focus and
envisages greater access to knowledge, social and economic resources and greater
autonomy in the economic decision making process, social equality, personal rights,
change in the sexual division of labor, equal access to food, health care education,
ownership of assets, employment etc. The present paper thrusts on women empow-
erment i.e. the social as well as economic wellbeing of women resulting into the
sustainable development of society.

Keywords Rural women · Empowerment · Autonomy · Patriarchy · Sustainable

development

1 Introduction

Uttarakhand emerged as a 27th state of India on 0th November 2000 leading to the
fulfillment of the long cherished dream of the people who are the residents of this hilly
region with an area of with an area of 53,483 km2 and with a population of more
than one crore (Raj [Link], Director Environmental Science). Dehradun is the
capital of Uttarakhand and the major languages spoken in Dehradun are Garhwali,
Kumauni and Hindi. Rural areas of Uttarakhand are deprived of development of

S. Vohra · K. D. Bahukhandi (B)

UPES, Dehradun, India
e-mail: kanchan@[Link]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 281
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
282 S. Vohra and K. D. Bahukhandi

development and infrastructural facilities and also provide toughest living condition
for the inhabitants of these areas (shodhganga). Women, constituting the weaker
section of the society, are suffering from various problems in every field. The Indian
society is more prejudiced towards the male child in respect of education, nutrition
and other opportunities.
On the other hand women are deprived of development with toughest living condi-
tion. Although there is no denying the fact that women in Uattrakhand state have
made progress in different fields since independence of our country, but they still have
to struggle against many social evils in the patriarchal society, the main reason being
lack of education, ignorance about health and hygiene and absence of self-reliance
[1]. Swami Vivekanda, One of the greatest son of India quoted on women that”
there is no chance for the welfare of the world unless the condition of the women is
improved [2]. Thus “Women Empowerment” has become one of the prime goals for
each and every nation to enhance the socio-economic status of the women. Across
the globe, women empowerment has been burning topic over the last few decades
and various efforts are being made to address this issue and to bring social rights,
economic independence, political rights and judicial rights to the women such that
there is no discrimination between men and women (Dr. Kanikicherla Rani 2019).
It is a multidimensional focus which foresees better access to knowledge, social
and economic resources and greater individuality in the economic decision making
process, social equality, personal rights, change in the sexual division of labor, equal
access to food, health care education, ownership of assets, employment.
A number of studies carried out from time to time to understand the position of
women in rural areas and different strategies have been worked on to improve their
living status [3]. Many programs held for decreasing gender inequalities by improving
the status of the woman, Sidhu and Kaur [4] revealed that entrepreneurship is the only
solution for the growing employment among rural youth. Bisht [5] argued that the
state has to sustain forestry and agriculture for the survival of the people who largely
live in rural and hilly areas. A study by Kar (2007) highlights the importance of
equitable growth focusing on GDP growth and distribution of growth to all sections
of the population and geographical regions of the country [4]. Rana and Masood [6]
mentioned that during the last two decades, Indian women have entered the field
of entrepreneurship in increasing numbers [1]. Kandari and Bahuguna [7], made a
study which showed the impact of patriarchal nature of society in hill rural regions
in the form of lack of participation of females in decision making in family, gender
biasness in education delivery and their low level of living in the family and in the
society [8]. A woman in Uttarakhand is earning Rs. 18.13 per day. This is more than
the per capita income of India. But the potential of Uttarakhand women is still not
being utilized fully. Thus, there is a need to raise the status and standard of women
in Uttarakhand. The study area, Bhauwala is located at a distance of about 19 km
from Dehradun. The population of Bhauwala is about 6500 with male population of
4500 and female population of 2500. The area of the village is about 15 km2 . When
the survey was carried out, it was found that only about 3% of female is only the
workforce.
Women Empowerment and Sustainable Development in Uttarakhand … 283

2 Methodology

Following strategy was adopted to meet the above objectives:

I. Surveying the villages: A basic survey conducted in the identified villages
for women and adolescent girls’ population Dehradun. The survey comprised
of the information related to identify their interest area related to English and
Computer education.
II. Identification and Formation of the groups: Based on survey, we got an
idea about the interested women in the field of education. We form a group
of 10 women and thrice in a week, we offered classes at least for two
hours. Initially we will started with six months—basic course, thereafter exam
conducted and women should further motivated for advance course.
III. Locating the site for camp organization: A central suitable place is identified
for few villages in Bhauwala, Dehradun where the classes can be organized.
IV. Report compilation: After basic course, a report is generated compiling the
observations, common problems and outcome of the course thereafter women
will further motivated and encouraged to join complete course.
According to 2013, UNDP report on Human Development Indicators, all south
Asian Countries except Afghanistan, ranked better for women than India (Human
Development Report 2013). It also highlighted that: an Indian girl child aged 1–
5 years is 75% more likely to die than the boy child is. National Crime Records
Bureau (NCRB) has an even more horrifying statistic to share—every 20 min, a
woman is raped somewhere in India (NCRB 2018). Not only that: crimes against
women have increased by 7.1% nationwide since 2010, and child rape cases have
increased by 336% in the last 10 years.
A woman raped once in every 20 min and 10% of all crimes are reported. Women
form 48% of India’s Population, only 29% of the National workforce, workforce;
and only 26% of women have an access to formal credit [9]. In the Families, which
lives in interior of Uttarakhand T the male members of the family usually migrate to
towns to earn a living for their families. Thus, women in villages become the heads
of the family. Even where the men continue to reside in the villages, the women
and girls look after the agriculture and cattle [10]. Typically, the leftover food is
meagre, considering the families are poor and have little to begin with. This creates
a major problem with malnutrition, especially for pregnant or nursing women. Very
few women seek medical care while during pregnancy because it is thought of as
a temporary condition. This is one main reason why India is maternal and infant
mortality rates are so high. Starting from birth, girls do not receive as much care and
commitment from their parents and society as a boy would receive. For example,
a new baby girl would only be breast fed for a short period, barely supplying her
with the nutrients she needs. This is so that the mother can get pregnant as soon as
possible, in hopes of a son, the next time.
284 S. Vohra and K. D. Bahukhandi

3 The Condition of Hilly Women

Women plays very important role. They are cores of the family. Though the role of
women is very important and crucial in a hill economy, yet they are the invisible
workers and lead a tough life. Women are actively engaged in all the activities right
from the house to the fields. Interaction among women took place during their work
in the field and /or forest, kitchen, during washing clothes etc.
The women face many other problems due to the rigid conduct and behavior
pattern:
Health Problems
Health issues are preponderated because of absence of Knowledge about Dietary
Pattern: Nutrition requirement depends on the age and sex of an individual. Women
have a lack of knowledge about the dietary pattern best suited to different age groups.
They do not know how much food they need to consume during the time of pregnancy
and about the lactation period for women. Lack of knowledge thus also become one
of the cause is a cause of high maternal mortality rate among the women. They suffer
from various health problems such as anemia, weakness and vomiting.
Domination Issues: Gender has been the most statistically important determi-
nant of malnutrition among young children, and malnutrition is a frequent direct
or underlying cause of death among girls below the age of five. It was also found
that women use to eat whatever was left after feeding it to the male members of the
family. Women used to consuming the leftover meals of the day for dinner. Girls were
breast-fed less frequently and for shorter durations during infancy and childhood and
during adulthood, while males were fed first and better.
Communicable Diseases: Communicable diseases occurs due to improper disposal
of waste and working barefoot leads to high instances of hookworm infection in rural
areas. Hookworm infection is directly responsible for a high percentage of anemia
among women.
Lack of Nutritional Education: It was generally found that women have low level
of Nutritional education. Low nutrition education explains results in the poor intake
of vitamin rich food; especially green vegetables among women, even though they
are available in plenty in the Pantnagar nearby area.
Lack of Knowledge of Human Rights.
(a) Child Labor—A considerable amount of girl children are employed in stren-
uous activities. As They are lack unaware awareness about the Child labor Act
and its protectionary measures to prevent it.
(b) Women’s Rights—Women, constituting the weaker section of the society, are
suffering from various problems in every field. Today, the government has initi-
ated various programs related to Anti-dowry and maternal benefits, but women
lack awareness about these laws and rules. The two women who were working
in the Pantnagar field had no men to support them in household activities, and
many women were on the receiving end of various forms of violence from their
male counterparts.
Women Empowerment and Sustainable Development in Uttarakhand … 285

(c) Agriculture Policies—Agriculture, being the backbone of most of the rural

population needs particular attention from both, our planners and purveyors of
knowledge. Government has initiated various policies and laws in Agriculture.
Rural Women and Entrepreneurship the emergence of rural women entrepreneur-
ship and their contribution to the national economy is quit noticeable in India. The
numbers of women entrepreneurs have grown over a period, especially in late twen-
tieth century. Women entrepreneurs need to be lauded for their increased utilization
of modern technology, increased investment, finding a niche in the global market,
creating an extensive employment for others and setting the trend for other women
entrepreneurs in the organized sector. While women entrepreneurs have demon-
strated their potential, the fact remains that they are capable of contributing much
more than what they already are. Therefore, women entrepreneurs are needed to
be studied separately for two more reasons. First, women entrepreneurs have been
recognized during the last decade as an important unexploited source of economic
growth as they creating new jobs for themselves and others and by being different.
They also provide the society with different solutions to management, organization
and business problems as well as to the exploitation of entrepreneurial opportunities.
Secondly, women entrepreneurs have been neglected largely both in society in general
and in the social sciences as well. Not only have women lower participation rates in
entrepreneurship than men but they also generally choose to start and manage firms
in different industries than men tend to do. Hence, women can effectively undertake
both the production and processing oriented enterprises. Entrepreneurship develop-
ment among rural women helps to enhance their personal capabilities and increase
decision-making status in the family and society as a whole. Keeping this perspective
we have initiated some projects in Dehradun villages and applied some strategies to
implement the programs so that we can move it forward on sustainable basis.
Strategies applied during Projects implementation
Four different projects implemented during 12–16th October 2015 to re-emphasizes
commitments towards society. Projects aligned with the policy of women empower-
ment with skill development for sustainable growth. Village Bhauwala was chosen
with the aim to developing it to a model village. Approximately 100 students Volun-
teers participated in the launch of new initiatives over five days. These new initia-
tives would enable women folk of village to supplement earnings of their fami-
lies. The four five project implemented were “Wet Organic Solid waste manage-
ment”, The Technology Enabled Communication Skill Development “Beauty Parlor
Training Project”, “Tailoring skill development project”, “mentoring young children
of primary school”.
The project “Organic solid waste management” was aligned with the prime
minister “Swach Bharat Abhiyan”. Training imparted to the women folk. The Project
aimed at cleaning the surrounding environment of the village Bhauwala by utilizing
the organic wastes (rotten vegetables from the weekly market plus waste foods from
different sources viz., kitchen, shops and small restaurants located in the village)
286 S. Vohra and K. D. Bahukhandi

and to provide sustainable source of livelihood for villagers by generating organic

compost. Two villagers were trained to run the project.
“The Technology Enabled Communication Skill Development” project was
launched on 13 October 2015 in the village. This project were linked to Digital
India, an initiative of Government of India, to connect rural area with the world
of technology. Fifteen women of different age groups from Bhauwala village were
enthusiastically participated in the project. This was six months integrated course,
which was designed to inculcate the application of information technology to enhance
English communication skill, which is vital to develop market linkage for sustain-
able business and to enhance their personality. The training imparted by corporate
professional. The programme is being executed in the village itself and 10 computers
have been donated by UPES for the said training programme. The project aimed to
empower young women with English Communication using basic computer skill by
providing Basics of Grammar, Translation, Vocabulary Development, group discus-
sion, answering ability and to work on MS Office. It was done with the aim that after
the course completion, those women could start with teaching their own children and
can open up coaching centers in the nearby villages, which is the basic requirement
of the developing areas. This project enhanced their overall personality and opened
avenue for them to work in different organization.
“Beauty Parlor Training Project” was launched with the fact that every woman,
irrespective of her social upbringing, wants to look beautiful gave us enough reason
to start the project. In the rural set-ups, the concept of beauty parlors is not yet
come to the surface. Through this project, the women trained as beauticians and
gained livelihood opportunities and it will be an ice breaker for them. This project
was launched on 14 Oct 2015. Through survey, few women from Bhauwala village
identified to be professionally trained to take it as their career. After completion of
the six months, four women opened their parlor at their home and earning a good
income for themselves.
Tailoring skill development project was launched with a concern about Rural
Women in our Project Area who suffer from being both economically and socially
invisible. Economic invisibility stems from the perception that women are not rele-
vant to the wage and self-employment but they have been playing very important
and significant role in the society. There is a need to empower these women by
strengthening their economic security. With the ever expansion /growth of primary
and secondary schools, the need for school uniform is bound to gear up. Thus,
this income generating project of tailoring launched with an aim at equipping the
women of Bhauwala village to take up tailoring as an entrepreneurship. Tailoring
skill development project was launched on 14 Oct 2015. Four women from Bhauwala
village got trained for six months. After completion of income generation training
program me, those women encouraged to open their own tailoring shop and became
an entrepreneur. Few of them employed at factory working for school and two of
them are stitching clothes at home.
Mentoring young children of primary school, the project focused in creative and
stimulating methods, which inspired and equipped students to continue their educa-
tion and to excel. The project was launched on October 17th 2015 and implemented on
Women Empowerment and Sustainable Development in Uttarakhand … 287

every Saturdays by UPES students. These projects aimed to provide “Quality educa-
tion” to the children through interactive session on Mathematics, Science, English
and Basics of Computer to develop communication skills of the children, to improve
quality of learning by supplemental methods, to support the school system to enable
the underprivileged children to cope up with the school work.
We at UPES included various skill-development training programs viz candle,
making fruit jam and vegetable preservation, tailoring, soft toy making, Diya deco-
ration, paper bags making etc. from time to time to empower women in the villages
by helping them to become economically independent, we are conducting various
skill-development training programs.
Education is main concern. Around 45% of adult women are illiterate in India.
There is huge gap in higher education system. Attainment of top leadership is still
hard nut to crack for women. In rural areas, poverty is main cause that leads to
suppression and exploitation. Through paramount concern for the wellbeing of a
woman can provide momentous and empower them for leading happy life. Profes-
sional inequality and house hold inequality is the major cause of suffering among
women fraternity. So through proper concern and by eradicating orthodox pattern
also sharing her household work. Our women can lead beautiful and happy life can
contribute significantly for the growth of our nation.

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Varietal Reaction on the Cultivars
of Cucurbita pepo Against Two Different
Isolates of Pumpkin Mosaic Virus

Shivani Jasrotia and Nirmala Koranga

Abstract Cucurbita pepo is important commercial vegetable crop in cucurbitaceae

family grown globally with various morphological distinct species and commonly
known as field pumpkin. Regardless of this distinction and the crop in request, this
significant agriculture crop is prone to invade by pathogens like viruses, lead to devas-
tation with reduction in crop yield in lower altitudes (valleys) sometime up to 95%
which is chief component in agriculture perspective and the cause is in adequacy of
knowledge about pathogenic infection among farmers and lack of beneficial appli-
cations in culturing. The objective of the present study was to figure out distinct
cultivars of pumpkin showing effect against mosaic isolates (mild and severe). 19
varieties of pumpkin were taken under consideration including local two varieties
to check the susceptibility during year 2019. Out of 19 varieties almost all varieties
exhibit some kind of response against isolates of mosaic virus. Extreme infection was
observed in cultivars. Cultivars Kashi harit, CM-350, Pusa vikas and Pusa vishwas
show resistance in mild isolate and the infection was up to less than 25% while
maximum susceptibility in mild isolates was found in pumpkin partap and other
two local cultivars of pumpkin and the infection was up to more than 70%. In case
of severe isolates none of the cultivar show resistance on the other hand maximum
susceptibility was found in cultivars that shows susceptibility in mild isolate include
Baramasi. Response of different cultivars differ due to variation in environmental
conditions.

Keywords Cucurbita pepo · Pumpkin · Cultivars · Varieties · Isolates · Mosaic ·

Resistance · Susceptibility

S. Jasrotia (B) · N. Koranga

Department of Botany, P.G College, Dehradun, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 289
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
290 S. Jasrotia and N. Koranga

1 Introduction

Cucurbitaceae include diversity of important cash crop well recognized by several

forenames like pumpkin or gourd family spread all over the world that are natural
source of nutrients and contain all the requisites of balance diet. Family cucur-
bitaceae comprises over 119 genra and 825 species that are distributed predomi-
nantly in almost all provinces of the world [1]. Pumpkin (Cucurbita pepo) is one of
the chief vegetable crops growing in India. Majority of its cultivation in India thrives
good in tropical areas with warm and humid environmental conditions. Locally this
crop is known as kaddu. The fruit is edible and fulfill the consumers demand and
a good source of income to the farmers. Pumpkin is a crop of multiple purpose
economically benefits and act as source of food as young tender shoots were used
as sag, the edible fruit is used in making desserts and vegetables seeds are used as
fresh, uncooked or dry fruits and are loaded with minerals, vitamins, phytosterols,
folic acids and other traces that can play a dynamic role in meeting the vegetable
shortage and nutritional problem. On the other hand the remaining plant is used as
and fodder. The major growing states of pumpkin in India are Uttarakhand, Uttar
Pradesh, Andhra Pradesh and Orissa. Pumpkin crop experiences serious damage and
its yield is constrained by biotic pathogens like virus, bacteria, fungi and insects as
well. Pumpkin and other cucurbits are facing problem globally may result in 100%
crop loss [2]. Among viruses CMV is consider as culprit for serious threat to crop
due to extensive host range and is a member of Cucumovirus genus of Bromoviridae
family [3–5]. Many findings have been done on checking the resistant origin through
germplasm monitoring against virus [6]. In addition to pumpkin many other important
agricultural crops are also susceptible to this pathogenic mosaic virus. The objec-
tive of present work addresses the systematic information to screen out the response
on the susceptibility of available commercial pumpkin germplasm on the basis of
symptom expression in Dehradun region. The seed samples for study were collected
from local farmers and agriculture institutes.

2 Material and Methodology

2.1 Study Area

To figure out the provenance of resistance and transmissibility of two different isolates
of virus on pumpkin, a disease monitoring seed bed for trial was settled/formed in
experimental field in D.B.S P.G College Department of Botany Karanpur (Dehradun)
in 2019. Nineteen seeds of pumpkin cultivars used for inoculation were collected from
IARI, G.B Pantnagar university of Agriculture and technology Pantnagar, Nanital and
local farmers were sown in plastic pots of 25 cm height containing moist soil under
natural environment in field nursery. Distance between each two pots was 20 cm under
field condition. The virus isolates were maintained on local two varieties of pumpkin.
Varietal Reaction on the Cultivars of Cucurbita pepo … 291

To keep the crop in good state, the approved convention agricultural application were
applied. With the objective the pumpkin crop were monitor against the two different
isolate of virus on different pumpkin varieties.

2.2 Mechanical Inoculation

The pumpkin plant were mechanically inoculated at cotyledon stage of seedling

or when the plant has two young leaves (seedling germinated after one week). To
make inoculation done, the inoculum of two virus isolate mild and severe were taken
from natural infected pumpkin plant leaves from the studied field area during survey.
Leaves were plucked and crushed in sterilized mortar and sap was expressed by
squeezing the pulp through a piece of muslin cloth. The sap was taken in watch
glass with silicon carbide powder (600 mesh). Inoculation is done by rubbing the
surface of leaves and excess of inoculum is removed by washing with spray of water
to prevent the damage to leaf tissues.

2.3 Screening of Pumpkin Cultivar Against Two Different

Isolate of Mosaic Disease

Nineteen cultivars of pumpkin seedlings were inoculated with mild and severe isolate.
the inoculated plant were kept in a insect proof condition and were kept under obser-
vation until the appearance of symptoms. On emergence of disease symptoms the
infection rate was noted by using given formula.

Disease incidence %
= number of plant infected from disease/total number of plant taken × 100

The showcase of disease transmissibility of two virus isolate in different cultivars

of pumpkin was assessed and classified by following experimental range by Shah
et al. [7].

S. No. Percentage of transmissibility (%) Severity/Immune response

1 0–10 R
2 11–25 MR
3 26–45 MS
4 46–70 S
5 70–100 HS
R resistant; MR moderately resistant; MS moderately susceptible; S susceptible; HS Highly
Susceptible
292 S. Jasrotia and N. Koranga

Lines that show complete resistance are all immune to infection that mean no or
very less symptoms were seen in those lines while other show susceptibility response
against isolate of viral pathogen having variety of symptoms on the surface of leaves
and whole plant body. Symptoms were in the form of reduced number of leaves,
hypertrophy, stunted growth, leaf deformation (Table 1).
From the above experimental observation it is shown that varieties of pumpkin viz.
CM-350, Pusa vikas, Pusa vishwas and kashi harit show high degree of resistance in
mild isolate and the infection was up to 10% while maximum susceptibility in mild
isolate was found in Narendra upkar, Narendra abooshan, partap, Baramasi Sooraj
and two other local varieties (Local I and Local II) and infection was found up to
more than 70%. The symptoms shown by plant were reduced height, small foliage
and less branches. Cultivar Arka chandan show 70% infection with mild isolate and
therefore is susceptible Virus are able to infect susceptible plant only under certain
environmental condition. Host plant tend to reach maximum susceptibility at a certain
stage during their development and to be resistant to others. On the other hand
the plant with severe isolate show symptoms like reduced branches with distorted
leaf lamina, hypertrophy and leaf displaying mosaic patches. None of the cultivars
was shown to be resistance to severe isolate. Cultivar Kashi harit, Azad pumpkin/
Azad kadoo, Swarna amrit, CM- 350, Pusa vikas and Pusa vishwas were moderately
resistance to severe isolate. The infected plant show reduced plant growth. Cultivars
Arka chandan, Narendra agrim and Narendra amrit, Sooraj, Pb Samrat were proved
to be susceptible to severe isolate. The plant show 70% infection. The inoculated
plant developed only a few branches and the leaves show dark green patches with
distorted lamina (Fig. 1).

3 Discussion and Conclusion

Cucurbita pepo is known to infected by several viruses. Some of these infectious

pathogen have wide host range and can cause havoc outside the family cucurbitaceae
while some other have limited host range and can ruin respective cucurbit family.
The present experiment were conducted in research study area to screen and monitor
the 19 pumpkin varietal seeds including local varieties against two different isolates
of cucumber mosaic virus to check the infection. Inoculated plant show response
by the appearance of characteristic symptoms against mild as well as severe isolate.
Generally plants infected by one strain of a virus are immune or highly resistant
to another strain of the same virus. On the basis of these indications screening is
done by checking the immune response (Resistance and susceptibility) of plant and
its percentage transmissibility. In Dehradun no systematic work has been done to
determine the yield loss due to CMV disease on pumpkin crop. Sharma et al. [8]
collected 41 assortments of Cucurbita pepo including squashes and pumpkin that
were screened against pathogenic infection of virus. Post inoculation their variable
responses of susceptibility were recorded. Out of 26 pumpkin lines 7 show response
of highly resistant against CMV. Virus are able to infect susceptible plants only under
Table 1 Susceptibility response of Cucurbita pepo germplasm against two different isolate of Cucumber mosaic virus
Cultivars Mild isolate Severe isolate
No. of seedlings % of infection (%) Category No. of seedlings % of infection (%) Category
Inoculated Infected Inoculated Infected
Kashi harit 20 2 10 R 20 5 25 MR
Azad pumpkin -1 20 8 40 MS 20 7 35 MR
Arka chandan 20 14 70 S 20 14 70 S
Arka suryamukhi 20 8 40 MS 20 8 40 MS
Swarna amrit 20 7 35 MS 20 5 25 MR
Narendra agrim 20 4 20 MR 20 14 70 S
Narendra amrit 20 4 20 MR 20 14 70 S
Narendra abooshan 20 15 75 HS 20 7 35 MS
Narendra upkar 20 15 75 HS 20 7 35 MS
Varietal Reaction on the Cultivars of Cucurbita pepo …

Sooraj 20 16 80 HS 20 14 70 S
Pb Nawab 20 8 40 MS 20 18 40 MS
Pb Samrat 20 8 40 MS 20 12 60 S
Pratap 20 17 85 HS 20 8 40 MS
Local-1 20 18 90 HS 20 20 100 HS
Local-2 20 18 90 HS 20 18 90 HS
CM-350 20 2 10 R 20 6 30 MR
Pusa vikas 20 2 10 R 20 6 30 MR
Pusa vishwas 20 2 10 MR 20 6 30 MR
Baramasi 20 15 75 HS 20 18 90 HS
293
294 S. Jasrotia and N. Koranga

mild isolate % of transmission

severe isolate % of transmission
100%
90%
80%
70%
% of transmission

60%
50%
40%
30%
20%
10%
0%
kashi harit
Azad pumpkin -1
Arka chandan
Arka suryamukhi
Swarna amrit
Narendra agrim
Narendra amrit
Narendra abooshan
Narendra upkar
Sooraj
Pb Nawab
Pb Samrat
Pratap
Local-1
Local-2
CM-350
Pusa vikas
Pusa vishwas
Baramasi
Cultivars

Fig. 1 Relationship between cultivars and their percentage of transmission against two different
isolates of virus

certain environmental condition. Host plant tend to reach maximum susceptibility at

a certain stage during their development and to be resistant at other. It may therefore
possible to manipulate the sowing dates that the crop passes through its susceptible
phase at a time when the virus is either absent or unable to reach the crop because
of unsuitable environmental condition or absence of vectors.

References

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C (eds.) Biology and Utilization of the Cucurbitaceae. Cornell University Press, Ithaca, NY,
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2. Ullman, D.E., Cho, J and Germam, L. (1991) Occurrence and distribution of cucurbit viruses in
the Hawaii island plant disease, 75. (1991) 367–370.
3. Palukaitis, P and Garcia- Arenal, F. Cucumovirus. Advance virus research, 62 (2003b):241–323.
4. Garcia- Arenal, F and Palukaitis, P Cucumber mosaic virus. In: Mahy, B.W. J and van
Regenmortel, M.H.V(Eds.), Encyclopedia of virology. Acadmic press of Elsevier. (2008)
Pp.614–619.
5. James, C. K. NG and Keith L .Perry Transmission of plant viruses by aphid vectors. Molecular
plant pathology.5(5) (2004) pp 505–511.
6. Subodha, J and Polak, J. Preliminary evaluation of squash cultivars for resistance to a Czech
isolate of Zucchini yellow mosaic virus. Eucarpia Meetings on Cucurbit Genetics and Breeding.
(2004) pp 231–5.
7. Shah, H., Yasmin, T., Fahim, M., Hmeed, S., Hague, I.U., Munir, M and K.A. Reaction on
exotic and indigenous capsicum genotype against Pakistani isolates of chili venial mottle virus.
Pakistan journal of botany, Volume 43. (2011) 1707–1711.
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8. Sharma, M., Thakur, P.D., Gupta, D and Thakur, A.K Identification of virus and screening of
summer squash ( Cucurbita pepo) germplasm against viral disease under controlled conditions.
Indian journal of agriculture science. 83(4) 2013 426–430.
9. Andres, T. C. Web site for the plant family Cucurbitaceae & home of The Cucurbit Network.
(2004). [Link]
A New Method for Estimation
of Staircase Evacuation Time in High
Rise Buildings

Suvek Salankar, S. M. Tauseef, and R. K. Sharma

Abstract As cities become more modern and complex, safe building evacuation
within the stipulated time during an emergency is one of the major challenges for
building designers, building occupants and the government. The most important
requirement is to achieve evacuation before tenability is reached, i.e. the RSET
(Required Safe Evacuation time) should be less than the ASET (Available Safe
Evacuation time). Generally, various evacuation components like staircases, evacu-
ation elevators, sky bridges, fire escape chutes, and controlled lowering devices are
available along with evacuation strategies like total evacuation, phased evacuation,
stay in placed evacuation and delayed evacuation. However, total building evacuation
using the staircase is the most accepted, safe and traditional method of evacuation
due to the unexpected behavior of fire and occupants [1–3]. Additionally, to decide
on the geometry of the staircase, it is very important to know the required time to
evacuate the building, so that the evacuation strategy can be decided. The evacuation
time depends on important building parameters like staircase width, the height of the
building and the number of occupants. Studies made by Galbreath [4] and Pauls [5]
have suggested a relationship between the rates of discharge, the flow of occupants,
and occupant density for the calculation of evacuation time. They have suggested
two different relationships for two different flows, i.e. free flow and congested flow
at the stairs. In this paper, one hundred and twenty building models are studied with
different parameters like width of the stairs, occupant load, number of the floors
and area of floor with two main objectives. The first objective is to study the impact
of various building parameters on the overall building evacuation process, and the
second objective is to suggest a single relationship with all parameters considered,
which can be applied to calculate evacuation time and to further decide the width of
the staircase and the maximum allowed occupants load.

S. Salankar (B) · S. M. Tauseef

University of Petroleum and Energy Studies, Dehradun, India
R. K. Sharma
India Glycol, Kashipur, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 297
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
298 S. Salankar et al.

Keywords High-rise building · Evacuation · Evacuation time · RSET · ASET ·

Means of egress · Staircase width · Effective staircase width · Fire simulation

1 Introduction

With the rapid urbanization in developing countries, there has been a massive influx
of people, especially in its metropolitan cities. The scarcity of land demands the
construction of high-rise buildings in these cities, especially in the last few decades.
It is evident that up to the year 2000, there was not a single building of a height above
150 m in India, but today there are over 64 buildings of height above 150 m. A similar
trend is observed globally. Up to year the 2000, there were only 299 buildings above
the height of 150 m, but today there are 2643 buildings across the globe. Also, there
were only 4 buildings above the height of 300 m, but now there are 51 buildings of
height exceeding 300 m globally. This shows a tremendous rise in the number of
such tall buildings [6].
The term high-rise building is also referred to as skyscrapers, tall buildings, super
tall buildings and mega tall buildings. It is also called tower blocks in Britain and
some European countries. But it doesn’t have any internationally agreed definition
[7] and it varies with the standard and understanding as mentioned below,
• Any structure with a height that can have a serious impact on evacuation [8].
• A high-rise structure is one that extends higher than the maximum reach of avail-
able fire-fighting equipment. In absolute numbers, this varies between 75 ft (23 m)
and 100 ft (30 m) or about seven to ten stories (depending on the slab-to-slab
distance between floors) [9].
• Internal building code, Building Construction and Safety Code and NFPA of the
Life Safety Code say ‘75 ft or higher’ measured from the lowest level of access
to fire vehicle to the highest floor [10, 11].
• United States General Laws say buildings higher than 70 ft (21 m) [12].
• As per the National Building Code of India, it is a building with a height of 15 m
and above.
• In India at a local level, it varies with respective development control rules.
• Apart from “high-rise building”, there are a few more similar terminologies. As
per Council on Tall Buildings and Urban Habitat (CTBUH) [6], tall buildings are
buildings with a height of 50 m or above, super tall buildings are buildings with
a height of 300 m or above and Mega tall buildings are buildings with a height of
600 m or above.
Although such high-rise buildings have a smaller footprint than the equivalent
low-rise buildings, there are a few challenges in such buildings, from a fire safety
perspective, such as long evacuation time, fire department inaccessibility and rapid
spread of fire due to the stack effect may be far away from the origin of fire
A New Method for Estimation of Staircase Evacuation Time … 299

[13]. As high-rise buildings facilitate high occupancy per unit land area, evacua-
tion becomes one of the main concerns for the building designers, occupants as well
as the authorities during an emergency.
Various studies are available on the evacuation characteristics of a high-rise
building [14]. It is observed that two factors affect the evacuation characteristics [15],
i.e. flow capacity and human behavior. Flow capacity relates to building components
such as doorway and stairs, which may form a bottleneck depending on its capacity
and occupant load. This is because the occupant flow rates at such locations are influ-
enced by the building geometry characteristics [16] and accordingly the evacuation
varies. It has been observed that the relationship between the doorway width and the
corresponding achievable flow capacity is not linear but influenced also by its design
[17, 18]. Human behaviors include mainly the response and motion characteristics
of the evacuees. It also plays an important role in the evacuation process as different
people react differently during the evacuation [19]. When the situation threatens their
lives, people move swiftly to escape while ignoring polite social norms. However,
when the situation is not so bad, the motion characteristics during the evacuation
process are very similar to the normal situation [20].
For deciding safe evacuation, there is a well-known and widely used concept
of Available Safe Evacuation Time (ASET) and Required Safe Evacuation Time
(RSET) which is also used to design the means of egress. The concept of ASET
was derived in 1882 by Cooper and Stroup [21]. It provides a good estimate of the
time when conditions become untenable due to a fire and occupants must be able
to escape before ASET is achieved i.e. RSET < ASET. Cooper did not provide any
assistance in the determination of RSET. This was subsequently explained by Sime
[22] by adding a coping phase, which is now widely referred to as pre-movement
time i.e. time required before actual evacuation starts. So, RSET is the time that
needs to evacuate people to a place of safety, including detection time, preparation
time and evacuation movement time. RSET is affected by various factors [23] such
as the means of escape, the effective width of the staircase, occupant load, speed of
occupants, etc. These elements are discussed in detail in this paper and an attempt
is made to find out a relationship amongst these elements to estimate the building
evacuation time.

2 Evacuation

The basic principle of evacuation is to evacuate all the affected people from any part
of the occupancy to an area of safety in a stipulated time through the safe evacuation
route. This route ideally should be the same as the path of flow on the daily route. It
should be always ready for evacuation, continuous with one or more exits, resistant
to fire and smoke, with sufficient capacity, without any obstructions and suitable for
all types of occupants.
Available evacuation time depends on tenability factors such as smoke, heat and
radiation. The evacuation should be completed before the tenability limit is reached.
300 S. Salankar et al.

Fig. 1 A time line comparison of the available safe time (ASET) and required Safe egress time
(RSET)

So, if we consider smoke as a tenability criteria, the evacuation needs to be completed

before the smoke descends to a height at which it obstructs the movement of the
people.
Fire evacuations are typically studied in terms of two main components as
mentioned by Guylène and Proulx [24], the time delay before moving towards an
exit commences which is referred to as pre-movement time and the actual time taken
to travel to a place of safety which is referred to as movement time. The universal
criteria of a safe fire evacuation timeline are demonstrated in detail in Fig. 1.
RSET is the time required to evacuate to a safe area after the start of a fire. It
includes [25]:
(a) Recognition time: The time from fire ignition to detection and from detection
to a notification to occupants about a fire emergency,
(b) Pre-movement time: The time from notification until occupants decide to take
an action and
(c) The time from decision to take an action until evacuation commences and
finally
(d) Movement time: The time from the start of evacuation to its completion.
(e) Recognition time: A warning signal is generated after activation of a fire
detector due to the release of smoke or thermal radiation during fire. The detec-
tion requires few seconds to a few hours, depending on the type of fire, location
and availability of detection devices. In some cases, people themselves realize
the occurrence of fire. This period is called recognition time, which depends on
the type and layout of the detection system, the scale of the fire and its growth
rate. Detection may take place either by devices or by human beings. In some
cases, there may be a time delay between detection and alarm activation. For
example, in the case of manual activation of manual call points, the fire alarm
may not be activated due to some reason or is not available, where occupants
eventually perceive some cues from the fire or receive a warning by others.
(f) Pre-movement time: It is also referred to as a delay time. Occupants take some
time to initiate their evacuation movement once they perceive some cues of the
A New Method for Estimation of Staircase Evacuation Time … 301

fire. It comprises three subcomponents: perception, interpretation and action.

Perception is the time taken by the occupants to perceive the fire alarm signal
once they hear it. It could also be a fire cue or warning received from other
occupants. Interpretation of this information may vary and people will take
decisions accordingly for evacuation. Once the decision to evacuate is made,
occupants will engage in other actions before leaving, such as informing others,
getting properly dressed, gathering children, finding valuables, etc. The pre-
movement time in an evacuation is closely related to their psychological state,
age, behavior characteristics and level of familiarity with the buildings and
sensitivity to react. All these factors are very dynamic and hence are very
difficult to estimate accurately [26]. Observations in real emergencies and
fire drills have shown that individual behaviour in the pre-movement phase is
responsible for substantial delays in the evacuation times [27]. It was observed
that, in unannounced fire drills for the large retail stores, the pre-movement time
contributed 30–50% of the total evacuation time [28]. There are several causes
of pre-movement delays in evacuations which include difficulties in hearing
fire alarms, attempts to get more information and other preparatory actions like
collecting personal belongings, putting on warm clothes or waiting for others
[29]. It is observed that pre-evacuation time is 2 min 49 s for good audible
alarm and may increase up to 5 min 19 s in winter season as it requires some
additional preparation like putting on warm clothing. For the buildings, where
the alarm is not loud enough, occupants took as long as 25 min to start as
mentioned by Proulx [30]. Brennan [31] studied this factor through reports of
fire victims. She used the case of a high-rise office building fire that started in
a stack of polyurethane chairs stored on the third floor of a 14-story building.
From the interviews, it was estimated that the meantime to start the evacuation
was approximately 2 min 30 s.
(g) Movement time: The movement time is the time required for all the evacuees
to evacuate to an area of safety from their position. This period depends on the
evacuation parameters such as people density, evacuation distance, the effective
width of the staircase and specific flow [26]. Movement time is calculated from
the flow time through various elements of the egress system and the travel time
to move along an egress route. The evacuation time is calculated from the
time of alarm signal activation until the last occupant to evacuate has reached
the area of safety. The tenability limit is the time when the fire products like
narcotic gases, irritant gases, heat, smoke, toxic gases, etc. affect the health of
occupants. So, the evacuation time should be less than the tenability limit and
ideally, it should be half [24].

3 Means of Egress

A means of egress is an important parameter for safe evacuation with the basic
purpose of getting all the occupants quickly out of a building in a safe manner during
302 S. Salankar et al.

a fire emergency. It is a continuous and unobstructed path of vertical and hori-

zontal egress travel from any portion of a building to an area of safety. It consists
of three parts: the exit access, exit, and exit discharge [32]. Exit access is the path
from any location within a building to the start of an exit e.g. aisle access ways,
aisles, exit access doorways, corridors & exterior egress balconies. The exit is an
unobstructed part between exit access and exit discharge. In a high-rise building, a
stairway along with vertical exit enclosures, exit passageways, horizontal exits and
exterior exit stairways/ramps are types of exit.
The exit may be horizontal or vertical. A horizontal exit is an exit that allows
occupants to egress from one side of a building to another side through a fire-rated
assembly such as a fire wall or fire barrier. Here, once occupants pass through a
horizontal exit, they must still have a pathway to another exit that leads to an exit
discharge or public way [10]. Exit discharge is the path from the end of the exit to
the public way or assembly area. This area is a place that is permanent and dedicated
for occupants’ use and considered to be safe [32].
There are few egress components like evacuation elevators, platform rescue
devices, escape chutes, controlled lowering devices, etc., but all these components
have their limitations and disadvantages [2]. So, in this paper, we have considered
only the staircase as an exit being the safest and conventional method of evacuation
[3].
The staircase requirement is considered mainly on two parameters. One is the
width of the staircase and the other is the number of staircases. It varies as per the
type of occupancy, its area and height of the building. Following are some of the
studies/codes available for the requirement of the staircase,
1. As per the National Building code of India-2016, it is based on the occupant
load, width required per person and travel distance with a minimum of two
staircases for high rise and special buildings [32].
2. NFPA 5000 / NFPA 101 considers the minimum width of the staircase and
the numbers based on total occupants load [10].
3. British Building regulations (Document B) consider occupant load and travel
distance for the number of staircases and number of people and number of
stories served for the width of the staircase [33].
4. Her Majesty’s Stationery Office, fire grading of building, appendix II consider
the exit time from the floor, the time required to fill staircase, rate of flow and
width of the staircase in a Unit for the total population [34].
5. Galbreath [4] suggested the total time for evacuation of the entire building
depends on the number of people above 1st floor, persons per floor, or the number
of people who can stand on stairs/area of stairs divided by 0.3 m2 /person
(whichever is less), rate of discharge and number of unit widths.
6. Jake Pauls [5] suggested two evacuation times, one for population less than 800
and another for more than 800 based on actual evacuation population per meter
of effective stair width.
7. Melinek and Booth suggested total evacuation time for two cases i.e. during
congestions and a free walk based on number of floors, number of people per
A New Method for Estimation of Staircase Evacuation Time … 303

floor, occupant flow on stairs (person m−1 s−1 ), Effective width of stairs (m)
and walking time between adjacent floors [5].

4 Walking Speed of Occupants

An unimpeded walking speed, i.e. the speed at which all the occupants travel across
open floor space without causing any obstruction, is an important factor in the evac-
uation process especially for the travel from any part of the building to exit access.
It is directly related to travel distance during an emergency.
A wide range of travel speeds has been reported [35], depending on associated
factors such as individual differences, density in the area, sex and environmental
conditions. Occupants can move quickly at a normal pace if there is a great space
between them. But the closer they are, the more constrained is the movement. There
are various studies conducted to estimate the walking speed of occupants.
Nelson and Frederick [24] suggested a walking speed of a mean of 1.19 m/s with
a standard deviation of 0.3 m/s. The speed also depends on the population density
i.e. number of persons per unit area. It was suggested that the average unrestricted
walking speed varies from 1.2 to 1.25 m/s if the density is less than 0.54 people/m2 .
But the speed decreases drastically with the increase in density and reaches a standstill
when the density reaches 4 or 5 people/m2 , equivalent to a crowded elevator [5, 36].
Wahyu [37], in his experiment, observed that, in horizontal evacuation, the normal
walking speed is 1.1 m/s, for a fast walk, the speed is 1.5 m/s and for half running,
the speed is 2.1 m/s. Same for vertical evacuation is 0.7 m/s, 0.8 m/s and 2.2 m/s,
respectively. In this study, a pathfinder evacuation model is used. It’s default setting
of occupant’s speed is 1.19 m/s [38].
When people start moving towards the exit and when they noticed the blocked
exit area by the other people, they reduce their speed to keep a comfortable distance
amongst themselves [39, 40] and finally, they stop at one place due to lack of space
to move further [35]. They wait in the queue until there is room for them to move
forward. Their speed and waiting time depends on the density of the people and
the width of the staircase. The person can move freely in lanes having the width of
about 22 inches. measured at shoulder height referred to as unit exit width [36].
The speed does not depend only on an engineering approach, but it also depends
on behavioural and physiological factors [41]. NIST [42] has estimated that 6% of
occupants evacuated during World Trade Centre towers on 11th September 2001
were having mobility impairment that hindered the evacuation process.

5 Unit Exit Width

For evacuation, the exit width is not measured always in meters/feet, but it is measured
in the unit of the width occupied by one person. The traditional unit exit width is
304 S. Salankar et al.

560 mm (22 inches), a lane width [36]. This concept originated in the early part of
the twentieth century in the US. In the US army, 22 inches were taken as the width of
a file of people in motion. A stairway width of 44 inches permits two files of people
to move freely down the stairs simultaneously.
The concept of unit exit width is also important from cost perspective as widening
staircase width in meters/feet may involve additional expense without getting the
expected safety. For example, 44 inches staircase comfortably accommodates two
files of people and if we add 4 inches to make a 4 ft staircase, it will not increase
its capacity but will only add expenses. However, it has been seen that adding 12
inches to a 44 inches staircase does increase the flow of people by permitting an
intermediate staggered file [43]. The default setting of the occupant’s shoulder width
is 45.58 cm. In the pathfinder egress model [38] which is based on the average of
measurements taken of 68 male and female persons from nine countries. The same
is refereed by G. Keith Still in his Ph.D. thesis [44].

6 Effective Width of Staircase

The effective width of the staircase is the usable width of a staircase of a building.
Often, a certain portion is subtracted from each side of the staircase width to accom-
modate body sway during evacuation movement or small intrusion into the pathway
such as handrails. It does not include the relatively unused area of a stair where
people keep some distance like walls and central handrails. The reason is that the
occupants try to take their bodies away from these places. The mean flow is directly
proportional to the effective stair width. Paul [45] suggested that 150 mm should be
deducted from a wall (more for rough surfaces) and 90 mm from the centerline of a
handrail.
Pauls [5] suggested that a stair’s effective width is 300 mm (12 inches) less than
its nominal width. For example, nominal width of 1,120 mm (44 inches) equates to
an effective width of 812 mm (32 inches). This means we should reduce 300 mm
from the designed width of a staircase to get the respective effective width.

7 Egress Models

To address the challenging issue of fire safety of high rise buildings, the fire safety
codes have been changed from prescriptive-based towards performance-based over
the last few decades [46]. This is facilitated by various computer models. These
models are, normally, categorized into fire models, detector response models, fire
endurance models, egress models and miscellaneous models [47] and all these models
have been playing an important role to address best possible fire safety issues. Egress
models have been used for estimating the RSET, and other egress parameters like
the speed of occupants, their behaviors etc.
A New Method for Estimation of Staircase Evacuation Time … 305

In this study, we are using the pathfinder simulation model, an agent-based egress
simulator that is designed to meet the practical need to study complex buildings. It
takes advantage of advances in agent-based approaches to movement modeling that
make it possible to capture the more complex behavior and interactions between the
occupants. In addition, it also provides tools that make it easy for modelers to create
simulation input from existing data and view results using high quality visualization
techniques [48].
We are using the default setting of occupant’s shoulder width of 45.58 cm. and
walking speed of 1.19 m/s is as it is in line with other studies as discussed earlier. Eight
steps are considered between landing and mid landing with 17.78 cm of riser and
27.94 cm of tread, which is well within all the National and International standards.

8 Assumptions Made

In the case of a high-rise building, fire is a very complicated scenario with the release
of hazardous combustion products like carbon monoxide, carbon dioxide, smoke
and heat radiation. This depends on the properties of fuel and available ventilation.
Apart from the general complexity of the building, some behavioral factors affect the
evacuation process. These factors are very dynamic and vary from person to person
depending on the individual’s capability, experience, physical health and culture. So,
we are considering the following assumptions in this study.
1. Only travel time required for building evacuation is considered from exit access
to the last part of the exit.
2. All occupants start their evacuation at the same time once they hear the alarm.
3. All occupants are physically fit and there are no mobility-impaired occupants
in the building.
4. There may be more than one exit, but each exit will be used by the equal
number of occupants available on the floor. We have kept only one exit for the
study purpose.
5. Emergency service people will not use the same staircase during evacuation
to avoid the reverse flow.
6. Evacuation time of the last evacuated person is considered as building
evacuation time.
7. The width of the staircase landing and mid-landing is the same as that of
the width of the staircase.
8. National Building code of India suggests a ceiling height from 2.75 m to 3.6 m
as per the type of occupancies. For business occupancy, it is normally 3.6 m.
So, the same height has been considered.
9. Although the refuge area is available on the upper floors and the occupant load
is slightly less on these floors compared to other floors, we have considered
an equal number of occupants on every floor considering visitors’ movement.
306 S. Salankar et al.

10. Various codes are available for deciding the width of the exit door. The National
Building Code of India mentions 100 cm, NFPA 101 mentions 81 cm, few local
codes [49] mentions 100 cm. In this study, we have considered the width of
the staircase door to be 100 cm.
11. Basements are not considered in the study as it is not meant for occupancy and
it will not affect the overall evacuation process.

9 Simulation Details

The objective of this study is to develop a new and simple mathematical model
to determine evacuation time during building evacuation by considering basic
parameters like the width of the staircase, occupant load and the number of floors.
We have considered one hundred and twenty model building simulations with
different combinations of building parameters like floor area ranging from 400 to
600 m2 , floors from 6 to 51 floors, including the ground floor, a staircase width of
1.5 and 2.0 m with the same landing and mid landing width, maximum occupant
load of 10 m2 /person. Only buildings above 5 stories are considered being high-rise
buildings as per the National Building Code of India. The width of the staircase and
occupant load is as per national and international codes [10, 11, 32].
We are also considering less occupant load than the maximum allowed load for
study purposes. The ceiling height is considered as 3.6 m required for the business
occupancy.
Details of model buildings are mentioned in Table 1.
The Pathfinder evacuation model is applied to each of the building models for
evacuation time and the results are mentioned in Table 2.
Screen shot of pathfinder model is shown in Fig. 2,
Following are the important conclusions from table 2,
1. Evacuation time of the building increases with an increase in the number of
floors and number of occupants.
2. Evacuation time is more for a staircase with a width of 1.5 m as compared to
the staircase with a width of 2 m.
3. Evacuation time for 51 storied building with 40 occupants per floor of 400
sq. meters from 1.5 m width of the staircase is 1577.55 s (Sr. No.51), similar
evacuation for 500 m2 is 1579.73 s (Sr. No. 41) and for 600 m2 is 1583.38 s (Sr.
No. 21). Similarly, reading for 2 m of staircase width, it is 1223.78 s, 1229.25 s
& 1226.93 s respectively (Sr. no. 111, 101 and 81). With these results, it can
be concluded that with the change in floor area, there is very little variation in
evacuation time and even in a few instances it is slightly less when floor area is
more. The reason may be, in the case of a bigger floor area, occupants are taking
more time to reach the merging area of the staircase by when the congestion
may get clear to some extent.
A New Method for Estimation of Staircase Evacuation Time … 307

Table 1 Details of the evacuation model buildings

Sr. No. Floor area No. of Occupant Sr. No. Floor area No. of Occupant
(m2 ) floors load per (m2 ) floors load per
exit exit
Staircase width = 1.5 m; Effective width = Staircase width = 1.5 m; Effective width =
1.2 m 1.2 m
1 600 51 60 31 500 51 50
2 600 46 60 32 500 46 50
3 600 41 60 33 500 41 50
4 600 36 60 34 500 36 50
5 600 31 60 35 500 31 50
6 600 26 60 36 500 26 50
7 600 21 60 37 500 21 50
8 600 16 60 38 500 16 50
9 600 11 60 39 500 11 50
10 600 6 60 40 500 6 50
11 600 51 50 41 500 51 40
12 600 46 50 42 500 46 40
13 600 41 50 43 500 41 40
14 600 36 50 44 500 36 40
15 600 31 50 45 500 31 40
16 600 26 50 46 500 26 40
17 600 21 50 47 500 21 40
18 600 16 50 48 500 16 40
19 600 11 50 49 500 11 40
20 600 6 50 50 500 6 40
21 600 51 40 51 400 51 40
22 600 46 40 52 400 46 40
23 600 41 40 53 400 41 40
24 600 36 40 54 400 36 40
25 600 31 40 55 400 31 40
26 600 26 40 56 400 26 40
27 600 21 40 57 400 21 40
28 600 16 40 58 400 16 40
29 600 11 40 59 400 11 40
30 600 6 40 60 400 6 40
Staircase width = 2.0 m; Effective width = Staircase width = 2.0 m; Effective width =
1.7 m 1.7 m
61 600 51 60 91 500 51 50
(continued)
308 S. Salankar et al.

Table 1 (continued)
Sr. No. Floor area No. of Occupant Sr. No. Floor area No. of Occupant
(m2 ) floors load per (m2 ) floors load per
exit exit
62 600 46 60 92 500 46 50
63 600 41 60 93 500 41 50
64 600 36 60 94 500 36 50
65 600 31 60 95 500 31 50
66 600 26 60 96 500 26 50
67 600 21 60 97 500 21 50
68 600 16 60 98 500 16 50
69 600 11 60 99 500 11 50
70 600 6 60 100 500 6 50
71 600 51 50 101 500 51 40
72 600 46 50 102 500 46 40
73 600 41 50 103 500 41 40
74 600 36 50 104 500 36 40
75 600 31 50 105 500 31 40
76 600 26 50 106 500 26 40
77 600 21 50 107 500 21 40
78 600 16 50 108 500 16 40
79 600 11 50 109 500 11 40
80 600 6 50 110 500 6 40
81 600 51 40 111 400 51 40
82 600 46 40 112 400 46 40
83 600 41 40 113 400 41 40
84 600 36 40 114 400 36 40
85 600 31 40 115 400 31 40
86 600 26 40 116 400 26 40
87 600 21 40 117 400 21 40
88 600 16 40 118 400 16 40
89 600 11 40 119 400 11 40
90 600 6 40 120 400 6 40

Apart from the above conclusions, all the results are well studied for their inter-
relation between evacuation time, the number of floors, the effective width of the
staircase, travel distance in the staircase and number of occupants.
As shown in Fig. 3, the travel distance in the staircase is twice the sum of the total
length of the steps from landing to mid landing i.e. B which is 3.08 m and travel
distance on the landing and mid landing i.e. C which will be half of the circumference,
Table 2 Evacuation time from each building model
Sr. No. Floor area No. of Occupant Effective Evacuation Sr. No. Floor area No. of Occupant Effective Evacuation
(m2 ) floors load per width (m) time (s) (m2 ) floors load per width (m) Time
exit exit (Seconds)
Staircase width = 1.5 m Staircase width = 2.0 m
1 600 51 60 1.2 2361.98 61 600 51 60 1.7 1822.55
2 600 46 60 1.2 2137.55 62 600 46 60 1.7 1649.40
3 600 41 60 1.2 1892.30 63 600 41 60 1.7 1468.98
4 600 36 60 1.2 1668.35 64 600 36 60 1.7 1284.63
5 600 31 60 1.2 1433.48 65 600 31 60 1.7 1103.00
6 600 26 60 1.2 1199.50 66 600 26 60 1.7 925.23
7 600 21 60 1.2 967.60 67 600 21 60 1.7 750.13
8 600 16 60 1.2 728.18 68 600 16 60 1.7 565.45
9 600 11 60 1.2 495.78 69 600 11 60 1.7 388.53
10 600 6 60 1.2 263.40 70 600 6 60 1.7 210.43
11 600 51 50 1.2 1982.70 71 600 51 50 1.7 1526.93
A New Method for Estimation of Staircase Evacuation Time …

12 600 46 50 1.2 1781.18 72 600 46 50 1.7 1374.80

13 600 41 50 1.2 1589.13 73 600 41 50 1.7 1226.40
14 600 36 50 1.2 1392.20 74 600 36 50 1.7 1076.50
15 600 31 50 1.2 1191.85 75 600 31 50 1.7 929.08
16 600 26 50 1.2 1000.53 76 600 26 50 1.7 775.90
17 600 21 50 1.2 802.53 77 600 21 50 1.7 626.20
18 600 16 50 1.2 616.93 78 600 16 50 1.7 477.70
19 600 11 50 1.2 417.90 79 600 11 50 1.7 329.80
(continued)
309
Table 2 (continued)
310

Sr. No. Floor area No. of Occupant Effective Evacuation Sr. No. Floor area No. of Occupant Effective Evacuation
(m2 ) floors load per width (m) time (s) (m2 ) floors load per width (m) Time
exit exit (Seconds)
20 600 6 50 1.2 225.00 80 600 6 50 1.7 179.90
21 600 51 40 1.2 1583.38 81 600 51 40 1.7 1226.93
22 600 46 40 1.2 1428.50 82 600 46 40 1.7 1111.13
23 600 41 40 1.2 1283.20 83 600 41 40 1.7 989.70
24 600 36 40 1.2 1118.60 84 600 36 40 1.7 868.08
25 600 31 40 1.2 967.13 85 600 31 40 1.7 747.40
26 600 26 40 1.2 812.50 86 600 26 40 1.7 629.80
27 600 21 40 1.2 654.03 87 600 21 40 1.7 509.93
28 600 16 40 1.2 493.70 88 600 16 40 1.7 386.05
29 600 11 40 1.2 342.30 89 600 11 40 1.7 271.43
30 600 6 40 1.2 184.25 90 600 6 40 1.7 149.40
31 500 51 50 1.2 1991.08 91 500 51 50 1.7 1518.98
32 500 46 50 1.2 1780.00 92 500 46 50 1.7 1365.95
33 500 41 50 1.2 1587.28 93 500 41 50 1.7 1228.65
34 500 36 50 1.2 1392.78 94 500 36 50 1.7 1077.18
35 500 31 50 1.2 1198.85 95 500 31 50 1.7 928.50
36 500 26 50 1.2 1000.50 96 500 26 50 1.7 773.25
37 500 21 50 1.2 811.13 97 500 21 50 1.7 629.80
38 500 16 50 1.2 610.13 98 500 16 50 1.7 479.80
39 500 11 50 1.2 417.40 99 500 11 50 1.7 329.28
(continued)
S. Salankar et al.
Table 2 (continued)
Sr. No. Floor area No. of Occupant Effective Evacuation Sr. No. Floor area No. of Occupant Effective Evacuation
(m2 ) floors load per width (m) time (s) (m2 ) floors load per width (m) Time
exit exit (Seconds)
40 500 6 50 1.2 219.63 100 500 6 50 1.7 177.03
41 500 51 40 1.2 1579.73 101 500 51 40 1.7 1229.25
42 500 46 40 1.2 1432.98 102 500 46 40 1.7 1109.53
43 500 41 40 1.2 1273.00 103 500 41 40 1.7 985.68
44 500 36 40 1.2 1120.55 104 500 36 40 1.7 872.80
45 500 31 40 1.2 956.00 105 500 31 40 1.7 750.33
46 500 26 40 1.2 802.90 106 500 26 40 1.7 629.65
47 500 21 40 1.2 647.30 107 500 21 40 1.7 510.83
48 500 16 40 1.2 493.40 108 500 16 40 1.7 388.40
49 500 11 40 1.2 337.05 109 500 11 40 1.7 272.28
50 500 6 40 1.2 184.73 110 500 6 40 1.7 150.08
51 400 51 40 1.2 1577.55 111 400 51 40 1.7 1223.78
A New Method for Estimation of Staircase Evacuation Time …

52 400 46 40 1.2 1423.20 112 400 46 40 1.7 1106.63

53 400 41 40 1.2 1270.90 113 400 41 40 1.7 983.65
54 400 36 40 1.2 1118.20 114 400 36 40 1.7 862.88
55 400 31 40 1.2 960.13 115 400 31 40 1.7 747.25
56 400 26 40 1.2 805.13 116 400 26 40 1.7 628.00
57 400 21 40 1.2 651.20 117 400 21 40 1.7 507.78
58 400 16 40 1.2 503.13 118 400 16 40 1.7 388.53
59 400 11 40 1.2 340.90 119 400 11 40 1.7 270.33
(continued)
311
Table 2 (continued)
312

Sr. No. Floor area No. of Occupant Effective Evacuation Sr. No. Floor area No. of Occupant Effective Evacuation
(m2 ) floors load per width (m) time (s) (m2 ) floors load per width (m) Time
exit exit (Seconds)
60 400 6 40 1.2 182.15 120 400 6 40 1.7 149.65
S. Salankar et al.
A New Method for Estimation of Staircase Evacuation Time … 313

Fig. 2 Pathfinder evacuation model

Fig. 3 Staircase details

Here, circumference = πD, D is 1.5 m and 2.0 m.

For 1.5 m staircase width,

πD 3.14 × 1.5
C= i.e = 2.35 m.
2 2
314 S. Salankar et al.

So total travel distance in the staircase will be,

2.35 × 2 + 3.08 × 2 = 10.86 m

For 2.0 m staircase width,

πD 3.14 × 2
C= i.e = 3.14 m.
2 2
So total travel distance in the staircase will be, 3.14 × 2 + 3.08 × 2 = 12.44 m.
Value of B i.e. 3.08 m can be directly obtained from the pathfinder study and also
by using the Pythagoras theorem with the total run of the staircase is 2.5 m and the
height difference between landing and mid landing is 1.8 m.
When we study all the above parameters with different combinations, a relation-
ship is obtained with a constant which we can be termed as evacuation factor (α).
The relationship is,

t ×w
α= (1)
n×o×d

where,
t Maximum time of evacuation from exit access to the end of exit (seconds)
w Effective width of staircase(meters)
n Number of floors in a building
o Number of occupants per floor per exit
d Travel distance in the staircase between two floors (meters).
Applying above mentioned mathematical model, we get an evacuation factor as
mentioned in Table 3.
The mean (α) is 0.0836 for the sample of 120 models with standard deviation of
0.001834.
We can rearrange equation no. 1 to get a mathematical model for evacuation time,

α×o×n×d
t=
w
i.e.
0.0836 × o × n × d
t= (2)
w
Equation 2 can be used as a mathematical model to find out evacuation time. This
excludes the pre evacuation time required for high-rise buildings.
A New Method for Estimation of Staircase Evacuation Time … 315

Table 3 Results after applying above proposed relationship

Sr. No. Floor area No. of floors Occupant Effective Evacuation Evacuation
(m2 ) load per exit width (m) time (s) factor
Staircase width = 1.5 m
1 600 51 60 1.2 2361.98 0.0853
2 600 46 60 1.2 2137.55 0.0856
3 600 41 60 1.2 1892.30 0.0850
4 600 36 60 1.2 1668.35 0.0853
5 600 31 60 1.2 1433.48 0.0852
6 600 26 60 1.2 1199.50 0.0850
7 600 21 60 1.2 967.60 0.0849
8 600 16 60 1.2 728.18 0.0838
9 600 11 60 1.2 495.78 0.0830
10 600 6 60 1.2 263.40 0.0808
11 600 51 50 1.2 1982.70 0.0859
12 600 46 50 1.2 1781.18 0.0856
13 600 41 50 1.2 1589.13 0.0857
14 600 36 50 1.2 1392.20 0.0855
15 600 31 50 1.2 1191.85 0.0850
16 600 26 50 1.2 1000.53 0.0850
17 600 21 50 1.2 802.53 0.0845
18 600 16 50 1.2 616.93 0.0852
19 600 11 50 1.2 417.90 0.0840
20 600 6 50 1.2 225.00 0.0829
21 600 51 40 1.2 1583.38 0.0858
22 600 46 40 1.2 1428.50 0.0858
23 600 41 40 1.2 1283.20 0.0865
24 600 36 40 1.2 1118.60 0.0858
25 600 31 40 1.2 967.13 0.0862
26 600 26 40 1.2 812.50 0.0863
27 600 21 40 1.2 654.03 0.0860
28 600 16 40 1.2 493.70 0.0852
29 600 11 40 1.2 342.30 0.0860
30 600 6 40 1.2 184.25 0.0848
31 500 51 50 1.2 1991.08 0.0863
32 500 46 50 1.2 1780.00 0.0855
33 500 41 50 1.2 1587.28 0.0856
34 500 36 50 1.2 1392.78 0.0855
(continued)
316 S. Salankar et al.

Table 3 (continued)
Sr. No. Floor area No. of floors Occupant Effective Evacuation Evacuation
(m2 ) load per exit width (m) time (s) factor
35 500 31 50 1.2 1198.85 0.0855
36 500 26 50 1.2 1000.50 0.0850
37 500 21 50 1.2 811.13 0.0854
38 500 16 50 1.2 610.13 0.0843
39 500 11 50 1.2 417.40 0.0839
40 500 6 50 1.2 219.63 0.0809
41 500 51 40 1.2 1579.73 0.0856
42 500 46 40 1.2 1432.98 0.0861
43 500 41 40 1.2 1273.00 0.0858
44 500 36 40 1.2 1120.55 0.0860
45 500 31 40 1.2 956.00 0.0852
46 500 26 40 1.2 802.90 0.0853
47 500 21 40 1.2 647.30 0.0851
48 500 16 40 1.2 493.40 0.0852
49 500 11 40 1.2 337.05 0.0846
50 500 6 40 1.2 184.73 0.0850
51 400 51 40 1.2 1577.55 0.0854
52 400 46 40 1.2 1423.20 0.0855
53 400 41 40 1.2 1270.90 0.0856
54 400 36 40 1.2 1118.20 0.0858
55 400 31 40 1.2 960.13 0.0856
56 400 26 40 1.2 805.13 0.0855
57 400 21 40 1.2 651.20 0.0857
58 400 16 40 1.2 503.13 0.0869
59 400 11 40 1.2 340.90 0.0856
60 400 6 40 1.2 182.15 0.0839
Staircase width = 2.0 m
61 600 51 60 1.7 1822.55 0.0814
62 600 46 60 1.7 1649.40 0.0817
63 600 41 60 1.7 1468.98 0.0816
64 600 36 60 1.7 1284.63 0.0813
65 600 31 60 1.7 1103.00 0.0810
66 600 26 60 1.7 925.23 0.0810
67 600 21 60 1.7 750.13 0.0814
68 600 16 60 1.7 565.45 0.0805
(continued)
A New Method for Estimation of Staircase Evacuation Time … 317

Table 3 (continued)
Sr. No. Floor area No. of floors Occupant Effective Evacuation Evacuation
(m2 ) load per exit width (m) time (s) factor
69 600 11 60 1.7 388.53 0.0804
70 600 6 60 1.7 210.43 0.0799
71 600 51 50 1.7 1526.93 0.0818
72 600 46 50 1.7 1374.80 0.0817
73 600 41 50 1.7 1226.40 0.0818
74 600 36 50 1.7 1076.50 0.0817
75 600 31 50 1.7 929.08 0.0819
76 600 26 50 1.7 775.90 0.0816
77 600 21 50 1.7 626.20 0.0815
78 600 16 50 1.7 477.70 0.0816
79 600 11 50 1.7 329.80 0.0819
80 600 6 50 1.7 179.90 0.0819
81 600 51 40 1.7 1226.93 0.0822
82 600 46 40 1.7 1111.13 0.0825
83 600 41 40 1.7 989.70 0.0825
84 600 36 40 1.7 868.08 0.0824
85 600 31 40 1.7 747.40 0.0824
86 600 26 40 1.7 629.80 0.0828
87 600 21 40 1.7 509.93 0.0830
88 600 16 40 1.7 386.05 0.0824
89 600 11 40 1.7 271.43 0.0843
90 600 6 40 1.7 149.40 0.0851
91 500 51 50 1.7 1518.98 0.0814
92 500 46 50 1.7 1365.95 0.0812
93 500 41 50 1.7 1228.65 0.0819
94 500 36 50 1.7 1077.18 0.0818
95 500 31 50 1.7 928.50 0.0819
96 500 26 50 1.7 773.25 0.0813
97 500 21 50 1.7 629.80 0.0820
98 500 16 50 1.7 479.80 0.0820
99 500 11 50 1.7 329.28 0.0818
100 500 6 50 1.7 177.03 0.0806
101 500 51 40 1.7 1229.25 0.0823
102 500 46 40 1.7 1109.53 0.0824
103 500 41 40 1.7 985.68 0.0821
(continued)
318 S. Salankar et al.

Table 3 (continued)
Sr. No. Floor area No. of floors Occupant Effective Evacuation Evacuation
(m2 ) load per exit width (m) time (s) factor
104 500 36 40 1.7 872.80 0.0828
105 500 31 40 1.7 750.33 0.0827
106 500 26 40 1.7 629.65 0.0827
107 500 21 40 1.7 510.83 0.0831
108 500 16 40 1.7 388.40 0.0829
109 500 11 40 1.7 272.28 0.0846
110 500 6 40 1.7 150.08 0.0855
111 400 51 40 1.7 1223.78 0.0820
112 400 46 40 1.7 1106.63 0.0822
113 400 41 40 1.7 983.65 0.0820
114 400 36 40 1.7 862.88 0.0819
115 400 31 40 1.7 747.25 0.0824
116 400 26 40 1.7 628.00 0.0825
117 400 21 40 1.7 507.78 0.0826
118 400 16 40 1.7 388.53 0.0830
119 400 11 40 1.7 270.33 0.0840
120 400 6 40 1.7 149.65 0.0852

10 Validation and Verification of the Proposed

Mathematical Model

To affirm the accuracy of this mathematical model, we need to validate this with evac-
uation time from actual fire cases or fire drills. Various models are available to simu-
late the evacuation of occupants from a given building geometry [50], but very limited
contemporary data is available to support the model inputs or assumptions. There is
very little information available to validate the models for actual emergencies [41].
Few studies are available but with a smaller number of floors. Following are two
studies available for validation of the proposed mathematical model.
Validation I:
In the study made by Galbreath [51] on “A Survey of exit facilities in high office
buildings”, a survey was made of 10 high office buildings to study the relationship
between the time of evacuation in practice drills, the number of occupants, and area
of stairs. It was also mentioned by him in his paper “Time of evacuation by stairs in
high buildings” [4]. Out of ten buildings, we are considering only building numbers
6, 7 and 8 as their staircase width is very close to 150 cm. as compared to other
buildings. Details of the Galbreath study and time getting from the proposed model
are mentioned in Table 4.
A New Method for Estimation of Staircase Evacuation Time … 319

Table 4 Result validation with drill conducted by Galbreath

Sr. Building Number Staircase Person Number Person Time of Evacuation
No. number of floors width per of stairs per evacuation time by
(cm) floor floor during drill using
per (s) proposed
stairs model (s)
1 6 11 132 110 2 55 390 445
2 7 9 132 111 2 56 330 370
3 8 9 132 133 4 34 270 225

The results are well validated. The slight difference is there, which may be due
to difference in ceiling height, which is not mentioned by Galbreath.
Validation II:
In 2002, Eric Rivers [52] had conducted an evacuation drill at 85 Broad Street,
New York, a 30-story office building. The evacuation consisted of 1385 people and
concluded in approximately 18 min.
As proposed in this paper, after using Eq. 2 with the above mentioned parameters,
following result is obtained

0.0836 × 1385 × 10.86

t=
1.2
t = 1047.86 s i.e. 17.46 min.
The result is very close to the drill timings.

11 Conclusion and Future Research

In this study, a new method for the estimation of evacuation time is suggested based
on important parameters like the number of floors, number of occupants, effective
width staircase and travel distance. It is also concluded that evacuation time increases
with the decrease in staircase width and an increase in occupant load and the number
of floors. But there is very little variation on overall evacuation time with the change
in floor area in the case of a high-rise building. As a generic model, it can be used for
all types of buildings. The major advantage of this mathematical model is its short
computation time and it can be calculated very easily. It will be useful for deciding
the Required Safe Evacuation Time, which is helpful to the concerned designer to
design the building safety. Also, the acceptable occupant load can be decided once we
estimate the required safe egress time. This mathematical model will be more useful
for business occupancy buildings where other behavioural aspects are comparatively
less.
For estimating the evacuation time, certain assumptions are made in this study
like the presence of only physically fit occupants, use of available staircases by
320 S. Salankar et al.

the equal number of occupants, no reverse flow by emergency services from the
staircase during the evacuation, the start of an actual evacuation once raised the
alarm without considering the pre-evacuation time. All these parameters are difficult
to judge being very subjective, difficult to identify but they exist. So, future work
may explore such situations and analyze the dynamic behavior of the evacuation,
which will certainly result into a greater accuracy in estimating the evacuation time.

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Study of Carbon Emission During
Taxi-Out Operation at International
Airport, India

Totakura Bangar Raju, Sheetal Khanka, Arun Kumar Jagadeesan,

and Ashwani Khanna

Abstract Global warming is one of the most significant problems faced by all living
creatures on planet earth. Greenhouse gases like Carbon dioxide, Nitro oxide, and
methane traps the heatwave, which is the cause of the increase in temperature of the
earth. This greenhouse gas depletes the ozone layer. Global warming contributed to
the problem of Climate Change. The leading cause of global warming is the emission
of Carbon dioxide (CO2 ). In the year 2016, nearly 174 countries joint their hands
together against global warming and signed the Paris Agreement. Under the Paris
agreement, each country should regularly report on the contribution that it undertakes
to mitigate global warming. CO2 emission was not a severe problem with Aviation,
however, there is a drastic increase in air transportation and thus Aviation sectors’
contribution to CO2 emission increased and the sector has come under scrutiny. Paris
Agreement stated that CO2 emissions are a serious issue and a leading cause of the
impact on the life quality of the people living around the Airports. The activities of
the aircraft from landing to takeoff known as the Landing takeoff (LTO) cycle which
contributes to a sufficient deterioration of air pollution near the airport and the nearby
neighborhood. The primary source of CO2 emission in the airport vicinity is due to
the taxiing operation of the aircraft. The movement of the aircrafts on the ground
under ints own power is known as taxiing. During the taxi-out operation, the aircraft
will move at a speed of 16–19 Kts. Both engines of the aircraft kept operated by
the pilot during taxi-out operation may lead to doubling of CO2 emission. One more
reason for increase of CO2 emission at the airport vicinity is due to aircraft which
stand in the queue for take-off operation. This paper discusses CO2 emissions due

T. B. Raju (B) · A. K. Jagadeesan

University of Petroleum and Energy Studies, Dehradun, Uttarakhand 248007, India
e-mail: tbraju@[Link]
S. Khanka
Department International Affair, University of Petroleum and Energy Studies, Dehradun,
Uttarakhand 248007, India
e-mail: sheetal@[Link]
A. Khanna
AeroTech Support Services, Aerocity, New Delhi 110037, India
e-mail: ashwani@[Link]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 323
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
324 T. B. Raju et al.

to taxi out operations at Indira Gandhia International Airport, New delhi. This paper
also suggests other ideas to improve the taxi-out operation in the airport and gives
other ideas to reduce the CO2 emissions from the aircraft engine.

Keywords Co2 emission · Global warming · Widebody · Narrow-body ·

Taxing-out · LTO cycle

1 Introduction

One of the most significant challenges for the human being in this twenty-first century
is to stabilize the global climate. The temperature of the earth has been increasing
gradually for 38 consecutive years. Everyone around the world has felt the impact
of climatic change. The scientists have information about anthropogenic activities
that were carried out across the world is the primary source for the increase of GHG
emissions in the atmosphere and the primary reason for climate change. The various
activities of humans, including usage of fossil fuel in power plants and GHG emission
from various industries, transportation and energy supply, etc. are the maojor sources
of emissions. Natural factors such as volcanic eruption have an impact on climate
change. However, changes in land-use patterns and ozone depletion are also the most
important factors contributing to climatic changes.
This climate change plays an essential role in environmental, social, political,
and economic repercussions. Therefore, international organization needs an inte-
grated approach to handle this problem across the world. This climate change will
affect individuals and business which one have never seen before if climatic changes
are not taking seriously and incorporate strategic planning to handle this problem
internationally. Every business unit should take climate change seriously, change
the business sustainability initiatives, and have objectives to keep GHG at a reduced
level. United Nations Climate Change Conference, (COP25), held on December 2
to December 13, 2019, in Madrid, Spain was the continuation Paris 2015 Agree-
ment, to mitigate the emission in member countries. Developing member countries
were unhappy because developed countries failed to keep up promise for climate
action. However,r they planned to report and monitor the progress in regard to Paris
agreement till the year 2021.

1.1 Transportation Sector GHG Emission Globally:

In the whole transportation sector, civil aviation is one that has the fastest growth.
From 2001–2005 the growth of scheduled aviation traffic is 3.8%, and now it is
growing currently at a rate of 5.9% (Indiaghgp 2015). The below figure shows
the contribution of GHG emission by different sectors as a report by the Inter-
governmental Panel on Climate Change (IPCC 2014). The figure shows that the
Study of Carbon Emission During Taxi-Out Operation … 325

Fig. 1 GHG emission by 10%

sectors, 2010 25% Electricity and Heat
Production
21% AFOLU

Buildings

Transport

Industry

24% Other Energy

14%
6%

transportation sector is contributing 14% of the total anthropogenic emissions

(Fig. 1).

1.2 Aviation GHG Emission Globally:

The GHG emission from civil aviation is majorly from the aircraft operation, which
is mainly responsible for greenhouse gas such as Water Vapor (H2 O) and Carbon
dioxide (CO2 ). There are other products of GHG emissions, such as Nitrogen dioxide
(NO2 ) and Nitrous oxide (NO), soot and sulfur oxides (SOx ). The movement of the
aircraft is a complex process, and the particles are deposited at higher altitudes, which
affects climate change. Currently, global aviation contributes nearly 2% of the total
global emission, as per IPCC, 2007. ICAO also reported that international aviation
contributes 60% of the total aviation emission. IPCC also estimated that by 2050 the
emission contributed by the aviation sector would increase to 3% (Fig. 2).

1.3 Indian Aviation

India is one of the largest populated countries in the world. Indian people travel
frequently for their business, tourism, festivals, education, and a lot more. The trans-
portation sector is one of the reasons for the growth of the economy. Indians use
a different mode of transport like Train, metro, Aircraft, Ships, Cars, buses, etc..
The Indian aviation sector is the fourth largest domestic market in the world and it
is the world fastest growing domestic market. Airport transport in India is growing
at a very high pace. For the past 4 years, the Indian aviation domestic market has
shown double-digit growth. For the year 2018, the Indian domestic aviation sector has
grown 18.6%, followed by china 11.7%. According to DGCA, India, the domestic
growth in India was 13.9–18.6% in 2018, 11.7% in 2017, 17.3% in 2016, 23.2%
in 2015, 20.3% in 2016, which is due to the robust economic expansion in India.
326 T. B. Raju et al.

Fig. 2 Global emission Now

versus aviation emission 2%
(IPCC 2007)

98%

Global Emission Aviation Emission

In 2050
3%

97%

Global Emission Aviation Emission

After the introduction of the LCC model in India, ordinary people in India who used
to travel by railways and roadways,ses, they started to travel in aircraft. Indigo is
the market leader in India. Apart from these, the growth of airports in India is also
rapid. Many Greenfield airports are planned to be build at various states in India.
Indian government’s decision to develop the Airports under PPP mode has been a
major engine driving the passenger growth in the country. The major private airports
in India are Indira Gandhi International Airport, Delhi, Chhatrapati Shivaji Inter-
national Airport, Mumbai, Rajiv Gandhi International Airport, Hyderabad, Kempe-
gowda International airport, Bangalore, Cochin International Airport, etc., Recently
Adani group has been awarded six airports namel Ahmedabad, Jaipur, Mangaluru,
Trivandrum (Thiruvananthapuram), Lucknow, and Guwahati under PPP mode.
In India, all airports now want to bring the carbon footprint down because of
the environmental concern. The government of India is also helping the entire
transportation sector to bring down the carbon emission in India.
Figure 3 shows that the contribution of CO2 by various sectors in India. It shows
that in India, the transportation sector contributes nearly 41% of the total CO2
emission in 2018. Figure 4 shows the contribution of CO2 emission by various
aircraft operations and classes in 2018. The Indian environmental portal reports
this information.
Study of Carbon Emission During Taxi-Out Operation … 327

Fig. 3 CO2 emission by 10%

various economic sectors
23% 6% Electricity (In state)
Electricity (Imports)
8% Agriculture
Residental
7% Commercial
Not Specified
4% Transportation
1% Industrial
41%

Fig. 4 CO2 emission in 11%

16% Dedicated
2018 by operation and
aircraft class Frighter
4% Passenger
Operation
7% Passenger
Regional
Passenger
Widebody
62% Belly Freight

2 Problem Statement

The emission of CO2 gas constitutes the most massive threat to the world, which is
affecting the climatic change and increase in the earth’s temperature. The environ-
mental scientist has advised maintaining the earth’s temperature less than 1.5 °C if
the temperature increase to 2 °C; it will make the earth inhabitable. According to
the Paris agreement 2016, every country has to contribute to maintain the level of
CO2 emission and make an effort to keep the earth’s temperature 1.5 °C. CO2 gas is
emitted from various things like household products, transportation, Industries, etc.
Usage of these items has been increased day by day, but the limit of CO2 emission
from these products has been reduced day by day.
The transportation sector is one of the major contributor for the emission of CO2
gas. World wide, flights produced 915 million tonnes of CO2 in 2019. Globally,
humans produced over 43 billion tonnes of CO2 . Aviation sector is accountable for
12% of CO2 emissions among all transports sources, compared to 74% from road
transport in 2019. The problem authors considered for the project represents the
case study about the GHG emission during the taxiing operation at the airport. Each
aircraft use approximately 6–9% of fuel for the taxiing operation, which emits tonnes
of CO2 gas. The amount of fuel consumed for the taxiing operation varies between
short haul and long haul flights. The CO2 gas emission at the airport is making the
328 T. B. Raju et al.

surrounding inhabitable. Apart from the taxiing operation, ground operating vehicles
and equipments also emits CO2 gas.
The authors have collected the data from the airport for estimating the time
required for each aircraft for taxiing operation. The amount of time takes for an
aircraft for taxiing out serves us to estimate the amount of fuel each airport spends
for taxiing operation. The author’s have attempted to calculate approximate CO2 gas
emitted at the airport during the taxiing operation and discuss an appropriate solution
for reducing CO2 emission.

3 Literature Review

Čokorilo [1] mainly concentrated on the long-distance passenger transport and envi-
ronmental issues created due to the aircraft operations like noise emissions and
GHG emission from the engine. The paper brings forward that the aircraft CO2 is
are approximately 2% of the Global GHG Emissions, which is expected to increase
3–4% per year. From the paper Čokorilo [1] it is seen that EU transport has a plan
to be reduced GHG emission by 30% between 2008–2030, and 60% of the GHG
emission is to be reduced between 1990 and 2050. Authors bring forward that the
reduction of GHG emission can achieved by various factors such as airport infras-
tructure, reducing the aircraft age for the usage, technical achievement in the engine
design, etc. The author also mentioned that the aviation industry needs to concentrate
on alternate fuel implementation, which will provide the solution for the increasing
aircraft operating cost and reduce GHG emissions.
Martín-Cejas [2] brought forward a new idea in the airport infrastructure for long-
term growth in air transportation. The author proposed to change the pricing of the
airport infrastructure by implementing an additional landing fee, which includes the
environmental cost. According to the article, the airport pricing for the airline is
based on weight-related charges, which may lead to the reduced utilization of the
resources. So, the author proposed to implement the environmental cost according
to the pollution created by them. The author also suggested a formula for calculated
the tonnes of CO2 emission from the aircraft. The author concluded in that it will be
challenging to reduce the carbon emission from the aircraft unless we charge from
the airlines.
Şöhret [3] investigates the CO2 emission from the air transport industry in the
UK market. The author discussed that 3–4% of the total carbon emission, which is
related to energy, is from air transportation. The study discuses mainly about the CO2
emission from the domestic flights in the UK market. The author also investigated
the GHG emission from different perspectives like financial, thermodynamics, and
environmental issues. The result from the analysis indicates that GHG emission is
increasing every year. Between the year the 1990s to 2005, the energy is wasted up
to 12.1 EJ. The author used two approaches to reduce emissions. The first approach
is to reduce the energy from waste, and the second approach is to apply the carbon
tax for the fuel.
Study of Carbon Emission During Taxi-Out Operation … 329

Ashok et al. [4] examine the quality of air that is polluted by the CO2 gas due
to the aircraft operation at US airports. Also examines that the gas emitted from the
aircraft engine CO2 is the exposure to O3 and PM22.5, which decreases the fuel burn
and increases the pollution. The authors have used various methods like emissions
modeling, regional air quality modeling, CO2 emissions, and population exposure
to O3 and PM2.5 . From the analysis, its is derived that there is positive relationship
between pollution and Fuel, Population exposure, which is indexed by engine type,
thrust setting, etc.
Ashok et al. [5] mainly concentrated on the impact of the CO2 emission due to the
taxi and take-off operation, which affected the air quality and climate change. The
author brings forward that we can reduce the CO2 emission by reducing the fuel burn
and optimizing the gate hold and by de-rated take-off. The paper also recommends
using pushback control, which minimizes the fuel burn and impact of air quality from
taxi operation by 38% of the no gate holds. The author also recommended the pilots
to take-off at the de-rated thrust, which will reduce the runway length and minimizes
the GHG emissions.
Loo et al. [6] brimgs forward that the CO2 emission is mainly due to the hub prac-
tice in air transport. Loo et al. [6] examines and estimated the CO2 emission by various
factors like airport level, airspace level, and difference flights. The authors conducted
a study on the efficiencies of CO2 emissions at Athens International Airport and the
Hong Kong International Airport. It can be found that the Hub airports emits more
GHG gas than other small airports. The authors advised that all the International Hub
airports should take necessary measures to control the GHG emission at the premises
of the airport.
Pagoni and Psaraki [7] discusses about the impacts of the emission of GHG gas
from the aircraft on local air quality, which affects climate change. Pagoni and Psaraki
[7] developed a tool for calculating the amount of CO2 emission from an aircraft.
This tool will be useful for monitoring real-time CO2 emission. The output will give
a detailed emission map, which included the aircraft routes, airports, aircrafts type,
etc.; this tool will help to calculate the aircraft emission during the LTO cycle and
the cruise cycle. The author tested the tool at the Greek airport.
Postorino et al. [8] discuss the improvisation of taxi-out operation at the city
airport, which will reduce the CO2 emission at the premises of the airport. The paper
establishes that the CO2 emission created at the premises of the airport by the aircraft
operation affects the livelihood of the people who are all living at the surrounding
of the airport. This paper mainly brings forth about the CO2 emission at the airport
is due to the LTO cycle and various aircraft operations. The author suggests having
an alternate taxi out procedure like on-board Aircraft ground propulsion system,
powered wheel tug, and e-taxi system. Various methods were to calculate, which will
give an improvised result in reducing the taxi-out time and reduce fuel consumption.
Turgut and Rosen [9] demonstrate that the aircraft movements like LTO in the
airports are the main reason for the CO2 emission near the airport. The authors
have collected the data of the aircraft movement for the Atlanta airport and London
airport to compare the GHG emission for each airport. The study included eight
airports which concluded that LTO operation is the main reason for the emission
330 T. B. Raju et al.

of GHG of the total flight operation. The author also recommended using fuel cells
instead of APUs, which reduce carbon emission.
Vaishnav [10] examines the costs and benefits of the reduction of fuel and emission
from the taxiing operation of the aircraft. The author uses various scenarios to test
and to reduce the usage of fuel for the taxiing operation. The various scenarios are
single-engine taxiing, e taxiing, tug scenario. By using these three methods, the author
calculated how much time it is taking for taxiing out operation for each scenario and
the amount of fuel used for this operation. He recommended that the tug operation
is the most successful in the reduction of usage of fuel as well as CO2 emission.
Becken & Shuker [11] describes how the booming of tourism directly involved in
the blooming of the carbon footprint. The paper mainly concentrated on the combi-
nation of the airports where people use to move frequently. Becken and Shuker
[11] also estimated the increase of the carbon emission using various factors like
passenger volumes, geography, route network, and travel behavior by market influ-
ence. Becken and Shuker [11] proposes ten indicators for the carbon risk that help
destinations assess their absolute and relative risk to the economic, financial, social,
and environmental costs of carbon. The author suggested a penalty for the airline,
which emits a huge quantity of carbon. The author found the passenger departing
from the following airports are the leading cause of the carbon emission, they are
FUK to HND, LAX to JFK, JFK to LAX, DXB to LHR, CTS to HND.
Owen and Lee [12] mainly speaks about the increasing trends of traffic in the
aviation sector, which directly affects the increase in GHG emissions into the atmo-
sphere. The author also mentions that even an increase in air traffic does not increase
the GHG gas that has been estimated before, because nowadays, the aircraft manu-
factures aircraft with high performance and fuel-efficient. The author emphasis that
even though the manufacturers produce great fuel-efficient aircraft, that does not
mean it, will not emit GHG gas. Owen and Lee [12] also brong forth about every
compound from the GHG emission and its effect. The authors also suggest that it
even can reduce aviation emission by modifying the propulsion system in the aircraft.
Lee et al. [13] describes the roles and responsibilities of the city authorities in
mitigation of the CO2 . To facilitate the optimal design for mitigation of the CO2
emission policy, the city authorities need to understand the magnitudes and source
of their CO2 emission. This information will be useful to understand how CO2 emis-
sion will affect climate change. The author has researched for the Taiwan city to
understand the geographical distribution of CO2 emissions. The author’s main aim
of doing this research is to study the bottom-up approach for estimating urban CO2
emissions.
Dray et al. [14] investigates the interaction of various factors like economic, tech-
nological, and operational measures, which help to reduce aviation CO2 emission.
The author mention that we can reduce emission by retrofitting winglets, expanding
maintenance program by airlines operation. We can also charge carbon price from
the airline according to the emission of their aircraft. It can also be reduced by impro-
vising air traffic management and the generation of biofuels. The author took three
scenarios, each with three policy cases to generating a result effect on the fuel life
cycle of CO2 emission with and without an ETS standard.
Study of Carbon Emission During Taxi-Out Operation … 331

Sherry [15] improvised the method of reporting air quality emission inventories for
the GHG emission from aircraft such as CO2 and NOx upon the regulation. The author
also mentions that in the traditional method of emission inventory calculation, the
researchers make many assumptions like using of maximum take-off thrust setting.
But in practice to reduce the cost, the airline use take-off thrust 25% lower than an
assumption, which will lead to the yield over-estimate. Sherry [15] describes new
algorithms that combine data from radar surveillance track, weather, and standardized
aircraft performance. This study has been done at Chicago O’Hare airport, which
exhibits a normal take-off thrust 86% of the maximum take-off thrust.
Zaporozhets and Synylo [16] speaks about how the aircraft engine emission affects
the vicinity of the airport and nearby residential areas during the aircraft landing/take-
off operation. The author discusses that the aircraft emission inventory is usually
calculated based on the manufacture’s certified engine emission indices. However,
in real circumstances, the emission from the aircraft engines varies due to various
factors like life expectancy of an aircraft, weather condition, and the type of engine
installed on the aircraft. The paper also explains that the emission data for aircraft
engines should take into account the influence of the real operational and ambient
temperature, which will give the more precise result of the emission inventory of the
aircraft.
Dray et al. [17] analyses the costs of the CO2 emission mitigation measures. The
authors discuss the relationship between mitigation potential and scenario character-
istics. The authors find that the global life cycle of CO2 emission per passenger-km
could be reduced to 1.9 to 3.0%, but the price of the fuel increase from $75 to $180
per barrel by 2050. However, we can reduce the price of the oil by 0.1% per year
and the carbon prices of $50 to $150/tCO2 . However, these assumptions depend on
biofuel, which could reduce the emission half by 2050.
Herndon et al. [18] tests the emission from the commercial aircraft engines at
ambient conditions. This test is done at Hartsfield-Jackson Atlanta International
Airport. The authors have tested different engines with an aircraft to collect sampling
1–2 min downwind from the operational taxiway and runway. The authors found that
NOx from the engine is 18% lower than the certified data with the ambient conditions.
But the CO emission from the engine is 100% greater than the certified data for the 7%
thrust condition. The authosr observed these significant differences in black carbon.
The authors also observed an anticorrelation between the particle mass loading and
particle number concentration.
Herndon et al. [19] speaks about the emission of hydrocarbons from commer-
cial aircraft at major airports in the United States. The author used proton-transfer-
reaction mass spectrometry (PTR-MS) and turnable infrared differential absorption
spectroscopy (TILDAS) to measure the emission of diluted exhaust plumes down-
wind. The author found that hydrocarbon emission is higher during the taxiing oper-
ation and take-off operation. The author found total unburned hydrocarbon from the
range in-use idle plumes analyzed in this work is vast.
Hudda et al. [20] measured the pattern of particle number concentration down-
wind from the Los Angeles International Airport. The author found Lax emission is
adversely affected the air quality much further than reported in the previous airport
332 T. B. Raju et al.

studies. Hudda et al., [20] found that a twofold increase in particle number and the
concentration is more during the most hours of the day in the area of about 60 Km2 ,
which extended to 16 km more. The author brings forth that the airport is the main
reason for the impact of air quality and the primary source of PN in the Los Angeles
region.
Koudis et al. [21] did an experiment on the reduced thrust take off to know whether
it will reduce the fuel emission or not? Because of the experiment, the author found
that reduce the take-off of thrust will lead to reduced emission because of the reduced
fuel consumption. The authors did this experiment at London Heathrow International
Airport. The authors found that the reduced take-off thrust will reduce the nitrogen
oxides and black carbon by 1.0–23.2%, 10.7–47.7%, and 49.0–71.7%, respectively,
which depends upon the combination of an aircraft engine. The author also suggests
that the TOW will affect take-off thrust variability. So, by setting the take-off thrust
with the right specification, we can able to achieve the reduced take-off thrust. This
will lead us to achieve industry environmental targets and helps us to maintain air
quality.
Masiol and Harrison [22] defines that the aircraft operation at the ground station
and operation related to aviation affect the environment near the airport. Some of the
environmental issues, which the author is mentioning in this paper, are noise-related
issues and the deterioration of air quality at ground level due to airport operations.
Because of the operation, many pollutants like carbon dioxide, nitrogen oxide, and
particulate, which is affecting public health. These pollutions are not only from the
aircraft but also the operations like maintenance work, heating facilities, fugitive
vapors from refueling operations, kitchens and restaurants for passengers, operators,
intermodal transportation systems, and road traffic for transporting people and goods
in and out to the airport, etc.,
The author’s primary goal is to summarise the key characteristics of pollution in
the local vicinity of the airport.
Nikoleris et al. [23] presented a detailed estimation of emission that happens
during the taxiing operation and the fuel consumption for the taxi operation using
the aircraft position data at Dallas/Fort Worth International Airport. The study took
the assumption of the fuel flow rate and the thrust level setting and emission from the
ICAO databank. The authors mainly analyzed the emission during the stop-and-go
operation. The author concluded that 18% of the fuel is consumed during the taxi
operation, which is mainly due to the braking or constant speed of the aircraft, which
is due to the congestion-taking place at the airport.
Perl et al. [24] estimated the cost of air pollution that has been created by the
aviation sector at Lyon-Satolas airport for the years 1987, 1990, 1994, and 2015. The
estimation is done using environmental assessment techniques that yield an emission
inventory for aircraft operation. The authors highlight the uncertainty that exists that
the economic assessment damages from air pollution and the variation in willingness
to pay is different. The authors discuss two scenarios like rural vs. urban impact of
pollution and minimal vs. potential preferences.
Petersen and Solberg [25] discuss about the use of glulam beams instead of steel
beams in the construction of the airport. The author mentions the production of the
Study of Carbon Emission During Taxi-Out Operation … 333

steel emits five times higher GHG emission when compared to the manufacturing
of the glulam beams. The authors also mention that the glulam beam is favorable or
unfavorable compared to steel, which is being landfilled or used for energy produc-
tion. The mention that the production of the steel involved in using energy sources
like electricity, which will also emit the Co2 gas. By producing the glulam beam,
we can avoid carbon emission and fixation on forestland. The author emphasises
that 0.24–0.32 tons of CO2 emission can be stopped by producing the glulam beam
instead of steel beam.
Postorino and Mantecchini [26] mentions that airports are an essential part of
transportation but also local sources for environmental impacts. In this paper, the
author tries to find out the unit carbon footprints that are related to the emission macro
sources like land vehicles, on-ground aircraft, airport handling, and terminal equip-
ment. UCFs are defined due to the particular transport variables. The computation
for the given airport includes both emission of macro-sources and the effectiveness
of transport-related actions that helps to reduce the carbon impact. The author did
this experiment at the airport of Bologna in Northern Italy.
Schürmann et al. [27] studies about the impact of the emission at an airport on
local air quality. This study is conducted at the Zurich airport. The authors mainly
studies the impact of VOC, CO, and NOx emission on the air quality near the airport.
Samples were taken to find the mixing ration of the volatile organic compound.
The authors found that the CO emission mainly depends on the aircraft ignition and
aircraft movements while NO concentration mainly depends on the ground support
vehicles. The authors also found the difference in the emission data, which were
published in the ICAO.
Simaiakis and Balakrishnan [28] mainly concentrated on the taxi time and the
fuel burnt during the taxi time. The author emphsises that the emission at the airport
is mainly due to the increased taxi time, and the aircraft stands in the queue to
the aircraft. During this process, more amount of fuel is burnt, which leads to the
emission in the vicinity at the airport. The authors found three components that affect
the taxi process are unimpeded taxi-out time, time spent in the queue for departure,
and the congestion delay. The authors propose a new queuing method for the aircraft
movement, which will reduce the taxi time as well as the emission at the airport.
Unal et al. [29] mainly concentrated on the emission related to the airport, which
affects the local air quality, especially compounds like ozone and PM2.5 . The exper-
iment is conducted at Hartsfield–Jackson Atlanta International Airport. The author
estimates the emission based on the smoke number. PM2.5 emissions are estimated
once based on the characteristic SN and a second time using the mode-specific SN.
The author found that the impact of PM2.5 and ozone of ground support equipment
is lower when compared to the impact caused by the aircraft.
Zhu et al. [30] tries to find the aircraft emission, which affects the local air quality
from the take-off activities. This study has been carried out at Los Angeles Interna-
tional Airport. The authors try to find out the real-time concentration of emission of
ultrafine particles like black carbon, PM2.5, and chemical species. The author found
the measurement indicates that during take-off, more than 100-fold difference in
the concentration than when there is no take-off occurring. The result of the study
334 T. B. Raju et al.

shows that the aircraft emits large quantities of UFP at the lower end of currently
measurable particle size ranges.

4 Research Methodology

The purpose of the chapter is to provide the reader with an overview of how the study
has been carried out. This study is based on the observation that has been made at
the airport regarding the aircraft movement in the ground. This study uses five steps
for calculation purposes. Those steps are.

4.1 Data Preparation

The data has been segregated according to the narrow-body and wide-body aircraft.
Each aircraft is identified and segregated according to the code. Code B—Code
C aircraft ares considered as narrow-body aircraft. Code D—Code F aircrafts are
considered as wide-body aircraft according to the ICAO nomenclature.

4.2 Data Processing

The data after segregated, the authors use excel to take count of each aircraft. The
authors use this excel analysis for every month to count the aircraft according to
the code and the time taken for the taxi-out operation. After this, the aircraft are
segregated according to the time taken and calculated for fuel consumption. The
below conditions are taken into consideration for the calculation of fuel consumption.
Narrow-body planes
• Boeing 737, 700, 800, 900 series including max
• Airbus 320, 318, 319, 320 and neo included, 321
• Average fuel consumption: 720 L/h.
Wide Body planes
• 4 engine wide-body planes: Airbus 380, 340 and Boeing 747
• Fuel consumption: 1800–2000 L/h.
• 2 engine wide-body planes: Airbus 330 new one, 350, Boeing: 787 Dreamliner,
777,
• Consumption is 1000 L/h.
When the authors calculated the consumption, they used those results for a further
calculation to estimate the CO2 emission with the below conditions.
Notes on Conversion
Study of Carbon Emission During Taxi-Out Operation … 335

1 kg of ATF Burnt = 3.14 kg of CO2 emission

1.2 l of ATF = 1 kg of ATF
Formula:
Emission of CO2 = Fuel Consumption rate in Taxi x Time taken for Taxi.

4.3 Data Analysis and Findings

This data analysis is the continuation of the data collection. The data authors have
is raw data, which authors have processed according to our research purpose. There
is multiple research design such as descriptive, correlational, Experimental, Review,
Meta-analytic. The authors have taken a correlational research design though the
research is based on an observational study. The essence of this study is to collect
as much data authors could for the perfect result. Furthermore, the data collected is
confidential and used only for the research purpose.
Comparison of Taxi Time:
In this topic, the authors are going to compare the taxi-out time for each aircraft.
The taxi-out time is compared between wide-body and narrow-body aircraft for the
year 2014–2016 as per the data collected from the airport.
Table 1 and Graphs 1 and 2) tell about the taxi-out time comparison for the year
2014–2016. From the graph the author conclude that 23% of narrow body aircraft
and 9% of wide body of aircraft take < 10 min for taxi-out operation. 77% of narrow
body aircraft and 91% of wide body aircraft takes more than 10 min for taxi-out
operation which will directly leads to emit huge amount of CO2 gas.
Comparison of CO2 Emission:
In this topic, the authors are going to compare the CO2 emission for each aircraft.
The CO2 emission is compared between wide-body and narrow-body aircraft for the
year 2014–2016 as per the data collected.

Table 1 Comparison of taxi-out time

Comparison of taxi time
Taxi time (min) Wide body Narrow body
2014 (%) 2015 (%) 2016 (%) 2014 (%) 2015 (%) 2016 (%)
< 10 8 10 9 23 22 20
11–15 24 27 21 42 41 39
16–20 35 32 33 22 23 25
21–25 21 20 22 8 9 10
26–30 7 7 9 3 3 4
31 > 4 4 6 2 2 2
336 T. B. Raju et al.

Graph 1 Comparison of Wide Body (Taxi Time)

taxi time (wide-body) 40%
35%
35% 32% 33%
30% 27%
20%

[Link] flights
25% 24% 21 22%
21%
%
20%

15% 10%
10% 8% 9% 9%
7% 7% 6%
5% 4%4%

0%
<10 11-15 16-20 21-25 26-30 31>
Taxi Time
2014 2015 2016

Graph 2 Comparison of Narrow Body (Taxi Time)

45%
taxi time (narrow-body) 42% 41% 39%
40%
35%
30%
[Link] flights

23% 23% 25%

25% 22% 22%
20% 20%

15% 9% 10%
10% 8%
3% 2%
5% 3% 4% 2% 2%
0%
<10 11-15 16-20 21-25 26-30 31>
Taxi Time
2014 2015 2016

Table 2 and Graphs 3 and 4 tell about the CO2 emission comparison for the
year 2014–2016. From this, authors have found that every year the amount of CO2
emission is increasing concerning the increase in aircraft movement. The authors
have found that every year the CO2 emission is increasing by 1% when compared to
the previous years with irrespective of the aircraft movement.

5 Conclusion and Discussion

Indian aviation has the fastest growing domestic market in the world. The growth
of the passenger movement in India is increasing linearly every year, which shows
a positive sign of this industry. At the same time, the amount of pollution created
by the aviation industry is also increased every year. Like Europe, India can also
collect carbon taxes, which help us to create some new technology by using the
money from the tax. All the aviation stakeholders to reduce and optimize the GHG
Study of Carbon Emission During Taxi-Out Operation … 337

Table 2 Comparison of carbon emission

Comparison of carbon emission
Wide body Narrow body
Months 2014 2015 2016 2014 2015 2016
Jan 2039.36186 2275.19436 2404.62899 5043.6564 5083.8484 6466.5474
Feb 1769.10401 1784.64004 2138.38148 4741.714 4635.8332 6325.2474
Mar 1935.87302 1974.08864 2197.67697 5196.6686 5157.8896 6513.0194
Apr 1637.19173 1824.78754 2293.44853 4911.8078 5279.6588 6748.0484
May 1677.32555 2253.33044 2027.7303 5240.4716 5928.6968 7169.3736
June 1753.05588 1855.963 1999.10621 5249.295 5686.0062 7094.2962
July 1622.50488 1820.71481 1987.92358 5237.0176 5860.6844 6953.9696
Aug 1880.93834 1952.08073 2031.90037 5249.2636 5831.6708 6759.1954
Sep 1794.5588 1882.73803 2037.15149 5011.4086 5306.1604 6352.7224
Oct 1843.22936 2098.16342 2190.62204 5153.7762 5789.218 6860.8686
Nov 1896.80376 2020.93951 2324.99856 4606.5998 6100.6746 7230.321
Dec 1983.54839 2231.15281 2646.33316 5056.185 6467.5836 7245.7384

Graph 3 Comparison of Wide Body - Carbon Emission

carbon emission 2646.333156
Dec 2231.152811
1983.548393
2324.998556
Nov 2020.939513
1896.803758
2190.622036
Oct 2098.163417
1843.229361
2037.15149
Sep 1882.738034
1794.558796
2031.900374
Aug 1952.080726
1880.938343
1987.923575
July 1820.714807
Month

1622.504882
1999.106214
June 1855.963003
1753.055877
2027.730297
May 2253.330442
1677.325545
2293.448527
Apr 1824.787544
1637.19173
2197.676965
Mar 1974.088641
1935.87302
2138.381479
Feb 1784.640038
1769.104009
2404.628987
Jan 2275.194357
2039.361862
0 500 1000 1500 2000 2500 3000
CO2 Emission

2016 2015 2014

338 T. B. Raju et al.

Graph 4 Comparison of Narrow Body - Carbon Emission

carbon emission Dec
7245.7384
6467.5836
5056.185
7230.321
Nov 6100.6746
4606.5998
6860.8686
Oct 5789.218
5153.7762
6352.7224
Sep 5306.1604
5011.4086
6759.1954
Aug 5831.6708
5249.2636
6953.9696
July 5860.6844

Month
5237.0176
7094.2962
June 5686.0062
5249.295
7169.3736
May 5928.6968
5240.4716
6748.0484
Apr 5279.6588
4911.8078
6513.0194
Mar 5157.8896
5196.6686
6325.2474
Feb 4635.8332
4741.714
6466.5474
Jan 5083.8484
5043.6564
0 1000 2000 3000 4000 5000 6000 7000 8000
CO2 Emission
2016 2015 2014

emission from various functions should follow best practices. New technologies can
be implemented at the airport to reduce emissions. This report highlights the GHG
emission only during the taxi-out operation of the aircraft at the airport.
The study has been completed, which shows that every year the amount of green-
house gas emitted from the airport is increased. In India, the amount of domestic
travel has been increased linearly. In this case, airlines can use some alternative
methods to reduce pollution, which is created at the airport.
Alternate Taxiing
Alternate Taxiing is an area which has huge unexplored potential, apart from saving
CO2 emmissions, as the engines of the Aircraft are not runningduring most of
the Taxiing period the associated Engine Maintanence, Depreciation, Noise, FOD
damage, Brake Ware, Apron Congestion are all reduced due to the use of adopting
Alternate Taxiing [Link] addition to the above mentioned savings there is
also a saving on the ground time of the Airline therby further enhancing the impact
of various savings. All theses savings do also have a financial correlation therby
reducing the cost of operations for an Airline.
This also benefits the Airport by making the Apron safter due to the associated
Jet Blast, reduced Noise and faster clearence. The CO2 emmissions per Taxi-Out
more than 15 min is in the range of about 550/600 kg per narrow body Aircraft, at
busy metro Airports in India on an annual basis more than 400,000 Tons of CO2 is
emitted, this all can be avoided by the use of Alternate Taxiing solutions.
Study of Carbon Emission During Taxi-Out Operation … 339

Limitation
In this study, authors have considered only taxi-out time. There are many various
factors like ground operation vehicles and equipments taxi-in operation, take-off
operation, etc. aren’t take into account.
Even in the aircraft type, authors consider only commercial aircraft that are oper-
ated from the Indira Gandhi international airport. The authors did not take helicopters
and civil aircraft into account because the volume of the operation are minuscule.
The authors have calculated only CO2 emissions for this research.

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Healthcare Sustainability Through
Technological Innovations

Ruchi Mehrotra and Kishor Joshi

Abstract Technological innovations can help in early diagnosis and management of

diseases thereby preventing long term complications of the disease which contribute
to morbidity and mortality. These can result in immense savings to the individual
and also the healthcare system as a whole by reducing the burden of disease in
the population. Cardiovascular diseases such as heart disease and stroke are the
leading cause of death and disability in the world. About 20 million people die from
Cardiovascular disease every year development of which is increased by diabetes
mellitus (DM) and hypertension. Over 422 million of the global population suffer
from DM which causes 1.6 million annual deaths and 7.5 million deaths annually
from hypertension. In the backdrop of above statistics, the effective control of blood
sugar and blood pressure with technological innovation with wearable devices which
continuously monitor blood sugar and blood pressure can result in early preventive
actions like timely treatment, regular monitoring to control them and can reduce the
complications and death rate from diabetes and hypertension and cardiac disease.
The research covers key findings indicating technological innovations like electronic
medical records, mobile health, telemedicine, self-service kiosks for hospital regis-
trations, payments checking identification, signing paperwork, remote monitoring
tools and home monitoring systems and wearable technology and sensors which
can greatly help in expediting healthcare delivery and improve quality of health of
patients and the population. With digital technology, the healthcare systems which
in India will be 372 billion USD by 2022 has enormous potential of usage of tech-
nological innovations to prevent early mortality is cases of chronic diseases. The
paper concludes with importance of such digital advancement indicating that in less
than 25 years, the global average life expectancy at birth has soared from 64 years
in 1990 to 71 years in 2013 due to many others factors including early diagnosis
of diseases and indicate that technological innovations can lead to better healthcare
sustainability.

R. Mehrotra (B)
University of Petroleum and Energy Studies, Dehradun, India
K. Joshi
Cardio Thoracic Vascular Surgeon, Director, Mahavir Heart Hospital, Patna, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 341
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
342 R. Mehrotra and K. Joshi

1 Introduction

Technological Innovations Technological innovations can help in early diagnosis

and management of diseases thereby preventing long term complications of the
disease which contribute to morbidity and mortality. These can result in immense
savings to the individual and also the healthcare system as a whole by reducing the
burden of disease in the population. Historically too, technological intervention and
its evolution saw a dramatic change but with the arrival of internet data, it offered
an opportunity to fundamentally reinvent and redefine the link between medicine,
healthcare delivery and technology. The ‘e-health’ era is a digital transformation
of the medical practice with a coverage of the commercial side of health industry.
Almost two decades back it was said that healthcare is only arriving in the ‘Informa-
tion Economy’ [1]. But the transition has been steady and sturdy to handle the burden
of growing population as well as the numerous diseases including various epidemics
and even pandemics. When we define technological innovation systems we also
integrate it with the multi-level frameworks. There exists numerous commonalities
between technological innovation and multi-level frameworks and an integration for
a radical process and socio-technical transformation is community as a whole [2].
Real time health monitoring and tracking systems and their effective implemen-
tation in diagnosis and treatment helps us realize the benefits of bringing medicine
and technology in a blended form. These systems being real-time have been able
to effectively track, monitor, trace, diagnose, and facilitate treatment and sustain
healthcare of fast growing populations [3].

Healthcare Sustainability Healthcare systems face challenges as it is primarily

considered to be the responsibility of the state towards the poor and insurance compa-
nies are meant to provide for the rich. Hence sustainability becomes a crucial chal-
lenge for the future. Likewise to define ‘sustainable healthcare system’ and iden-
tify its strengths and weakness it is important to believe that every business like
healthcare business needs financial viability and a regular demand in the markets
to sustain itself. But in case with applying technology to healthcare, affordability
and adaptability equally becomes imperative [4]. The distinct features also include
effectiveness and other interacting factors that connect the other facets of healthcare
like diagnostics, surgical care, pharmaceuticals, service delivery including nursing,
paramedics, and doctors.
Quality of healthcare holds high importance with aspects relating to integrity,
confidentiality and hygiene which has been substantiated by usage of digital devices
and standardization of medical devices as well as quality certifications by various
national and international agencies. Healthcare professionals themselves attain newer
heights to redefine quality in medical field. It is imperative to encompass mental
wellness with cultural, social, environmental issues that enhance the likelihood of a
sustainable system from a long-term perspective [5].
There are four different aspects of sustainability practices in healthcare, innova-
tions in technology, the forces that drive and sustain these innovations within the
industry, implementation of strategies and finally acceptance & adaptability of these
Healthcare Sustainability Through Technological Innovations 343

innovations. There are various models in the driving force for sustainability in health-
care from a wider perspective and a holistic approach ensures that healthcare services
excel in the business and the medical technology self sustains and remains viable in
long-term [6].

Burden of Disease Morbidity Monitoring—Reducing Mortality Cardiovascular

diseases such as heart disease and stroke are the leading cause of death and disability
in the world. As per World Health Organization about 20 million people die from
Cardiovascular disease every year development of which is increased by diabetes
mellitus (DM) and hypertension. Over 422 million of the global population suffer
from DM which causes 1.6 million annual deaths and 7.5 million deaths annually
from hypertension [7]. In the backdrop of the above statistics, effective control of
blood sugar and blood pressure with wearable devices which continuously monitor
blood these parameters can result in preventive actions like timely treatment, regular
monitoring to control them and can reduce the complications and death rate from
these diseases.

Digital Health Scenario and Markets For the digital health companies looking
to expanding their product base, it is an extremely important market with a huge
potential, since their underlying base are the developed economies while the emerging
markets have immense potential. The emerging market economies have a growing
income base and the rapid rise in internet penetration with affordable data tariffs has
made digital medical facilities accessible to all. The digital health market currently
has fitness trackers and smart watches which form the largest device segment in the
wearable category and accounted for 80% of the entire shipments in 2016. By 2022
it is expected to decrease and body sensors be third largest segment in wearable
devices. The companies which go beyond the fitness bands and activity trackers and
which aim to develop devices for the prevention of chronic diseases like diabetes,
blood pressure and cardiac or kidney diseases will have a better business sustenance
in the long term [8].
With digital technology, the healthcare system in India will be worth 372 billion
USD by 2022 and has further enormous potential. In India, the healthcare sector is
quite diversified and has enormous opportunities for consumers, service providers,
companies providing technology. The hospital industry in India is expected to
increase from Rs 4 trillion (US $ 61.79 billion) in FY17 to Rs 8.6 trillion (US $
132.84 billion) by FY 22, which accounts to an impressive CAGR of 16–17% [9].
There are many companies across the globe which are market leaders like Apple,
Sony, Google and Samsung and many others, which have ventured into the wearable
devices market which is growing at a rapid pace. The clothing embedded wearable
technology and other accessories have been referred as ‘quantified self’ and have
been useful to educate, aware and motivate people towards better habits and better
health. This has propagated the idea of better lifestyle and better habits [10].
Markets have evolved due to the rapid penetration of smart phones and internet
connectivity with cost effective data and has made the Indian masses aware of lifestyle
changes. Health activity monitoring devices are therefore part of many households
344 R. Mehrotra and K. Joshi

now. This helps in monitoring of basic body parameters like temperature, heartbeat,
and blood pressure can help in risk mitigation. The ability to maintain historical
patients record and monitor them regularly and easily retrieve this data has become
a distinctive feature of these devices [3].
Massive Technological Interventions in Healthcare The technological innova-
tions have been pervasive irrespective of the geography and specialty medical facil-
ities are available where there were none before. Technology has creeped into every
segments of medical field from diagnosis to treatment and monitoring in follow up.
The ease of use of electronic medical records, mobile health, telemedicine and tele-
health, and self-service kiosks to expedite hospital registrations reduces queues and
waiting time period. These also help in pandemics in reducing contact with the health
care providers and maintain social-distancing and have been of immense help to the
patients. Digital payments gateways, remote monitoring tools and home monitoring
systems and have greatly helped in expediting healthcare delivery. Further develop-
ment of wearable monitors and sensors can greatly improve the quality of healthcare
services.
Innovations in the Medical Technology The authors present in Table 1, the gradual
evolution of the medical technology in the last century which has revolutionized
healthcare. This table indicates shows the technology its usefulness in diagnosing
organ functions.
One of the most important invention in the history of medicine was that of the
stethoscope by the French physician Rene Laennec in 1816 to listen to the chest
of patients [11]. Dr Crawford Long was the first to perform various surgeries with
anaesthesia in 1842 and continued to practice while the first report of use of an
anaesthetic for painless surgery was published by WTG Morton, a dentist in Boston
[12]. Modern surgery would not be possible without the availability of anaesthesia.
Wilhelm Conrad Rontgen, physicist at the Universtity of Strasbourg in Germany
discovered X rays in 1895 and was awarded the first nobel prize in physics in
1901[13] Dr Willem Einthoven recorded the first electrocardiograph in 1903 and
was awarded the 1924 Nobel prize in Physiology in 1924 [14]. These are only a
few of the thousands of progessive innovations and advancements made in the last
millennium especially the last 200 years by scientists that have made possible the
current healthcare technologies like the Ultrasound, CT Scan, MRI that are so well
known today.
Wearables Devices and Healthcare Sustainability Another paradigm shift in
medical technological innovations in the last decade has been in the wearable health
devices (WHDs) which has made both monitoring as well as historical health database
management much easier and user-friendly. WHDs enable the ambulatory monitoring
of human vital signs in day to day life, from anywhere including at work and at home
or sports field or a clinical environment. This minimizes the discomfort and being
wearable these devices do not hinder in normal human activities [15].
The wearable technology is defined as the devices that are worn or mated with
the human skin in order to regularly and diligently monitor activities, without any
disruption or hindrance in the routine activities of the individual [16].
Healthcare Sustainability Through Technological Innovations 345

Table 1 Historical evolution of medical technology

Year Device/innovation Description
1815 Stethoscope Auscultation of heart, lungs, bowel sounds and vascular bruits
1841 Anaesthesia Reducing the pain and stress of surgery
1895 X ray Viewing the skeleton internal organs
1903 ECG Functioning of the Heart
1910 Laparoscopy Visualisation of the inside of the Abdomen
1924 EEG Graph of Brain activity as seen by waves
1943 Dialysis A treatment for Kidney Failure
1947 Cardiac Defibrillation Normalizing abnormal Heart rhythm
1950 Intraocular lens Implantable lens after cataract surgery
1953 Heart Lung Machine Helps in Open Heart Surgery
1954 Kidney Transplant For Chronic Kidney failure
1963 Artificial Heart Support the failing Heart
Liver Transplant For Liver failure
1965 Ultrasound Used to visualize Multiple internal organs
1967 Heart Transplant For Heart failure
1971 CT Scanner Visualizing Multiple Internal organs
1973 Insulin Pump For Insulin injection in Insulin dependent Diabetes
1978 MRI Visualizing Multiple Internal organs without radiation
2000 Human Genome mapping Mapping of the complete Human genetic Code
Source Compiled by Authors

Wearable technology refers to electronic technologies covering products including

smart or advanced personal digital assistants (PDAs) used in watches, clothing, and
protective gear equipment as well as quick monitoring systems. The predominant
uses for wearable devices are for mainly (a) detecting anomalies in various organ
functioning (b) identifying the critical events (c) identify chronology of events (d)
monitoring to improve treatment outcome and (e) anticipating future events [17].
These devices have been able to sustain healthcare by timely analysis and interven-
tions so that even in case of a crisis rehabilitation methods have been well adopted
[18] (Table 2).

Remarkable Advantages of Technological Interventions in Healthcare The

Global average life expectancy in 1900 was 31 years [20]. Where as the growth
in medical field which included numerous factors but has made the world average
in 2017 was 72.2 years [21]. This indicates the importance of such digital advance-
ment indicating that in less than 25 years, the global average life expectancy at birth
has soared from 64 years in 1990 to 71 years in 2013 due to many others factors
including early diagnosis of diseases and better sustainability and from 31 to 72 in
almost 120 years.
346 R. Mehrotra and K. Joshi

Table 2 Wearable health technologies

Device/Innovation Activity Monitored / Usage
Smart watches/fitness bands Heart rate, Blood pressure, Blood Oxygen, skin
temperature, physical activity, burned calories,
distance travelled, sleep monitoring, arrthymia
monitoring
Ear device Heart rate, oxygen saturation
Wearable heart activity monitors Monitor heart rate and rhythm, detect abnormal
Chest straps, T-shirt, embedded electronics rhythms and diagnose disease
(smart textiles)
Source Sensors, July 2018, 2414 [19]

This has improved quality of life for senior citizen by making them cautious of
their vitals. As such people now a days are not only well educated but well aware of
health parameters and stay health conscious. Receiving proper medical care at the
right time can enhance the chances of survival in many cases. Elder people need not
to be ignored rather they need extra care. Hence WHDs have provided with amicable
solution with their user-friendly design. It creates an alert system in case of any
contingency for the friends, relatives or doctors to inform them via SMS or voice
call to directly mobile phones. There systems measure crucial aspects like oxygen
content in blood, body temperature, blood pressure and heart rate which all form
extremely important aspects of critical healthcare systems [22].

2 Future Developments

The transition from illegible written prescriptions to typed ones and digitally saved
medical history data has transformed the medical business systems. The automated
feedback from the wearer of device to clinicians can help in decision-making and
mitigating risks. The future development towards higher sensitivity devices and better
predictive analysis to forecast events before they arise by usage of Artificial Intelli-
gence will take the way forward. Future developments should indicate detailed demo-
graphic information along with the physiological and even psychological behaviors,
cognitive patterns and the geographic location to be more specific for regional health
care necessities, planning and monitoring. A multi-dimensional approach with the
use of algorithms can enlarge the datasets of healthcare system both geographically
and organ specific specialty wise. Societal benefits and certain databases can be
made publicly available in order to understand the spread of contagious diseases
like SARS COVID, Plague, bird flu or any epidemic/pandemic. Currently an app
called as ‘ArogyaSetu’ developed by the Government of India [23] has helped in
identification of COVID19 patients in nearby zones and is useful in alerting people
to stay back home to stop spread of pandemic. Many more technological innovations
Healthcare Sustainability Through Technological Innovations 347

are likely to crop up as newer coding and algorithm techniques are incorporated into
medical database management.
The future of robotic surgery may see more advancement with smaller robots, cost
effectively and impeccably integrating with the prevalent medical technology. This
will enable better availability of surgical care procedures across the globe [24]. The
development of da Vinci surgical system combines robotics and computer technology
in order to facilitate micro-surgery in a contained environment. Manipulator systems
have been developed where a surgeon can sit remotely away from patient in an
optimal ergonomic environment [25].
Database management and community healthcare going digital can be extremely
fruitful in all levels of societal framework. If individuals share their experiences
honestly and diligently and in a timely fashion it can help create robust public health
systems. All these will enable sharing of human experiences and in analyzing the
wearable device data by database management apps and sites like PateintsLikeMe
[18].

3 Conclusion

The technological advancements over the last century have not only contributed to
the increased life expectancy but have also greatly improved the quality of lives
of people. The rapid advancements in digital technology in the first two decades
of this millennium are promising. These can lead to sustainability of healthcare by
making available devices and technology that can in turn lead to primary prevention
of diseases thereby greatly decreasing the burden of disease. These devices are still in
their infancy mode and will take considerable advancements to finally deliver what
they are intended to do. Wearable devices like smart watches and fitness bands are
already in the market and are playing a prominent role in creating greater awareness
of the role of exercise in the lives of ordinary people. Lack of exercise and obesity is
leading to the biggest pandemic of obesity and metabolic syndromes all across the
globe. The incidence of diabetes, hypertension, heart disease and stroke, which affect
millions of people, can be greatly reduced by regular exercise and fitness bands or
smart watches can help people monitor their daily physical activities. This can lead to
huge savings in terms of healthcare expenditure for the individual in long run as well
as great savings if reported to doctors in real time manner and the economy as a whole.
Real time monitoring of data of patients with chronic diseases can reduce morbidity
and mortality by early intervention and therefore lead to healthcare sustainability.
The crucial aspects newer technologies need to cover from a healthcare perspective is
that they must be affordable, adaptable, efficient, environmentally and economically
sustainable and effective. In fact this can be a road to sustainability in healthcare
through the path of digitalization and technological innovations.
348 R. Mehrotra and K. Joshi

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Analysis by Benchmarking the Criteria
of GRIHA in Performance Assessment
of Green Building

Jaideep Saraswat, Mainak Mukherjee, Nikhil Mall, and Surajit Mondal

Abstract Construction is the living evidence of growth in a country. Construc-

tion may be of commercial/residential buildings, roads, bridges, etc. The incessant
need for construction is justified by the periodic deterioration of all constructed
outcomes. The construction of buildings causes a considerable amount of emissions
in the atmosphere. ‘Green Building’ is a measure to reduce emissions from buildings
during all the phases by employing environmentally friendly and energy-efficient
techniques. GRIHA stands for Green Rating for Integrated Building Assessment.
This paper underlines the prerequisites for GRIHA certification and the process to be
followed to get one. Moreover, the post-certification period has seen challenges that
undermine the very purpose of the certification. The problem lies in the negligence
of the building authorities once it is ratified as a green building. Certain measures
and precautions are ambiguous which are overlooked afterward. A detailed study of
a GRIHA certified building helped to identify these problems and paved the way to
come up with a solution to address these issues. Green Building as a concept has
gained prominence in the last decade. Both developed and developing nations are
trying to reap its benefits. In some countries, the new construction sector is rising
in this space while in some the retrofit projects are gaining importance. The current
global trends in green building are also exhibited in this paper.

Keywords Green building · Global scenario · GRIHA · Audit instruments ·

Energy efficiency

J. Saraswat · M. Mukherjee · N. Mall · S. Mondal

Department of Electrical and Electronics Engineering, University of Petroleum and Energy
Studies UPES, Bidholi Campus, Dehradun, Uttarakhand 248007, India
S. Mondal (B)
Department of Research and Development, University of Petroleum and Energy Studies UPES,
Bidholi Campus, Dehradun, Uttarakhand 248007, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 351
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
352 J. Saraswat et al.

1 Introduction

According to a study in the United States of America, buildings contribute to about

39% of CO2 emissions in totality [1]. It encompasses phases like construction, main-
tenance, renovation, and demolition. This CO2 emission will ultimately lead to an
increase in the greenhouse effect and hence global warming. The temperature of
the earth has increased by 0.8 °C since 1880 [2]. It will increment in the future as
well if enough precautionary measures are not undertaken at the very earliest.
Green building or sustainable design, is a process leading to a decrease in emis-
sions and increase in the efficiency of the building. This in turn benefits human
health and the entire lifecycle of the building. A Green Building has 34% less CO2
emissions, 25% less energy consumption than the standard commercial building [3].
The growth and development of the building have a sustainable impact on our natural
environment. Green Building strengthens the notion of minimum waste disposal by
reducing the generation of waste, recycling generated waste to the maximum possible
extent and reusing the recycled waste. Though some of the waste generated might not
be recycled or reused, its disposal is closely monitored to ensure it doesn’t affect our
environment. The collaboration of local bodies like municipal corporations, health
departments, and building authorities can make this effort go a long way.
GRIHA or Green Rating for Integrated Habitat Assessment is a council for rati-
fication of buildings to be certified as ‘Green Buildings’. It is a credit-based system
that gives points based on 34 criteria out of which 8 are mandatory. The criteria are
based on efficient usage of natural resources available at the site like land, water
and ensures a reduced impact on the environment. GRIHA has a unique strategy to
award points for outcomes as well as for the implemented strategies to realize those
outcomes. A point window is created as shown in Fig. 1 for granting star rating.
Eligibility criteria for GRIHA certification are minimum of 50 points and 2500 m2
area [4].

Fig. 1 GRIHA ratings [4] POINTS GRIHA RATING

50-60
61-70
71-80
81-90
91-100
Analysis by Benchmarking the Criteria of GRIHA … 353

2 Methodology Followed for the Process of Getting

a Building Ratified

Steps Process in brief

1. Registration • Online registration of the project in the GRIHA council
• Registration to be done at the commencement of the project
2. • The relevant documents related to the attempted criteria are reviewed
Documentation • Queries on the rating are sent to info@[Link]
3. Evaluation • This includes a three-tier process; the online submitted documents are
evaluated by a team of experts in the GRIHA secretariat
• Evaluated scheme is sent to renewed sectors and reviewed independently
to award points
• Report consists of comment on each individual criterion that was followed
and an overall comment on the complete project
• The final report is awarded to the Advisory Committee for the approval
and award of a rating
• Validity of the rating is for 5 years from the commissioning of the project
instead of the day of award of a rating

Audits mean to conduct an official inspection of the project based on various tenets
depending upon the requirement. The audit is conducted based on energy, finance,
accounts, manufacturing process, etc. The main objective of the audit lies in the fact
that it is done to improve the efficiency of the project and should not be misconstrued
as a fault finding opportunity.
The methodology adopted in this audit is a comparative approach. The method of
direct observation has been used to analyze the area of study and evaluative infor-
mation has been reported. The information gathered is compared with the required
baseline data.

Equipment Used in Auditing

Hygrometer—used to analyze humidity in the room.
Lux meter—used to measure lumens in an area.
Voltmeter—used to measure voltage.
Clamp ammeter—used to measure current.
Power factor meter—used to measure power factor.
DB meter—used to measure noise levels.
The observations after the survey of a certified green building are mentioned in
Table 1.
354 J. Saraswat et al.

3 A Case Study of GRIHA Certified Educational Institution

S. No. GRIHA criteria Followed/not Reason Baseline

followed requirement
1 Site selection Not followed Already constructed 1. Less
and deforestation has transportation
taken place 2. Less
deforestation
3. Top soil
conservation
2 Preserve and protect Followed Topography of the Minimum damage to
landscape during place retained landscape
construction
3 Soil conservation Followed Garden and non-hard Top soil preserved
paved area consist of during construction
all top soil for future use
4 Design to include Partially Top soil conservation Top soil
existing site features followed using efficient conservation using
farming terrace farming
5 Reduce hard paving on Followed 45% of area is hard 50% or more non
site and/or provide paved hard paved
shaded hard paved
surface
6 Enhance outdoor Partially 1. Timers for on/off 1. Solar and wind
lighting system followed at certain places energy equipment
efficiency and use 2. No renewable installed on site
renewable energy based outdoor 2. Automatic on/off
lighting
7 Plan utilities efficiently Partially Consolidated 1. Reduce
and optimize on-site followed corridor not present transportation
circulation efficiency everywhere corridor out-side
2. Utility corridor to
be collaborated
8 Provide minimum level Partially Didn’t pay need to 1. Safety facilities
of sanitation/safety followed safety facility like helmet,
facilities for construction shoes, etc.
workers 2. Proper sanitation
facility
3. Portable drinking
water
9 Reduce air pollution Not followed 1. Uncovered 1. Fine mesh sieve
during construction stockpiles at dust source
2. Smoking carried 2. Fine water sprays
out on-site to damper
3. Covering stock
piles
(continued)
Analysis by Benchmarking the Criteria of GRIHA … 355

(continued)
S. No. GRIHA criteria Followed/not Reason Baseline
followed requirement
10 Reduce landscape water Followed 1. Drip and 1. Drip and
requirement sprinklers used sprinkler based
2. Sewage treatment irrigation
plant providing 2. Water recycling
water for plant
irrigation
11 Reduce the water used Partially Flow rate for all taps Low flow rate
by the building followed not as prescribed faucets such that
12 Efficient water use Followed 1. Dry sweep 1. Dry sweep
during construction 2. Waste water 2. Not allowing dust
utilisation particles to enter
sewage line
3. Waste water for
cement mixing
13 Optimize building design Not followed 1. Improve 1. Less use of
to reduce conventional ventilation artificial lighting
energy demand 2. Excessive load on such that Led,
artificial lighting CFL
2. Proper ventilation
14 Optimize energy Not followed 1. Classroom-138 lx 1. Classroom-250 lx
performance of the 2 Library-400 lx 2. Library-500 lx
building within specified 3. Corridor-6.2 lx 3. Workshops-750 lx
comfort limits
15 Utilisation of fly ash in Followed Fly ash bricks used 1. PPC
building structures 2. Fly ash bricks
3. Mosaic tiles
16 Reduce volume and Not followed 1. Modularisation 1. Modularisation,
weight, and time of was not prefabrication
construction by efficient considered 2. Offsite
technologies 2. Prefabrication fabrication
was not 3. Use of natural
considered materials
17 Use of low energy Not followed High embodied 1. Recycled glass,
materials in interiors energy material used aluminium etc
2. Reclaimed
lumber, cork,
bamboo
18 Renewable energy Followed Energy consumption 1. Solar
utilisation reduction 42.73% photo-voltaic
system
2. Solar water heater
19 Renewable energy based Followed 95.17% reduction in Solar hot water
hot water system energy consumption system
for hot water system,
70,000 l
(continued)
356 J. Saraswat et al.

(continued)
S. No. GRIHA criteria Followed/not Reason Baseline
followed requirement
20 Waste water treatment Followed 1. Sewage treatment 1. Sewage treatment
plant plant
2. 250 klpd capacity 2. Grey/black water
treatment plant
21 Water recycle and reuse Followed 1. Sewage treatment 1. Recycle and reuse
(including rain water) plant of water from
2. 250 klpd building
irrigation complexes
2. Rain water
harvesting
22 Reduction in waste Followed 1. Reusing glass 1. Procurement of
during construction from earlier materials that
project much is required
2. Collaboration 2. Collaboration
with suppliers with suppliers for
return
23 Efficient waste Followed 1. Green bin for Different colour bins
segregation biodegradable
2. Yellow for non-
biodegradable
24 Storage and disposal of Followed 1. Biodegradable 1. Reduction, reuse
waste and toxic waste and recycling
goes to Bharat oil 2. Composting and
2. Rest waste to fermentation
municipal 3. Landfills
corporation -incineration
25 Resource recovery from Not followed No recovery of Biodegradable waste
waste energy in biogas plant
26 Use of low VOC Not followed VOC containing 1. Milk white paint
paints/adhesives/sealants paints used 2. Benjamin Moore
Natural/Aura
27 Minimize ozone Followed HCFC, CFC free 1. Reduction in use
depleting substance refrigerants and air of HCFC, CFC
conditioning for air
conditioners
2. Less release
halons form fire
extinguishers
(continued)
Analysis by Benchmarking the Criteria of GRIHA … 357

(continued)
S. No. GRIHA criteria Followed/not Reason Baseline
followed requirement
28 Ensure water quality Followed 1. Portable drinking Properly treated
water for water as per
occupants requirement
2. Effectively treated
water for
bathrooms,
kitchens, basins
3. Test performed
regularly at
NABL laboratory
29 Acceptable outdoor and Followed Outdoor: 64.4 db Residential:
indoor noise levels Indoor: 53 db 1. Indoor-45 db
2. Outdoor-55 db
Commercial:
1. Indoor-55 db
2. Outdoor-65 db
30 Tobacco smoke control Followed 1. Smoke free area 1. Smoke free area
2. No designated 2. Designated
smoking zone smoking zone
31 Provide at least Partially 1. No appropriate 1. Slope apart from
minimum level of followed toilets stairs for passage
accessibility for persons 2. No elevator in all 2. Elevators to
with disabilities buildings approach all
3. No reserve rooms
parking spots 3. Appropriate
toilets and reserve
parking
32 Energy audit and Followed Execution of audit Validation and
validation execution of audit
33 Operation and Followed 1. Horticulture 1. Day to day and
maintenance maintenance yearly
2. Day to day, yearly maintenance
maintenance 2. Horticulture and
landscape
maintenance
3. Pre and post
monsoon
maintenance
34 Innovative ideas Followed 1. 100 KW solar pv Utilisation of
system greater renewable energy
than prescribed
value
2. Repetitive
seminars to
educate people
358 J. Saraswat et al.

Table 1 Green building activity in different sectors globally [5]

S. No. Sectors 2008 (%) 2012 (%)
1 New commercial construction 48 63
2 Existing/building retrofits 45 50
3 New institutional construction N/A 45
4 Communities 34 30
5 New high rise residential 24 29
6 Commercial interiors 32 25
7 New low rise residential 28 20

4 Green Buildings Globally

Countries are required to reduce their GHG emissions to meet the targets set under
the Paris Accord. To meet their targets many countries have made their green building
regulating and authoritative bodies and have started undertaking green building
projects. It is clear from Table 1 that the green building activity has increased in
recent times.
South Africa, Singapore, India, Mexico etc. are having green building activities
above 24% which is the global average [6]. Green Building projects are likely to
grow more in developing countries like India, Brazil than in developed countries like
U.S.A., U.K. etc. New commercial construction sector is ranked higher for green
building projects in Brazil, Mexico etc., while retrofit projects tops in U.K., South
Africa etc.

5 Conclusion

The post-certification period of a green building sees non-compliance on many

criteria. This non-compliance can be because of the following reasons:
• Economic aspects—initial investment not attractive for a system
• Flaws in initial planning and design
• Overlooking safety of construction workers
• Not reaping benefits from various campaigns initiated by the government
• Lack of technological advancement
Building authorities must ensure compliance with all criteria even in post-
certification period to meet the very need for which it was conducted.
Myriad merits of Green Buildings have made them a widely accepted concept
across the globe. Most nations are escalating their efforts towards green buildings in
order to achieve their climate targets.
Analysis by Benchmarking the Criteria of GRIHA … 359

Acknowledgements The authors would like to thank the Department of Electrical Engineering at
UPES, for the coursework on ‘Green building’ and consequent case studies.

References

1. Buildings and Climate Change. Available at: [Link]

2. National Aeronautics and Space Administration, Global Temperatures. Available at: [Link]
[Link]/Features/WorldOfChange/[Link]
3. U.S. Green Building Council, Benefits of Green Building. Available at: [Link]
articles/green-building-facts
4. Project Registration. Available at: [Link]
5. Cherry Bekaert LLP, Real Estate and Construction. Available at: [Link]
global-growth-trends-in-green-building/
6. World Green Building Trends 2016: More nations, more projects. Available at: [Link]
[Link]/articles/world-green-building-trends-2016-more-nations-more-projects
Dependence of Physiochemical Features
on Marine Chlorophyll Analysis
with Learning Techniques

Subhrangshu Adhikary, Sudhir Kumar Chaturvedi, Saikat Banerjee,

and Sourav Basu

Abstract Marine chlorophyll which is present within phytoplankton are the basis
of photosynthesis and they have a high significance in sustaining ecological balance
as they highly contribute toward global primary productivity and comes under the
food chain of many marine organisms. Imbalance in the concentrations of phyto-
plankton can disrupt the ecological balance. The growth of phytoplankton depends
upon the optimum concentrations of physiochemical constituents like iron, nitrates,
phosphates, pH level, salinity, etc. and deviations from an ideal concentration can
affect the growth of phytoplankton which can ultimately disrupt the ecosystem at
a large scale. Thus the analysis of such constituents has high significance to esti-
mate the probable growth of marine phytoplankton. The advancements of remote
sensing technologies have improved the scope to remotely study the physiochemical
constituents on a global scale. The machine learning techniques have made it possible
to predict the marine chlorophyll levels based on physiochemical properties and deep
learning helped to do the same but in a more advanced manner simulating the working
principle of a human brain. In this study, we have used machine learning and deep
learning for the Bay of Bengal to establish a regression model of chlorophyll levels
based on physiochemical features and discussed its reliability and performance for
different regression models. This could help to estimate the amount of chlorophyll
present in water bodies based on physiochemical features so we can plan early in

S. Adhikary
Department of Computer Science and Engineering, Dr. B. C. Roy Engineering College, Durgapur,
West Bengal 713206, India
e-mail: [Link]@[Link]
S. K. Chaturvedi (B)
Department of Aerospace Engineering, UPES, Dehradun 248007, India
e-mail: [Link]@[Link]
S. Banerjee
Department of Mechanical Engineering, Cubicx, Kolkata, West Bengal 700070, India
e-mail: saikatbanerjee@[Link]
S. Basu
Department of Electrical Engineering, Cubicx, Kolkata, West Bengal 700070, India
e-mail: souravbasu@[Link]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 361
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
362 S. Adhikary et al.

case there arises a possibility of disruption in the ecosystem due to imbalance in

marine phytoplankton.

Keywords Chlorophyll · Remote sensing · Machine learning · Deep learning ·

Classification

1 Introduction

Phytoplanktons are marine organisms coexisting with other marine organisms and
together they establish a balance of the ecosystem as they become part of the food
chain for many other sea creatures as well as they are responsible for primary produc-
tivity and contributes significantly toward global oxygen production. Phytoplanktons
are autotrophs which means they can prepare their food by using organic sources like
carbon dioxide, water, etc. with the help of sunlight. The photosynthesis undergone
by phytoplankton means that they have a pigment in their cell called chlorophyll.
A chlorophyll can reflect near-infrared light bands by which satellites can remotely
detect them [1]. Therefore remote sensing could be useful to remotely monitor phyto-
plankton blooming. Remote sensing could also be used to detect many other physio-
chemical features. EU Copernicus Program has used these remote sensing abilities to
create a publicly available reanalysis data which we have used in this experiment. The
basic remote sensing data are used in different combination to create reanalysis data
which contains features like primary productivity, pH levels, salinity, phosphates,
nitrates, etc.
The amount of phytoplankton in the ocean directly or indirectly depends upon
the concentration of many physiochemical features and phytoplanktons require a
balanced amount of these features for optimum growth. Deviation of these features
could deplete the phytoplankton levels. Therefore reanalysis data of remote sensing
can be useful to detect volumes of both chlorophyll and other physiochemical
features, this leaves an immense opportunity to remotely monitor them. On the other
hand, due to the advancement of machine learning and deep learning technologies,
we can monitor the chlorophyll levels automatically utilizing remote sensing.
In this experiment, we have tried to establish a relationship between chlorophyll
with physiochemical features utilizing different machine learning and deep learning
techniques to detect chlorophyll levels based on these features remotely and auto-
matically. We have chosen the Bay of Bengal as our study location as it holds lots of
ecological importance because of the Sundarbans Delta, which is home for many rare
animals and sea creatures that co-exist. The imbalance of the ecosystem for either
of land or sea could affect one another directly or indirectly. The coordinates of the
study location are from 5° N to 15° N and 82° E to 92° E (Fig. 1).
Dependence of Physiochemical Features on Marine Chlorophyll … 363

Fig. 1 A map of chlorophyll distribution at depth 0.5 m of sea-level indicating our study location
in the Bay of Bengal [2]

2 Recent Advancements in Marine Chlorophyll Study

Here in this section, we will discuss the advancements in the field of chlorophyll
study, remote sensing, machine learning and deep learning studies and will discuss
why we have chosen this study area.
Chlorophylls are present within phytoplankton which makes it capable of
performing photosynthesis. Chlorophyll present within phytoplanktons could
be detected by phaeophytin by fluorescence method [2]. Earlier, N,N-
dimethylformamide has been introduced as an upgraded method for phytoplankton
chlorophyll detection [3]. The phytoplankton distribution in the southern ocean was
studied to understand the primary production capacity of marine phytoplanktons [4].
A model was prepared in [4] for the carbon ratio and the conversion factor between
productivity and growth rate of phytoplankton. The thermal structure of the ocean
364 S. Adhikary et al.

and its consequences of non-uniformity in chlorophyll profile was discussed in [5].

The nutrient requirements and importance of nitrogen requirements as well as its
storage in macroalgae was established [6].
Earlier, an early-warning protocol was developed for prediction of chlorophyll-a
concentrations with machine learning for the estuarine reservoirs, Korea with a 7-
year monitoring data [7]. Geostationary Ocean Color Imager satellite data was earlier
used to monitor coastal water quality with help of machine learning technique and
obtained low accuracy of 1.74 mg m−3 root mean squared error [8]. The application
of machine-learning techniques was used to create a consistent and calibrated global
chlorophyll concentration baseline dataset by utilizing remote sensing data for ocean
colour [9].
Random Forest Classifier was used for classification of remote sensing data
obtained from Landsat Enhanced Thematic Mapper Plus (ETM+) and its perfor-
mance was compared with support vector machine classifier [10]. The same classifier
along with Decision Tree Classifier was used for assessment of chlorophyll suffi-
ciency levels of mature palm oil utilizing hyperspectral remote sensing technology
[11]. Decision tree was also used to classify transparent plastic-mulched landcover
utilizing Landsat-5 TM images [12]. Artificial neural network-based approach with
the help of multi-layer perceptron to predict leaf chlorophyll content by analyzing
cotton plant images [13]. MLP was also proven to be effective for estimation of
chlorophyll concentration index of lettuce and obtained coefficient of determina-
tion 0.98 and a mean squared error 0.006 during the validation process. Convo-
lution neural network was used for the estimation of seawater chlorophyll-a by
analyzing hyperspectral images [14]. Image-based canopy reflectance model was
developed for remote estimation of one-sided leaf area and leaf chlorophyll content
by utilizing CNN technologies [15]. Deep neural network with the help of CNN
was also used for chlorophyll-a concentration model with an extremely imbalanced
dataset and showed that proper pre-processing techniques and oversampling can
improve prediction accuracy in these cases [15]. Deep learning was used for inves-
tigation of chlorophyll-a and total suspended matter concentration in Taihu Lake,
China utilizing Landsat ETM and field spectral measurements [16].

3 Methodology

Here in this section, we have talked about the process of data collection, preprocessing
and classification of the data in details.

3.1 Data Availability and Preprocessing

EU Marine Copernicus Program is a widely accepted platform for accessing publicly

available remote sensing data. They have used basic satellite remote sensing data
Dependence of Physiochemical Features on Marine Chlorophyll … 365

Table 1 The summary of the dataset

Feature Min Max Mean Standard deviation Unit
spco2 28.3267 41.4043 35.877050 1.647791 Pa
O2 194.291 219.503 202.106733 2.703826 mmol m−3
Chl 0.0726752 1.31307 0.120117 0.058221 mg m−3
NO3 0.00155384 7.94053 10.000000 0.419270 mmol m−3
PO4 4.00281e−05 0.414416 0.022617 0.031002 mmol m−3
si 0.720682 11.9874 3.283496 1.289600 mmol m−3
pH 8.01069 8.13985 8.059485 0.016567 –
nppv 1.21979 82.9279 4.686437 4.723566 mg m−3 day−1
Fe 3.91981e−05 0.00294045 0.001006 0.000363 mmol m−3
mlotst 10.5289 66.2252 20.445362 7.716653 m
thetao 25.4276 31.463 28.749488 0.846414 °C
bottomT 0.654163 20.5935 1.620214 1.627649 °C
vo −1.5656 1.20792 0.007621 0.165873 ms−1
uo −0.913724 1.37638 −0.000650 0.218761 ms−1
so 28.0969 35.4183 33.248507 0.702603 10−3
zos 0.146489 0.979339 0.505828 0.088441 m

to create a reanalysis data which indicates the concentrations of different physio-

chemical items like surface carbon dioxide pressure, dissolved oxygen, chlorophyll,
dissolved silicates, pH levels, total primary productivity, etc. at a depth of 0.5 m. We
have downloaded these data for the year 1993–2018 in NetCDF format. This data
contains the historical data in the form of time series for each location coordinates
at 4 km pixel resolution. Now, we have converted this file to a time series statistical
table for each location totalling up to over thirty-seven thousand rows to train on.
To indicate low levels of chlorophyll, we have marked 1/4th of the dataset having
the lowest amount of chlorophyll as “Critical” and marked remaining as “Normal”.
Later we have randomly split up the table into training and testing set containing
75% and 25% data respectively. The summary of the time series data is mentioned
in Table 1 and a portion of the time series is represented by Fig. 2.

3.2 Classifiers

Random Forest Classifier (RFC)

Random Forest Classifiers are powerful ensemble-based classifier which creates
several trees to make a decision with each and then the output of the classifier becomes
the class which have received the majority of these trees’ decisions. To decide the
number of nodes of the trees to make a decision, the Gini Index or Entropy function
is used. We have used the Gini Index method for this experiment to create branches
366 S. Adhikary et al.

Fig. 2 A graph of all the features from a small portion of the entire dataset as a sample
Dependence of Physiochemical Features on Marine Chlorophyll … 367

of the trees. As RFC classifier works by making several trees and reach a decision
based on their output, it becomes very slow compared to other classifiers for the
purpose but its decisions become very accurate and stable.
Decision Tree Classifier (DTC)
A decision tree is a supervised machine learning algorithm based on ensemble clas-
sification method. The features of the dataset are represented as nodes of a DTC and
the branches of the tree represent a decision that follows and leaf nodes of the tree
represent outcomes. Similar to RFC, DTC also uses the Gini Index and Entropy func-
tion method to decide nodes of the tree. A decision tree learns from the pathway of
the decision made during the training process, therefore DTC often seems to overfit
the model, which means it attempts to fit as many training data as possible and if the
values of the testing set are too much different from the training set, DTC might start
showing erroneous results. Therefore for an ideal DTC, the training data should have
a close match for a testing data and in such situation, there needs to have enough
amount of training data so a model could properly recognize close matches while
predicting outputs.
Multi Layer Perceptron (MLP)
A perceptron is an artificial neuron and works similar to how a natural neuron works.
They get signal from one end, it is modified and reach the other end from where
it is transmitted to other perceptrons. An artificial neuron gets an input, multiply
with some weight, add some bias and pass the result to next artificial neuron. When
this process is repeated over a range of neurons forming stacks of different layers to
create a network, it is called a Multi Layer Perceptron and it is the simplest form of
neural network. The weights and biases of each node are first initialized with random
values and then the cost of the network is monitored to tune the weights and biases
to minimize loss. The goal is to create a path in the network passing through which
inputs will mimic the ideal output. Dropout functions are often used to introduce
randomness in the network by randomly activating and deactivating different nodes
in the network to make the model learn and not memorize. It is a very powerful
technique which mimics the decision making process of a human brain.
Convolution Neural Network (CNN)
Convolution neural network is an extension of MLP which primarily specializes to
deal with image data however they are very well suited for statistical classification
as well. A CNN first extracts several features from the dataset like grey level cooc-
currence matrix, different edge detection techniques, k-means clustering and several
more. However all extracted data are not necessarily useful therefore a max-pooling
concept is used which extracts the most promising features from the feature extrac-
tion matrix. This discards unnecessary features and only keeps important ones so
the model does not consume too many resources in the process. After a convolution
layer, MLP is added to the base of it to make it more suitable for classification,
this includes adding several hidden dense layers, dropouts, and activation functions
which modifies the output of a node or a layer based on given rules. Finally, the
output of the CNN network is used to make the decision.
368 S. Adhikary et al.

4 Results and Discussion

Here in this section, we will discuss the performance of our models in two stages.
First, we will use all available features to train our model and second we will use
only the top 4 features which influence classification the most and we will discuss
them in details.

4.1 Classification with All Available Features

When used all the features available in our dataset, we have observed that RFC
obtained the highest classification accuracy of 93.92% followed by CNN, DTC and
MLP obtaining 92.62%, 91.52% and 90.78% classification accuracy respectively.
Now, accuracy is a metric which is very useful when using a balanced dataset for
training means both the classes in the classifier should have an equal number of
items. It’s like if the dataset has 90 items of one class and 10 items of other class and
our model labels all of them as the first class, it will still show 90% accuracy while
it cannot identify any of the items from other class. Our dataset is unbalanced as
it’s 1/4th data are labelled as “Critical” and other 3/4th data are labelled “Normal”,
therefore we need more metrics to decide how our model performed. Two such
important metrics are precision and recall. Precision is the ability of the classifier not
to detect a false-positive item and recall is the ability of the classifier not to detect a
false-negative item in the dataset. Closer the score is to 1, better the model performs.
We can see that RFC has obtained a precision score of 0.923 which is quite
impressive, and CNN received 0.916. However, both DTC and MLP have a lower
precision score which indicates that they have labelled many items as false-positive.
This indicates that RFC and CNN have better prediction than DTC and MLP in terms
of precision. Now when we consider recall, we can see that RFC has the highest recall
but DTC, MLP and CNN have a lower recall score indicating that they have labelled
many items as a false negative. As far as accuracy, precision and recall are concerned,
RFC stands out to be the best classifier for the situation.
Now when it comes about resource optimization, we can see that DTC was the
fastest to train by training the model in 400.63 ms, followed by RFC, MLP and
CNN with 7878.39 ms, 11,351.09 ms and 18,057.22 ms respectively. For generating
output, we can see that DTC again becomes the fastest to predict results in 1.668 ms,
followed by MLP, RFC and CNN which took 5.22 ms, 139.494 ms and 207.026 ms
respectively. From this, we can see that DTC by far is the fastest model for both
training and testing. However, given its low precision and recall score, we choose
RFC as an alternative when we need fast training. But RFC fails to generate results
fast, therefore looking at the testing time, MLP ranked second. However, accuracy,
precision and recall of MLP are lower than DTC and therefore it cannot be fully
reliable either. Therefore, going by the third in the ranking, although it performs
slower than the other classifiers, we conclude RFC to be the best classifier based
Dependence of Physiochemical Features on Marine Chlorophyll … 369

Table 2 Classification performance while using all features

Classifier Training time (ms) Testing time (ms) Accuracy (%) Precision Recall
Random forest 7878.39 139.494 93.92 0.923 0.917
Decision tree 400.63 1.668 91.52 0.884 0.89
Multi layer 11,351.09 5.22 90.78 0.882 0.875
perceptron
Convolution neural 18,057.22 207.026 92.62 0.916 0.894
network

on overall performance, and when speed is the ultimate goal, DTC could also be
alternatively used by compromising around 2.4% accuracy. The performances are
recorded in Table 2.

4.2 Using Only the Best 4 Features to Increase Model Speed

Using each of features available in our dataset to train the model, although increases
overall accuracy, reduces the model building time and prediction time. Therefore
to reduce this time, we can use fewer but more relevant features which although
reduces training and testing time, it trades off some of the accuracies in the process.
Our goal is to minimize this accuracy loss and maximize resource optimization.
For this purpose, we have used the pair plot technique to find the most relevant
features for our training. By pair plotting all the features against one another, we can
observe that more separate the clusters of classes are, better it works as a classification
feature. Figure 3 shows the pair plot for 4 features whose clustered classes were most
distinguishable among the rest of the models. Therefore by using them, we can expect
a reasonable classification performance.
The performances of the best four features for classification which are phosphate
concentration, the concentration of dissolved silicate, total primary productivity per
day and ocean temperature are recorded in Table 3. From this, we can see that using
these four features, RFC has obtained the best accuracy of 91.51%, followed by CNN,
MLP and DTC which obtained 90.12, 89.59 and 88.86% classification accuracy. We
can see that accuracies of all the classifiers have slightly reduced. Looking at the
precision scores, both RFC and CNN have equal precision scores of 0.89 followed
by MLP and DTC which obtained 0.868 and 0.852 respectively. We can see a drop in
precision for all the classifiers but DTC dropped the most which indicated that losing
features, it now generating lots of false-positive errors. For recall, we can see that
RFC has the highest recall score of 0.884 followed by CNN, MLP and DTC which
have recall scores of 0.859, 0.857 and 0.849. We can see that RFC still have decent
recall score but all remaining classifiers started to obtain many false-negative errors.
Based on accuracy, precision and recall, even after using only 4 features, RFC still
proves to be a good classifier for the given problem.
370 S. Adhikary et al.

Fig. 3 A pair plot for top 4 features which have the highest influence in the classification

Table 3 Classification performance while using all features

Training time (ms) Testing time (ms) Accuracy (%) Precision Recall
Random forest 5927.74 138.989 91.51 0.89 0.884
Decision tree 206.08 2.346 88.86 0.852 0.849
Multi layer 8514.07 5.186 89.59 0.868 0.857
perceptron
Convolution neural 16,262.27 200.318 90.12 0.89 0.859
network

Now for training time, there was a reduction in training time for all the classifiers.
However, for testing time, we can see that although RFC, MLP and CNN have
retained almost similar testing time, testing time for DTC has increased. For this
classification, RFC performs the best among the remaining classifiers.
From these two observations, we can conclude that RFC proves to be the best
classifier based on overall performance. But when used only 4 classifiers, RFC’s
Dependence of Physiochemical Features on Marine Chlorophyll … 371

accuracy was approximately equal to DTC built with all features. But in this situation,
using DTC with all feature trains around 14 times faster than RFC with 4 features.
Therefore, when accuracy is the ultimate goal, RFC could be safely used with all
features to obtain an optimum classification accuracy but when resource consumption
is concerned, DTC with all features is a much better choice for classification rather
than using RFC with lesser features.

5 Conclusion

Phytoplanktons are an essential part of the ecosystem and their conservation has a
high priority for the sake of maintaining an ecological balance as they are primary
producer significantly contributing toward global oxygen production and also as they
come under food chain of many marine creatures. They contain chlorophyll which
conducts photosynthesis and chlorophylls are visible under near-infrared light bands.
For this property, they can be monitored with remote sensing technologies. Remote
sensing could also be reanalyzed to estimate many physiochemical features which
affect phytoplankton growth.
In this experiment, we have used remote sensing data to establish a classifiable
relationship between different physiochemical features to estimate chlorophyll levels
based on these features. For our experiment we have constructed time-series data
from EU Marine Copernicus Program data and used different classifiers like Random
Forest, Decision Tree, etc. and analysed their performances.
From our experiment, we can observe that RFC performs the best for overall
performance obtaining classification accuracy of 93.92%, however, its speed is slow.
To overcome this, instead of reducing training features, using DTC could provide
very fast and reliable performance. DTC obtained 2.4% lower accuracy but trains
19.66 times faster and produces results 83.62 times faster than RFC.
The model could be deployed as an inexpensive global monitoring solution of
worldwide chlorophyll levels. This model could be upgraded by training with data
from more locations and other features. The extension of the work could be to monitor
chlorophyll levels at a much greater depth along with their relation with zooplanktons
could be established with the help of remote sensing and learning techniques. Also,
their relation with pollutants could be established. All of these together will help
toward sustaining an ideal ecosystem.

6 Code Availability

The code of the project have been made available on GitHub Repository under MIT
License of open source distribution of programs and the codes can be freely reused
for commercial and non-commercial purpose [17].
372 S. Adhikary et al.

Table 4 Abbreviations
Key Full-form Key Full-form
DTC Decision Tree Classifier nppv Total Primary Production of
Phytoplankton
CNN Convolution Neural Network Fe Dissolved Iron
RFC Random Forest Classifier mlotst Density Ocean Mixed Layer
Thickness
MLP Multi Layer Perceptron thetao Temperature
spco2 Surface CO2 Pressure bottomT Sea Floor Potential Temperature
O2 Dissolved Oxygen vo Northward Velocity
Chl Total Chlorophyll uo Eastward velocity
NO3 Dissolved Nitrate so Salinity
PO4 Dissolved Phosphate zos Sea Surface Height
si Dissolved Silicate pH pH

7 Abbreviations

We have used the following abbreviations throughout the paper (Table 4)

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COVID-19 Spreading Prediction
and Impact Analysis by Using Artificial
Intelligence for Sustainable Global
Health Assessment

Subhrangshu Adhikary, Sonam Chaturvedi, Sudhir Kumar Chaturvedi,

and Saikat Banerjee

Abstract The COVID-19 pandemic is considered as the most alarming global health
calamity of this century. COVID-19 has been confirmed to be mutated from coro-
navirus family. As stated by the records of The World Health Organization (WHO
at April 18 2020), the present epidemic of COVID-19, has influenced more than
2,164,111 persons and killed more than 146,198 folks in over 200 countries across
the globe and billions had confronted impacts in lifestyle because of this virus
outbreak. The ongoing overall outbreak of the COVID-19 opened up new difficulties
to the research sectors. Artificial intelligence (AI) driven strategies can be valuable to
predict the parameters, hazards, and impacts of such an epidemic in a cost-efficient
manner. The fundamental difficulties of AI in this situation is the limited availability
of information and the uncertain nature of the disease. Here in this article, we have
tried to integrate AI to predict the infection outbreak and along with this, we have also
tried to test whether AI with help deep learning can recognize COVID-19 infected
chest X-Rays or not. The global outbreak of the virus posed enormous economic,
ecological and societal challenges into the human population and with help of this
paper, we have tried to give a message that AI can help us to identify certain features
of the disease outbreak that could prove to be essential to protect the humanity from
this deadly disease.

S. Adhikary
Department of Computer Science and Engineering, Dr. B. C. Roy Engineering College, Durgapur,
West Bengal 713206, India
e-mail: [Link]@[Link]
S. Chaturvedi
Department of Health Safety Environment and Civil Engineering, University of Petroleum and
Energy Studies (UPES), Bidholi Energy Acres, Dehradun 248007, India
S. K. Chaturvedi (B)
Department of Aerospace Engineering, UPES, Dehradun 248007, India
e-mail: [Link]@[Link]
S. Banerjee
Department of Mechanical Engineering, Cubicx, Kolkata, West Bengal 700070, India
e-mail: saikatbanerjee@[Link]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 375
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
376 S. Adhikary et al.

Keywords COVID-19 · Deep learning · Prediction · Pandemic · Health

assessment · Sustainable · Global health assessment

1 Introduction

The widespread outbreak of COVID-19 from the city of Wuhan, China has spread
all over the world has affected humanity drastically. Millions of people have been
infected by the virus and over five hundred thousands of people have already died
because of the virus. The remaining people all over the world is at risk of contam-
ination. COVID-19 is a single-stranded RNA virus from the coronavirus family. It
has spiked glycoproteins around its body surface which attach to receptor cells of
the host and infects primarily lungs causing auto-immune response around alveoli
which in turn swells the surrounding area and lungs filled up with fluids. This makes
the gaseous exchange of the lungs difficult and severely infected patients require
a life support system to continue a sufficient oxygen supply. There is no specific
cure available to fight against the virus and only generic treatments are being used to
reduce the damage caused by the infection. Researchers are working hard to discover
a vaccine or antiviral treatment to fight against the disease. Until then, prevention of
the disease from spreading is the best strategy to minimize the contamination.
Artificial Intelligence (AI) can be a very useful tool to control the pandemic
situation. It could be used in many situations like aiding researchers to simulate the
vaccination process, aid doctors to monitor patients and alert doctors if a patient
requires special care so doctors can attend as many patients as possible, aid shopping
malls and markets to monitor the crowd and enforce social distancing measures,
many more. Usage of AI in all these segments could help to optimize the pandemic
control capacity in an inexpensive and fast deployable approach. As AI is a software
program which can be transmitted quickly and can work with a wide variety of
infrastructure setup available worldwide, it can be deployed rapidly. However, the
uncertain nature of the pandemic and limited availability of quality data to train
on is the biggest hurdle for AI. However, implementations of advanced techniques
like usage of generative algorithm and transferring of pre-trained weights for deep
learning can be very useful to train and predict outcomes with high accuracy even
with a very limited dataset. In this paper, we have demonstrated the use of AI in two
cases.
First, we have used generative machine learning algorithm with Bayesian Ridge
regressor technique which works on a probabilistic approach to reconstruct a wide
range of data with given inputs and Gaussian Ridge regressor technique which is an
extension of the earlier. By these, we have built a machine learning model which can
predict the upcoming future trends of the virus based on currently available data so
that early measures could be taken to prevent as much contamination as possible.
The model trains on two sets, to estimate the amount of confirmed COVID-19 cases
and to estimate the number of death cases going to take place in the near future. The
model is described in Sect. 3.2 and its performances are discussed in Sect. 4.1.
COVID-19 Spreading Prediction and Impact Analysis … 377

Second, we have used deep learning on chest X-Ray images to classify COVID-
19 infected patients from normal healthy lungs as well as lungs infected by other
lung diseases like Streptococcus pneumonia infection, Acute Respiratory Distress
Syndrome (ARDS), etc. COVID-19 causes swelling in the lungs which are spotted in
X-Rays. Normal lungs would not have such swelling and should be easily classified
by the model. However, other lung infections as stated above also form swelling and
fluid build-ups in their unique pattern. The model that we have built, has analysed
all these features and successfully classified the two classes. The model is described
in Sect. 3.3 and its performances are discussed in Sect. 4.2.
The paper is arranged in the following manner. The recent advancements in studies
related to COVID-19 and AI are listed in Sect. 2, Sect. 3 contains the availability of the
dataset and its preprocessing, procedure of making our models, Sect. 4 contains the
results observed from our experiment and discussed their performances and Sect. 5
consist of the conclusions we have drawn from the experiment.

2 Background Works

Here in this section, we have discussed the origin, evolution and biological back-
ground of COVID-19 along with usages of AI for controlling the pandemic,
specifically the usage of machine learning and deep learning for the same purpose.

2.1 Background of COVID-19 Pandemic

The epidemiology and pathogenesis of COVID-19 have been discussed in [1]. In this,
the phylogenetic analysis of the virus revealed that it is potentially a zoonotic virus
which means it spreads between animal and people and patients develop intestinal
symptoms like diarrhoea which was rarely evident in the case of MERS-CoV and
SARS-CoV. A summary report based on 72,314 cases from the Chinese center for
disease control and prevention has been made which shows the epidemiological
characteristics of the disease [2]. A summarized report on the origin, transmission
medium and clinical therapies on COVID-19 have been specified in [3]. The utiliza-
tion of critical care for the COVID-19 outbreak in Lombardy, Italy for an emergency
response to the situation is described in [4]. Migrations have been one of the major
reason for the virus outbreak in different places and the effect of travel restriction
on the spread of the virus is discussed in [5]. The social distancing method to avoid
human to human contact is an effective strategy to control the virus outbreak and the
feasibility of this has been discussed in [6]. The demographic science was used to
understand the spread and fatality rate caused by the virus [7].
COVID-19 is a single-stranded RNA virus and the structure of RNA-dependent
polymerase of the virus is discussed in [8]. The virus has a round body with a
spiked glycoprotein structure which attaches itself to the receptors of host cells. The
378 S. Adhikary et al.

glycan shield and the spikes’ interaction with human have been predicted in [9, 10].
Genotype is the genetic characteristic of a cell and phenotype is the corresponding
physical characteristic of the cell. Genotypic and phenotypic characterization of the
COVID-19 cell and their roles in pathogenesis was discussed in [11]. The virology
epidemiology, pathogenesis and the control measures for the pandemic have been
discussed in details in [12].
The Food and Drug Administration (FDA) assures the safety and effectiveness
of drugs for public use, the virtual screening of FDA approved drugs to give relief
to COVID-19 patients were conducted by authors and discussed in [13]. The use
of chloroquine phosphate for the treatment of COVID-19 associated pneumonia
has shown positive results [14]. The usage of randomized drugs on clinical trials and
their outcomes were studied and are recorded in [15]. COVID-19 causes inflammation
within the lungs with the build-up of fluids. Therefore the usage of anti-inflammatory
drugs for the treatment of COVID-19 patients with the severe condition can give
relief for breathing. This clinical immunologists from China have provided their
perspective about the matter in [16]. Anti-inflammatory drugs are often steroidal, but
to study the effects of non-steroidal anti-inflammatory drugs on COVID-19 patients,
experiments were conducted and the outcomes were recorded in [17].

2.2 Usage of AI for Controlling the COVID-19 Pandemic

Since the evolution of better processing capacity of computers, AI has become a very
essential tool to assist human in multiple aspects. AI has intervened the processes
where human intervention is not practically feasible or is expensive. AI has the
decision-making capabilities which can be primarily in the form of classification
and regression. AI was earlier used to form a framework for quicker identifica-
tion of COVID-19 in cities and towns under quarantine with a mobile phone-based
survey model [18]. Chest CT scan reports were used to distinguish COVID-19 from
community-acquired pneumonia with AI [19]. The authors in [20] have reviewed
the use of AI to fight against COVID-19 and given prominent perspective about
the matter based on all recent studies. AI was coupled with universal data sharing
standards to monitor human health in smart city networks [21].

3 Methodology

Here we have discussed the methods we have implemented to test different artificial
intelligence models which can be useful for controlling the spread of the COVID-19
outbreak. This section is divided into two primary sub-sections. One discusses the
use of machine learning regression model to predict the trend of the virus outbreak,
that is the prediction of future deaths and confirmation of COVID-19 positive cases
COVID-19 Spreading Prediction and Impact Analysis … 379

based on current data. This is based on two generative machine learning regres-
sors known as Bayesian Ridge Regressor and Gaussian Process Regressor. The other
section discusses the implementation of deep learning technology for the detection of
COVID-19 positive patients with the help of chest X-Rays as an alternative to tradi-
tional lab test. This is performed by deep convolution neural network model. Details
of the procedures for both are given in following sub-section. The performances of
all these techniques are recorded in Sect. 4.

3.1 Data Availability and Pre-processing

The regression model for estimating future confirmed cases and death cases have been
made with the help of publicly available records provided by Johns Hopkins Univer-
sity [22]. For the X-Ray, classification has used Kaggle dataset [23, 24] which were
cited by many peer-reviewed articles. These datasets combined contained over four
thousand image data for chest X-Ray including normal subjects, COVID-19 patients,
pneumonia patients, ARDS patients and more. The datasets, however, contained
some noise in the form of CT-Scan images which we have manually removed. Later
we have split them into two sets for training and testing purpose.

3.2 Virus Outbreak Trend Prediction with Machine Learning

The trend prediction of the virus is to estimate confirmed cases and deaths in
future based on present data we have used two popular generative machine learning
regressor known as Bayesian Ridge Regressor and Gaussian Process Regressor.

Bayesian Ridge Regressor (BRR)

Bayesian Ridge Regressor is a generative regressor which can reconstruct missing
data or poorly distributed data by creating a linear regression model with the help
of probability distributors instead of estimating from available points for training.
As the number of deaths and confirmed cases will grow with time and will not
oscillate within a specific range, a reconstruction of points from available points are
necessary and BRR algorithms fit perfectly with this situation. Based on currently
available data, it builds a probabilistic model estimating the change in the dependent
feature (future trend) with respect to the independent feature (past trend) and this
probability measure is used to estimate newer sets of data.

Gaussian Process Regressor (GPR)

GPR is a non-parametric regressor which works on the principle of the probability
distribution for all functions that fit the data instead of calculating the probability
distribution of parameters of a specific function. GPR can train with a very small
dataset and provide good outcomes from them. It works like a multivariate Gaussian
380 S. Adhikary et al.

distribution of infinite-dimension and the space of functions could be incorporated

by the selection of the mean and covariance function. A GPR has multiple kernels
and our regressor is primarily based on two kernels, dot product kernel and white
kernel. A dot product kernel can be obtained from linear regression by tuning the
coefficients and biases. It is invariant to coordinate rotation about the origin but not
translation. A white kernel, on the other hand, is a part of sum kernel which explains
the noise of the signal as an independent and identical normal distribution.

3.3 Detection of COVID-19 from Chest X-Rays with Deep

Learning

Deep learning has been evolved as a powerful tool for classification and regres-
sion problem for both supervised and unsupervised learning. The deep convolution
neural network (CNN) is the most promising algorithm to work with image data. A
CNN traverses through all images in a dataset and extracts several features from it
like the colour cluster concentration, texture, boundary, etc. out of which the most
contrasting features are filtered and establish a classifiable relationship between the
different classes or categories of the image datasets. We have trained the classi-
fiers to figure out certain contrasting features between two classes of data, that is,
one dataset containing chest X-Ray of patients infected with COVID-19 and other
dataset contains a combination of normal chest X-Rays and other lung infection apart
from COVID-19. The performances are recorded in Sect. 4.2.

4 Results and Discussions

The performance of the outbreak trend predictor model is discussed in Sect. 4.1 and
performance analysis of COVID-19 detection with chest X-Rays model is discussed
in Sect. 4.2.

4.1 Performance Analysis of Outbreak Trend Predictor

Model

The daily recorded values of total confirmed cases and death cases of India were
recorded from the first detected confirmed case up to the next 100 days and these
data were split into two parts. The records of confirmed cases were split and first
67% of the data were used to train the model and the other 33% of the data were
used to validate the accuracy of the model. Due to the uncertain nature of the disease,
we needed more data to train the model to predict the future trend of death case and
COVID-19 Spreading Prediction and Impact Analysis … 381

because of this, we have used 75% of the death record data for training and 25% of
the data for validation purpose. To estimate the performance of the data, we have
used Root Mean Squared Error (RMS Error) metric along with the lower and upper
bound of the testing dataset and also the training and testing time for each model.
The performances are recorded in Table 1 and the graph of the prediction is plotted
in Figs. 1 and 2.
From Table 1, we can observe that to determine the performance of the regressors
to predict the estimated confirmed COVID-19 positive cases, we can see that the

Table 1 Performance of the classifiers

Regressor Training time Prediction Prediction root Lower bound Upper bound
(ms) time (ms) mean squared of test set of test set
error (RMSE)
Bayesian 1.3067 0.1402 2031.08 9152 52,952
ridge (BRR)
(confirmed
cases)
Gaussian 14.948 0.1478 2089.13 9152 52,952
process
(GPR)
(confirmed
cases)
Bayesian 1.7235 0.3426 29.50 718 1783
ridge (BRR)
(death cases)
Gaussian 62.226 0.4079 29.71 718 1783
ridge (GPR)
(death cases)

Fig. 1 The predicted trend of COVID-19 confirmed cases from 1st confirmed case till 100 days
382 S. Adhikary et al.

Fig. 2 The predicted trend of COVID-19 confirmed death cases from 1st confirmed case till
100 days

root mean squared error (RMSE) for BRR is 2031.08 and GPR is 2089.13 where the
lower and upper bounds of the test sets are 9152 and 52,952 respectively. Now as the
RMSE for both the regressors are very close, to test the performance of the classifiers,
we need to check which one among them consumes lesser resources. For this, we
can see that BRR trains the model in 1.3067 milliseconds (ms) and generates output
in 0.1402 ms whereas GPR trains the model in 14.948 ms and generates output in
0.1478 ms. Both of the regressors’ prediction times are very close but we can observe
that BRR trains approximately 10 times faster than GPR. Based on all the parameters,
we can confirm that BRR performs the best to determine the estimated confirmed
COVID-19 positive cases based on currently available statistics.
Now for the death cases prediction, we can see that RMSE of BRR and GPR
are 29.50 and 29.71 respectively for the test dataset having lower bound of 718 and
upper bound of 1783. Now as the RMSE of both the classifiers is close, looking
at the training and prediction time we can see that BRR trains 36 times faster and
predicts 1.1 times faster than GPR. Therefore we see that in both the cases, BRR
outperforms GPR in almost every aspect and we can reliably use BRR algorithm for
the prediction of both COVID-19 confirmed cases as well as death cases caused by
the virus.

4.2 Performance Analysis of COVID-19 Detection with Chest

X-Rays Model

As discussed in Sect. 3.3, a convolution neural network extracts several properties

from the image to establish a classifiable relationship between the classes of images.
COVID-19 Spreading Prediction and Impact Analysis … 383

Figure 3 gives an overlook of the intermediate feature extraction process of CNN

algorithm. A COVID-19 infected chest X-Ray was passed through the model, and
CNN extracted several features from that image and those are reflected in each
frame of Fig. 3, this is how our model sees the image. After extraction of several
such features, our model figured out the most important features from the dataset
which can be used to classify the data. After training the model for several rounds
until a consistent validation loss was obtained, our model was trained to classify
COVID-19 from normal as well as lungs infected with other infections apart from
COVID-19 by utilizing chest X-Ray images.
From Table 2, we can see that for the classification of the dataset, our model
has obtained a classification accuracy of 95.02%. Now as the number of images
in the two classes were different, therefore we use other metrics to understand the
model performance at more depth. The precision and recall of the model are 0.944

Fig. 3 How our deep learning model sees the COVID-19 infected chest X-Ray image to extract
classifiable features
384 S. Adhikary et al.

Table 2 The performance of the COVID-19 versus others classifier

Accuracy (%) Precision Recall F1 score
Performance 95.02 0.944 1.000 0.968

and 1.000 respectively which means our model has not labelled any image as false-
negative but few images were labelled as false-positive. The closer the score to 1,
the better the model should perform. Same goes for F1 score which is the harmonic
mean of precision and recall. The high value of accuracy, precision, recall and F1
score indicates that our model performed with high accuracy. Further development
and testing with this model could be done to deploy as an inexpensive alternative
COVID-19 testing strategy.

5 Conclusion

COVID-19 is the most serious disease outbreak of the twenty-first century and there
is no specific cure available yet. To stop the spread of COVID-19, the best strategy
is to prevent the community spread of the virus. To control the outbreak of the virus,
science and technology have an immense role to play. Medical science is working
very hard to discover a specific cure and other branches of science can also contribute
to stop the spread of the virus. In this paper, we have discussed the role of Artificial
Intelligence in controlling the pandemic. We have developed two strategies which
can help in controlling the virus outbreak.
First, we have developed a machine learning algorithm with the help of Bayesian
Ridge and Gaussian Process regressor techniques. We have trained it to predict
the future trends of the virus outbreak based on currently available statistics. To
estimated confirmed COVID-19 positive cases and death cases likely to happen in
the near future, Bayesian Ridge Regressor performs the best in almost all aspect. By
understanding the upcoming trends, it would be very useful to flatten the curve of
reported incidence for a specific place.
After this, we have developed a deep learning model which could be useful to
replace traditional tests. As the traditional test takes a long time and the testing centres
are sparsely located, alternative testing strategies have high importance. With the
help of our deep learning model, we have successfully classified Covid-19 positive
patients from a dataset containing normal healthy individual and patients affected by
other lung diseases by analyzing chest X-Ray images. For this purpose, our model
has obtained a classification accuracy of 95.02%. This could help us to identify
COVID-19 infected patients in a widely available and inexpensive manner.
Artificial intelligence (AI) could be a very useful tool to prevent the virus outbreak.
Further development in AI could be done to predict the geographical expansion of the
disease or aid officials to plan to serve an optimum amount of patients by monitoring
the severity of their condition.
COVID-19 Spreading Prediction and Impact Analysis … 385

6 Code Availability

The code for the chest X-Rays classification model to detect COVID-19 has been
made available in GitHub with MIT License for open source distribution and it can
be freely reused for commercial or non-commercial purpose [25].

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Smart Mucoadhesive Bio-flexy Film
Former from Pulp of Magnifera indica
and Its In-Built Properties
for Pharmaceutical Applications

Sugandha Varshney and N. V. Satheesh Madhav

Abstract This research work deals with isolation of biopolymer from Magnifera
indica pulp as film former for Formulating nanosized Tiagabine loaded bio-flexy
films for epilepsy treatment. Biopolymer isolated by simplified economic process and
used as bio-excipient. Bio-flexy films containing six ratios of nanosized Tiagabine:
Magnifera indica biopolymer (1:0.5, 1:1, 1:3, 1:5, 1:6, 1:10) (FIT1–FIT6) were
prepared solvent casting method and compared with that of nanosized Tiagabine:
Sodium CMC standard polymer films (1:0.5, 1:1, 1:3, 1:5, 1:6, 1:10) (FET1–FET6).
The biopolymer which was isolated from Magnifera indica showed percentage yield
of 20.04% ± 0.001, yellowish brown in color, sweet odour, water soluble, colour
changing point was found to be 225 °C ± 4. It tested positive for proteins and carbohy-
drates. Biopolymer possessed in-built biodegradability, biocompatibility, non-toxic,
non-irritantancy and non-reactiveness on soft palatal surface, filmability, mucoadhe-
sivity. Formulations prepared by solvent casting method and evaluated. Thickness
of nanosized Tiagabine loaded bio-flexy films containing Magnifera indica (FIT1–
FIT6) 0.046 mm ± 0.003 to 0.078 mm ± 0.002, Folding Endurance: 81–108, Surface
pH: 7.01 ± 0.03 to 7.01 ± 0.02, Weight Uniformity: 0.032 ± 0.04 to 0.040 ± 0.03,
Drug Content Uniformity: 71.0% ± 0.35 to 80.4% ± 0.30, Swelling Percentage: 61%
± 0.2 to 72% ± 0.1, Percentage Moisture Uptake (PTU): 2.0% ± 0.12 to 2.3% ± 0.10.
Mucoretentivity: 150–360 min, Mucoadhesivity: 180–420 min. Drug release pattern
for formulations FIT1–FIT6 containing Magnifera indica biopolymer based on the
T50% and T80% was FIT5 (1:6) > FIT6 (1:10) > FIT2(1:1) > FIT4 (1:5) > FIT3 (1:3)
> FIT1 (1:0.5). Formulations showed sustained release behavior. Based on all eval-
uation parameters, FIT5 (containing Tiagabine: Magnifera indica biopolymer (1:6))
Bio-flexy film having R2 = 0.9312, Higuchi Matrix as best fit model, follows Fickian
Diffusion (Higuchi Matrix) release mechanism, T50% : 21.25 h, T80% : 44.71 h using

S. Varshney (B)
Guru Nanak College of Pharmaceutical Sciences, Jhajra, Banshiwala, India
N. V. Satheesh Madhav
Formulation Research Development, Vital Therapeutics and Formulations, Pvt. Ltd., Hyderabad,
Telangana 500003, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 387
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
388 S. Varshney and N. V. Satheesh Madhav

BITS Software 1.12. Stability study revealed stable formulations. Prepared formu-
lations of Tiagabine loaded bio-flexy films containing Magnifera indica biopolymer
were suitable for Soft Palatal Delivery.

Keywords Magnifera indica biopolymer · Film former · Nanosized tiagabine ·

Bio-flexy films · Soft palatal delivery

Abbreviations

mm Millimeter
cm2 Centimeters square
min Minutes
mL Milliliter
g Grams
mg Milligram
nm Nanometer
μg Microgram
μM Micrometer
d (nm) Diameter in nanometer
mV Millivolt
rpm Revolutions per minute
°C Degree centigrade
GABA Gamma amino butyric acid
KBr Potassium bromide
GIT Gastro intestinal tract
API Active pharmaceutical ingredient
U.V. Ultraviolet visible spectroscopy
Lmax Maximum absorbance
pKa Dissociation constant
Cmax Maximum concentration
Tmax Time to attain peak concentration
t1/2 Half life
SEM Scanning electron microscopy
IR Infra-red spectroscopy
DSC Differential scanning calorimetry
NMR Nuclear magnetic resonance spectroscopy
GIT Gastro Intestinal Tract
Sodium CMC Sodium Carboxyl Methyl Cellulose Standard Polymer
FIT1–FIT6 6 Bio-Flexy Films Formulations of nanosized Tiagabine with
Magnifera indica biopolymer in ratios of (1:0.5–1:10)
FET1–FET6 6 Flexy Films Formulations of nanosized Tiagabine with Sodium
Carboxyl Methyl Cellulose Standard polymer in ratios of (1:0.5–
1:10)
Smart Mucoadhesive Bio-flexy Film Former from Pulp … 389

RH Relative humidity
CDR Cumulative drug release
T50% Time during which 50% drug is released
T80% Time during which 80% drug is released
ICH International Conference on Harmonization

1 Introduction

Epilepsy is a chronic neurological disorder affecting 65 million people globally as

stated by World Health Organization. It can be Idiopathic i.e., with no identifiable
cause or Symptomatic i.e., due to known cause such as brain damage, genetic abnor-
mality, stroke, meningitis, encephalitis, brain tumor etc. There is no cure for epilepsy,
but the disorder can be managed with medications and other strategies. Seizures
are the main symptom of epilepsy. It occurs due to excessive electrical discharges
in brain cells. Two or more unprovoked seizures leads to Epilepsy. There are two
types of Neurotransmitters in brain. Excitatory or Glutamatergic Neurotransmitter
and Inhibitory or GABAminergic Neurotransmitters. Excess of Excitatory neuro-
transmitter discharges lead to epilepsy. It is characterized by involuntary movements
involving partial or complete brain that might lead to unconsciousness [1].
Many existing pharmaceuticals are rendered ineffective in the treatment of cere-
bral diseases due to inability to effectively deliver and sustain them within the brain.
Drug targeting to brain by circumventing the physiological barriers prerequisite for
drugs acting on central nervous system (CNS) [2].
Tiagabine, anticonvulsant drug (t1/2 :7–9 h; bioavailability: 90–95%; protein
binding: 96%; water solubility: 22 mg/L). Enhances activity of Gamma Amino
Butyric Acid (GABA), acts as selective GABA reuptake inhibitor. Dosage form
of Tiagabine available: 2–16 mg tablets [3].
Existing oral therapeutic treatment of epilepsy requires prolonged increased dose
frequency of antiepileptic drugs which leads to unexpected adverse effects in patients.
This causes cumulative dose dumping in patient’s body.
This approach offers low dosing level up to 25–100 folds which in turn causes
minimization or devoid of adverse reactions offered by Tiagabine (like Sudden
Unexpected Death, Syncope, Depression) respectively upon oral administration.
In this study, bio-flexy films formulations loaded with nanosized Tiagabine
consisting of novel biopolymer isolated from Magnifera indica pulp were formulated
and evaluated. Biopolymer was incorporated as bio-excipient and mucoadhesive film
former that can provide controlled release for prolonged time period. Biopolymer
have numerous advantages being edible, biocompatible, biodegradable in nature,
nontoxic, and low cost etc. The potentiality of Biopolymer can be explored and can be
substituted for current synthetic expensive polymers. Biopolymer depicts promising
390 S. Varshney and N. V. Satheesh Madhav

and tremendous use in drug delivery due to its novelistic characteristics and mini-
mized side effects. It displayed significant mucoadhesivity and mucoretentability
with optimal polar group which helps in polymer wetting [4, 5].
Till date, anticonvulsant molecule delivery to brain is a significant challenging
task, so, a novelistic attempt has been made to deliver anticonvulsant through Soft
Palatal platform. The research work focused to exploit a novelistic route for brain
specifically via a trans-soft palatal route. Soft palate is a part of oral mucosa. It is
a smart route for drug delivery as it crosses BBB. When an active pharmaceutical
ingredient suitably formulated is placed in the soft palate, significant amount of
drug can reach to the brain via neural pathway. Soft palatal route also avoids draw-
backs of oral route, increases drug’s therapeutic effect and minimizes its side effects.
It is mucoadhesive site for systemic drug delivery, non-keratinized histology, acts
as sustained and controlled drug delivery system. Tongue activity, salivary secre-
tion does not affect drug performance via soft palatal mucosa. Due to lack of taste
buds, bitter tasting drugs can be administered by this route. Does not interfere with
patient’s regular activities like talking, eating, drinking, etc. Drug wastage due to
First Pass Metabolism is avoided by this pathway. It is has no bone, non-invasive,
non-mobile and provides high mucoretentivity and bioavailability. It is enriched
with blood and nerve supply, drug can directly reach into systemic circulation. It
comprises of Ascending Palatine branch of Facial Artery, Ascending Pharyngeal
Artery, Middle Meningeal Artery, Greater Palatine branch of Maxillary Artery and
Accessory Meningeal Artery. It is innervated by Mandibular branch of Trigeminal
Nerve, Motor Nerves, Glossopharyngeal Nerve, Nasopalatine Nerve, Lesser Pala-
tine Nerve and Greater Palatine Nerve. Since Trigeminal Nerve directly connects
soft palate to brain, nanosized drug can directly reach into brain via inter and intra
neural pathway. Soft Palate has Surface area: 200 cm2 , Thickness: 158–224 μm,
Blood flow: 0.89 mL/min/cm, pH: 7.34 ± 0.38.
Anticonvulsant molecule Tiagabine can be effectively delivered to brain via
Oro Soft Palatal Route by formulating Bio-flexy Films containing nanosized drugs
molecule for the management of epilepsy. This approach can also provide complete
patient compliance, economic, safer to patients with lesser API burden in the body
[5] (Fig. 1).

2 Materials and Methods

Drug: Tiagabine Hydrochloride (Sun Pharmaceuticals Industries Ltd., Gujarat).

Polymers: Procured Mango fruits from local market. Sodium Carboxyl Methyl
Cellulose (Central drug House (P) Ltd. New Delhi) all other reagents used were of
highest purity and analytical grade. Double distilled water was used throughout the
experimental work.
Smart Mucoadhesive Bio-flexy Film Former from Pulp … 391

Brain

Tiagabine Nanosized Tiagabine- Trigeminal Nerve

+ Magnifera indica
Bio-flexy Film Soft Palate

Magnifera indica biopolymer

Fig. 1 Tiagabine-Magnifera indica bio-flexy film for trans-soft palatal drug delivery

2.1 Isolation of Biomaterial from Magnifera Indica [5]

Procured Mango fruits from local market. 500 g Ripened mango fruits taken.
Removed seed. Mashed. Pulp treated with Distilled Water. Magnetic stirring at
8000 rpm for 10 min. Centrifuged at 3500 rpm for 15 min. Supernatant liquid treated
with 1000 mL of propan-2-one in ratio of 1:2. Precipitate obtained was naturally
dried for 24 h. Biomaterial obtained was powdered, passed through Sieve No. 120.
Optimized 6 times, calculated % yield. Stored in well closed container for further
use.

2.2 Physicochemical Characterization of Isolated

Biomaterial [6, 7]

The isolated bio-material was characterized for physicochemical parameters such as

odor, color, melting point, solubility along with chemical tests.
(i) Texture, (ii) Color, (iii) Odor were examined physically.
(iv) Color Changing Point: Determined by capillary method by Melting point
apparatus. 10 mg of Bio-polymer was placed in a capillary tube. Fitted in a Melting
point apparatus. Determined temperature by thermometer.
(v) Solubility: Dispersion of 10 mg of Magnifera indica biopolymer in distilled
water was prepared and added to various solvents like Distilled Water, Methanol,
Acetone, Ethanol, Methanol, Chloroform, Carbon Tetrachloride and Isopropanol
taken in different test tubes. Reported solubility of all the isolated biopolymers.
392 S. Varshney and N. V. Satheesh Madhav

(vi) Test for carbohydrates: Molisch Reagent Test: 2 mL of Magnifera indica

biopolymer solution (0.1 g dissolved in 2 mL of distilled water) was taken in a test
tube. Added 2 drops of Molisch reagent (Solution of α-naphthol in 95% Ethanol).
Concentrated sulphuric acid (2 mL) was taken in a test tube and biopolymer solution
was gradually poured over it leading to the formation of two separate layers. Change
in color was observed.
(vii) Test for proteins: Biuret Test: Determines the presence of peptide bonds in
protein content in isolated biomaterial. In a test tube, 2 mL of Magnifera indica
biomaterial solution (0.1 g Magnifera indica biopolymer dissolved in 2 mL of
distilled water) was taken. Added 1 mL of sodium hydroxide solution (1%) and 1%
of copper (II) sulphate solution to above biomaterial solution drop wise. Allowed the
mixture to stand for 5 min and observed the color change.
(viii) Test for starch: Added 2 drops of Iodine solution to a test tube containing
2 mL of Magnifera indica biopolymer solution (0.1 g Magnifera indica biopolymer
dissolved in 2 mL of distilled water) observed the change in color.
(ix) Test for reducing sugar: Incorporated 1 mL of Fehling’s A and 1 mL of
Fehling’s B solutions to a test tube containing 2 mL of Magnifera indica biopolymer
solution (0.1 g Magnifera indica biopolymer dissolved in 2 mL of distilled water).
Heated at 60 °C for few minutes and observed change in color.

2.3 Spectral Studies of Isolated Biopolymer [6, 7]

2.3.1 IR Spectroscopy by KBr Disc Method

The IR spectroscopy of isolated Magnifera indica biopolymer in solid form was

performed by using Potassium Bromide Disc Method. 1 mg of sample was finely
admixed with about 100 mg of Potassium Bromide (KBr) in mortar. Pressure of 10 t
was applied to mixture using hydraulic pump. Small pellet of 1–2 mm in diameter
was formed. The prepared pellet was kept in path of IR radiation and recorded the
spectrum within the range of 4000–200 cm−1 . IR Spectra of isolated biopolymer was
recorded.

2.3.2 DSC (Differential Scanning Calorimetry)

Amount of the heat difference of Sample and Reference was measured against
temperature. It was performed for determination of Glass Transition temperature
(GTT or Tg). For DSC the Perkin Elmer Instrument, Model-JADE DSC was used,
with the Heat flow of 50–250 °C at the rate of 10 °C/min and Nitrogen rate of flow
of 20 mL/min was used. DSC Spectra of isolated biopolymer was recorded.
Smart Mucoadhesive Bio-flexy Film Former from Pulp … 393

2.3.3 NMR (Nuclear Magnetic Resonance) Spectral Analysis

Exploits the magnetic properties of atomic nuclei, determines the physical and chem-
ical properties of atoms or the molecules in which they are contained. It relies on the
phenomenon of Nuclear Magnetic Resonance and can provide detailed information
about the structure, dynamics, reaction state, and chemical environment of molecule.
Solvent used was DMSO (Dimethyl Sulfoxide). The spectrometer was connected to
flow cell of 5 mm diameter. High flow rates were applied to the biopolymer sample,
a valve switch was activated to stop the flow for quick measurement. When the
valve switches back, the flow cell in the instrument was rinsed again with the reac-
tion mixture. The spectrum was sent to the automation computer where it can be
processed and analyzed.

2.3.4 SEM (Scanning Electron Microscopy) Analysis

Morphological examination of the surface and internal structure of the biomaterial

was performed by using a scanning electron microscope (SEM) (Model: PHILIPS
PSEM 515). A small amount of biomaterial was fixed on aluminum studs and it was
coated with gold using a sputter coater under vacuum (pressure: 1 mm Hg). The
biomaterial was then analyzed by SEM and reported.

2.4 In-Vitro Mucoadhesivity of Isolated Biopolymer

In-Vitro Mucoadhesivity of isolated Magnifera indica biopolymer was determined

by Modified Shear Stress Apparatus. Different concentrations 1, 2, 4, 6, 8 and 10% of
biopolymer solutions were placed between two glass plates of Modified Shear Stress
Apparatus. Subjected to shear stress for assessment for In-Vitro Adhesive Strength
in terms of weight required for breaking Adhesive bonds between the biomaterial
and the glass plate after specified contact time from 0 to 30 min. The results were
reported in tabulated form.

2.5 Standard Graph of Drug [8]

(a) Preparation of Standard Curve of Tiagabine in Distilled Water

10 mg of Tiagabine was dissolved in 30 mL of distilled water in a 100 mL
volumetric flask and diluted up to the mark with distilled water (100 μg/mL).
Dilutions of Concentrations (0.5,1, 2, 3, 4 and 5 μg/mL) were prepared in
10 mL volumetric flasks. Volume made up to 10 mL with distilled water (λmax
= 257 nm). Absorbance was measured against solvent blank.
394 S. Varshney and N. V. Satheesh Madhav

(b) Preparation of Standard Graph of Tiagabine in Phosphate Buffer of pH

7.4
10 mg of Tiagabine was dissolved in 30 mL of Phosphate Buffer (pH 7.4) in
a 100 mL volumetric flask and diluted up to the mark with Phosphate Buffer
(100 μg/mL). Dilutions of Concentrations (1, 2, 3, 4, 5, 8, 10, 20, 30, 40,
50 μg/mL) were prepared in 10 mL volumetric flasks. Volume was made up
to 100 mL with Phosphate Buffer (pH 7.4) (λmax = 396 nm). Absorbance was
measured against solvent blank.

2.6 Drug Biopolymer Interaction Studies [9, 10]

Tiagabine: isolated Magnifera indica biopolymer in ratios of 1:1, 1:3 and 3:1 were
taken. Measured Absorbance and compared with pure Tiagabine.
(a) Dry method: Tiagabine: Magnifera indica biomaterial in above mentioned
ratios were taken in dry form in three petridishes. Kept for two hours at room
temperature. Diluted the mixtures with 2 mL of Methanol. Absorbance was
measured, observed shift in λmax in comparison with pure drug and reported.
(b) Wet method: Tiagabine: Magnifera indica biomaterial in above mentioned
ratios were taken in dry form in three petridishes 1 mL of distilled water was
added in each petridish. Dried in oven for 30 min at 50 °C. Diluted with 2 mL
of Methanol. Absorbance was measured, observed shift in λmax in comparison
with pure drug and reported.
(c) Colorimetry Method: Tiagabine: Magnifera indica in ratio of 1:1 were mixed
with Potassium Permanganate on glass plate. Observed color change, diluted
suitably with distilled water, analyzed by UV. Repeated with Drug: Distilled
Water and Drug: Potassium Permanganate.

2.7 Preparation of Tiagabine from Tiagabine Hydrochloride

by Precipitation Method

Tiagabine is available as Tiagabine Hydrochloride salt form. Thus, in order to enhance

absorption and bioavailability of drug, to avoid ill-effects it is converted to its pure
form by Precipitation method. To 100 mg of Tiagabine hydrochloride, 20 mL of
distilled water was added in a test tube and shaken vigorously. Mixture was subjected
to sonication for 1 cycle (each cycle of 3 min) in ultrasonic bath sonicator. 10 mL
of 1 N sodium hydroxide solution was incorporated drop wise in above Tiagabine
solution. Precipitate was formed at bottom of test tube. Mixture was centrifuged for
15 min at 3500 rpm. Tiagabine was separated, washed with 10 mL distilled water
and air dried. Isolated Tiagabine was analyzed using U.V. Spectrophotometer.
Smart Mucoadhesive Bio-flexy Film Former from Pulp … 395

2.8 Nanosizing of Drug [9]

1. Solvent Evaporation Method: 100 mg Tiagabine was admixed with 5 mg of

Fructose, 10 mg of Dextrose and 10 mL of Methanol in mortar pestle. Sonication
of mixture was performed for 5 cycles (180 s/cycle) in ultrasonic bath sonicator.
The mixture was then diluted with 50 mL distilled water and sonicated up to
15 cycles. Measured % Transmittance, Absorbance, % Blockage (100 − %
Transmittance) after every 5 cycles. The residue was then dried and stored for
further use.
2. Sonication method: 100 mg Tiagabine was admixed with 5 mg of Fructose,
10 mg of Dextrose and 10 mL of Distilled water in mortar pestle. Sonication of
mixture was performed for 5 cycles (180 s/cycle) in ultrasonic bath sonicator.
The mixture was then diluted with 50 mL distilled water and sonicated up to
15 cycles. Measured % Transmittance, Absorbance, % Blockage (100% Trans-
mittance) after every 5 cycles. The residue was then dried and stored for further
use.
The main purpose of Nanosizing Tiagabine by two different methods was to
compare Novel Sonication Method with published Standard Solvent Evapora-
tion Method.

3. Nano size range determination by Preliminary U.V. spectroscopic method:

It is a novel primarily screening method for nano-size range particles by U.V.
Spectroscopy. Transmittance is based on the concept of Tyndall Effect. When
light of specified wavelength passes through the media containing particles less
than or greater than the specified particle range, the % Blockage represents
particles beyond the size range whereas the % Transmittance is considered that
the particles lies above the size range at particular range.

2.9 Solvent Casting Method as Formulation Technique

of Bio-flexy Films [11]

100 mg of Nanosized Tiagabine (Anticonvulsant) was triturated with 50 mg of

biopolymer (Mucoadhesive, film forming cum retarding agent) (in ratio of 1:0.5) for
2 min using pestle mortar. Added 10 m of Distilled Water (Solvent).To this disper-
sion, incorporated 10 mg of Dextrose (Flexicizer), 5 mg of Fructose (Flexicizer) and
10 μL of Glycerine (1% solution v/v) (Plasticizer) with continuous stirring. 0.6 g
of Pectin (Film Initiator) was added. Mixture was further uniformly triturated for
5 min. Volume was made up to 20 mL using Distilled water. Mixture was subjected
to magnetic stirring for 15 min, followed by sonication for up to 5 cycles (each cycle
3 min). Clear dispersion obtained was poured into petridish. Kept for drying at room
temperature for 24 h. Removed prepared nanosized drug loaded Bio-flexy film from
petridish. Bio-flexy film formulation obtained was cut in 1 cm2 dimension, packed
in well closed air tight container for further use. Similarly, six different formulations
396 S. Varshney and N. V. Satheesh Madhav

Table 1 Formulation of nanosized tiagabine loaded bio-flexy films using Magnifera indica
biopolymer
Formulation FIT1 FIT2 FIT3 FIT4 FIT5 FIT6
Drug:biopolymer ratios (1:0.5) (1:1) (1:3) (1:5) (1:6) (1:10)
Nanosized tiagabine (mg) 100 100 100 100 100 100
Magnifera indica biopolymer (mg) 50 100 300 500 600 1000
Dextrose (mg) 10 10 10 10 10 10
Fructose (mg) 5 5 5 5 5 5
Glycerine (μl) 10 10 10 10 10 10
Pectin (g) 0.6 0.6 0.6 0.6 0.6 0.6
Distilled water (mL) 20 20 20 20 20 20

Table 2 Formulation of nanosized tiagabine loaded flexy films using sodium carboxyl methyl
cellulose standard polymer
Formulation FET1 FET2 FET3 FET4 FET5 FET6
Drug:polymer ratios (1:0.5) (1:1) (1:3) (1:5) (1:6) (1:10)
Nanosized tiagabine (mg) 100 100 100 100 100 100
Sodium carboxyl methyl cellulose standard 50 100 300 500 600 1000
polymer (SCMC) (mg)
Dextrose (mg) 10 10 10 10 10 10
Fructose (mg) 5 5 5 5 5 5
Glycerine (μl) 10 10 10 10 10 10
Pectin (g) 0.6 0.6 0.6 0.6 0.6 0.6
Distilled water (mL) 20 20 20 20 20 20

of nanosized Tiagabine with different isolated biopolymers and Standard Sodium

Carboxyl Methyl Cellulose Polymer in different ratios of 1:1, 1:3, 1:5, 1:6 and 1:10
were prepared. Total 12 nanosized Tiagabine loaded bio-flexy films formulations
were prepared and evaluated (Tables 1 and 2).

2.10 Evaluation of Formulated Bio-flexy Films [12, 13]

2.10.1 Thickness

Determined the average thickness of formulations by standard digital micrometer

and reported with appropriate standard deviation.
Smart Mucoadhesive Bio-flexy Film Former from Pulp … 397

2.10.2 Surface pH Study

Surface pH of formulated films was determined by using Digital pH meter. It should

be Neutral or close to soft palatal pH otherwise formulation might cause irritation to
the Soft Palatal mucosa. The formulations were kept in contact with 1 mL of Distilled
Water at room temperature for 1 h. pH was then measured in triplicate and reported.
Compatibility of formulations with soft palatal pH is essential.

2.10.3 Ex-Vivo Mucoadhesion Study of Formulations by Rotating

Cylinder Method

The Mucoadhesivity of best selected formulations was further evaluated on Soft

Palatal mucosa of Capra aegagrus (i.e., Goat). Bio-flexy films of area 1 cm2 of each
formulation were cut down using sharp blade. Tied the goat soft palatal mucosa over
the rotating basket of I-Dissolution Apparatus. The Dissolution media was 900 mL
of buffer (pH 7.4), maintained at 37 °C, subjected for rotation at 50 rpm. Films were
applied over the inner surface of goat soft palatal mucosa until they got dislodged.
The dislodgement and detachment of films from mucosal surface was observed at
regular intervals and reported (n = 6).

2.10.4 Ex-Vivo Mucoretention Study of Formulations

The Mucoretention study of best selected formulations was further evaluated on Soft
Palatal mucosa of Capra aegagrus (i.e., Goat). Bio-flexy films of area 1 cm2 of each
formulation were cut down using sharp blade. Tied the Capra aegagrus (Goat) soft
palatal mucosa over slanting condenser over which buffer was allowed to flow from
a burette. It was applied over the inner surface of Goat intestinal mucosa until it got
dislodged. The detachment and Dislodgement of film from mucosal substrate was
noted at regular intervals and reported (n = 6).

2.10.5 Weight Uniformity of Formulated Nanosized Drugs Loaded

Bio-flexy Films

Weight uniformity of formulated films was determined by weighing formulations of

1 cm2 diameter. Determined average weight and reported (n = 3).

2.10.6 Drug Content Uniformity of Formulated Nanosized Drugs

Loaded Bio-flexy Films

Drug Content Uniformity of formulated films was calculated by dissolving the films
in Phosphate Buffer (pH 7.4) (100 mL) for 24 h with occasional shaking. Diluted 5 mL
398 S. Varshney and N. V. Satheesh Madhav

of solution with phosphate buffer pH 7.4 up to 20 mL. Filtered through Whatman

filter paper of 0.45 mm. The drug content determined by UV analysis at λmax 750 nm
for nanosized Tiagabine loaded formulations.

2.10.7 Folding Endurance of Formulated Nanosized Drugs Loaded

Bio-flexy Films

Folding endurance of flexy film was determined by repeatedly folding one of the
film at the same place till it broke or folded up to 300 times manually, which was
considered satisfactory to reveal good properties. The number of times of film could
be folded at the same place without breaking will give the value of the folding
endurance. This test was done on randomly selected three formulations from each
Drug:Biopolymer ratio (n = 3).

2.10.8 Swelling Percentage Study of Formulated Nanosized Drugs

Loaded Bio-flexy Films

It was determined as increase in weight and area because of Swelling. 1 × 1 cm2 sized
films were weighed, transferred in petridish and added 10 mL of distilled water. After
1 h, reweighed the films. Absorption of water and swelling of films caused increased
in weights of films. The study was performed for 24 h. Calculated % Swelling Index
and reported (n = 3).

2.10.9 Percentage Moisture Uptake (PMU) of Formulated Nanosized

Drugs Loaded Bio-flexy Films

Percentage Moisture Uptake of Formulations was determined so as to check the

physical stability of the prepared bio-flexy films in high moist conditions. Bio-flexy
films of 1 cm diameter were kept in saturated solution of Aluminum Chloride in
desiccator. The humidity inside the desiccator was maintained at 79.5%. Removed
the films after 3 days, weighed, calculated Percentage Moisture Absorption and
reported (n = 3).

Final weight of Films − Initial weight of films
Percentage Moisture Uptake =
Initial weight of Films
× 100
Smart Mucoadhesive Bio-flexy Film Former from Pulp … 399

2.10.10 In-Vitro Drug Release Study of Formulated Nanosized Drugs

Loaded Bio-flexy Films Using Modified M.S. In-Vitro Diffusion
Apparatus [14]

In-Vitro Drug Release Study of Formulations was performed by using Modified

M.S. In-Vitro Diffusion Apparatus. Buffer pH 7.4 was filled in 36 vials (receiver
compartment). These were kept in thermostatically controlled compartment. Tied
Egg membranes to Donor compartment (containing formulations). Donor compart-
ments were inserted into receiver compartments. Temperature was kept constant at
37 °C with orbital shaker incubator. Sampling was done at regular intervals from
10 min to 48 h. Buffer was completely replaced after every sampling. Performed
Ultra Violet Spectral analysis of every sample.

2.10.11 Stability Studies of Formulations as Per ICH Guidelines (Q1B)

Stability Studies of prepared Films were conducted as per ICH Guidelines Q1B.
Stability testing of pharmaceutical product is done to ensure the Efficacy, Safety and
Quality of active drug substance and dosage forms and shelf life or expiration period.
The Stability Studies of the formulations were performed at 40 °C ± 2 °C with ± 45
± 5% RH, at 25 ± 2 °C with 60 ± 5% RH and at 2 ± 5 °C conditions of temperature
and relative humidity for 3 months. Observed for change in pH, Folding Endurance,
In-Vitro Drug Release of formulations at room temperature and after stability study
(25 ± 2 °C with 60 ± 5% RH).

3 Results and Discussion

3.1 Yield of Isolated Biopolymer

Biopolymer was isolated from natural edible source of Magnifera indica by simple
and economical method. The isolated biopolymer was optimized repeatedly for six
times. Calculated and reported % yield. The % yield of Magnifera indica biopolymer
was found to be 20.04% ± 0.001.

3.2 Physicochemical Properties of Isolated Biomaterial

The biomaterial obtained from the pulp of Magnifera indica and showed following
characteristics:
(a) Texture: Rough; (b) Color: Yellowish Brown; (c) Odor: Characteristic;
400 S. Varshney and N. V. Satheesh Madhav

(d) Solubility: soluble in methanol and water; (e) Color Changing Point: 225 °C
± 4;
(f) Molisch Reagent test for Carbohydrates: Purple color appeared at interface
of two layers because of formation of 5-hydroxy methyl furfural. This indicated
presence of carbohydrates.
(g) Biuret test for Proteins: Change in color was observed as Cu(II) ions formed
a chelate complex of violet color which absorbed light at 540 nm. This confirmed
the presence of Proteins.
(h) Starch Test: Intense blue black color did not appeared confirmed the absence
of Starch in isolated biomaterial.
(i) Test for Reducing Sugar: Appearance of brick red precipitate indicated
reducing sugar.

3.3 Spectral Studies of Isolated Biopolymer

3.3.1 IR Spectroscopy

IR Spectroscopy was performed for the isolated biomaterial to determine the pres-
ence of Functional Groups in biopolymer. IR Peaks of Magnifera indica biopolymer
were obtained at 3647 cm−1 , 2479 cm−1 , 1224 cm−1 , 1006 cm−1 which indicated
functional groups C=C-COOH, RCH2 OH, RNH2 , RCOOH (Fig. 2).

Fig. 2 Infra-red spectroscopy (IR) spectra of Magnifera indica biopolymer

Smart Mucoadhesive Bio-flexy Film Former from Pulp … 401

Fig. 3 Differential scanning calorimetry (DSC) spectra of Magnifera indica biopolymer

3.3.2 Differential Scanning Calorimetry (DSC)

DSC Peak of Magnifera indica biopolymer was obtained at 89.07 °C, peak height
is 1.1222 mW, delta H is 34.6162 J/g, Onset depicts boiling point at 79.17 °C and
Glass Transition temperature is 110.15 °C (Fig. 3).

3.3.3 Nuclear Magnetic Resonance Spectroscopy (NMR)

1
HNMR Spectra of Magnifera indica biopolymer confirmed the presence of carbo-
hydrates residue within the biopolymer extracted as shift of carbohydrate protons
were 3–6 ppm and the spectra when compared reflected the peak at 3.4383 ppm
(Fig. 4).

3.3.4 Scanning Electron Microscopy (SEM) of Isolated Biopolymer

SEM image of Magnifera indica biopolymer showed size range of 50 μm, porous
and irregular shaped particles with smooth surface morphology (Fig. 5).
402 S. Varshney and N. V. Satheesh Madhav
MZ
BRUKER
AVANCE II 400 NMR
4.9331
4.9241
4.2996
4.2803
3.8981
3.8775
3.8572
3.8535
3.8470
3.8330
3.8288
3.8129
3.8029
3.7996
3.7942
3.7764
3.7618
3.7501
3.7405
3.7327
3.7256
3.7151
3.7010
3.6903
3.6861
3.6737
3.6614
3.6573
3.6336
3.6226
3.6176
3.6077
3.5964
3.5896
3.5791
3.5731
3.5628
3.5564
3.5501
3.5446
3.5360
3.5163
3.5080
3.4975
3.4839
3.4725
3.4683
3.4592
3.4567
3.4485
3.4383
3.4315
3.4272
3.4181
3.4108
3.3307
3.3208
3.2930
3.2767
3.1551
3.1458
3.1368
3.1218
3.0737
3.0567
2.9209
Spectrometer
SAIF
Panjab University
Chandigarh

Current Data Parameters

NAME Apr21-2017
EXPNO 80
PROCNO 1
F2 - Acquisition Parameters
Date_ 20170421
Time 13.28
INSTRUM spect
PROBHD 5 mm PABBO BB-
PULPROG zg30
TD 65536
SOLVENT DMSO
NS 8
DS 2
SWH 12019.230 Hz
FIDRES 0.183399 Hz
AQ 2.7263477 sec
RG 287
DW 41.600 usec
DE 6.00 usec
TE 297.6 K
D1 1.00000000 sec
TD0 1
======== CHANNEL f1 ========
NUC1 1H
P1 10.90 usec
PL1 -3.00 dB
SFO1 400.1324710 MHz
F2 - Processing parameters
SI 32768
SF 400.1300000 MHz
WDW EM
SSB 0
LB 0.30 Hz
GB 0
PC 1.00
1.00

2.34

4.30
3.57
9.47
7.29
3.47
5.37
2.77
9.78
3.28
9.26

2.46
2.52

3.66

3.20

1.42
5.2 5.0 4.8 4.6 4.4 4.2 4.0 3.8 3.6 3.4 3.2 3.0 2.8 ppm

Fig. 4 Nuclear magnetic resonance spectroscopy (NMR) spectra of Magnifera indica biopolymer

Fig. 5 Scanning electron microscopy (SEM) of Magnifera indica biopolymer

3.4 In-Vitro Mucoadhesivity of Isolated Biopolymers

by Shear Stress Method

In-Vitro Mucoadhesion Study data of Magnifera indica biopolymer revealed that

1, 2 and 4% biopolymer concentrations showed significant results with p value <
0.05 when compared to 10% biopolymer concentration. 1% biopolymer concen-
tration showed significant results with p value < 0.05 when compared to 1%
Sodium Carboxyl Methyl Cellulose Standard polymer. Order of Mucoadhesivity
of all concentrations of Magnifera indica biopolymer was 10% Magnifera indica
Smart Mucoadhesive Bio-flexy Film Former from Pulp … 403

Table 3 In-vitro mucoadhesivity of Magnifera indica biopolymer by shear stress method

S. No. Time Concentration of Magnifera indica biopolymer solutions (%w/v) Sodium
(min) (g) CMC
(g)
1% 2% 4% 6% 8% 10% 1%
1 0 125.48***,a1 150.94*** 162.42 *** 188.06 219.75 238.85 186.85
2 10 155.53***,a1 182.62*** 194.65*** 220.72 250.22 262.7 222.84
3 20 180.42***,a1 195.54*** 212.08*** 252.05 284.82 290.02 260.06
4 30 210.98***,a1 250.37*** 268.5*** 280.02 299.84 310.04 300.04
*** p < 0.05 as compared to 10% w/v biopolymer
***, a1 p < 0.05 as compared to 1%w/v sodium carboxyl methyl cellulose standard polymer

significance level at 0.05, one way ANOVA using T test calculator

biopolymer > 8% Magnifera indica biopolymer > 6% Magnifera indica biopolymer >
4% Magnifera indica biopolymer > 2% Magnifera indica biopolymer > 1% Magnifera
indica biopolymer (Table 3).

3.5 Standard Graphs of Tiagabine

(a) Standard Graph of Tiagabine in Distilled Water: Calibration Curve of

Tiagabine was prepared in Distilled Water. The Standard Graph of Tiagabine
was obtained by plotting Concentration versus Absorbance. The Standard
Curve of Tiagabine showed linearityat a λmax of 257 nm. R2 value was found
to be 0.9993 (Fig. 6a).

(b) Standard Graph of Tiagabine in Phosphate Buffer pH 7.4: Calibration

Curve of Tiagabine was prepared in Phosphate Buffer pH 7.4. The Standard
Graph of Tiagabine was obtained by plotting Concentration versus Absorbance.
The Standard Curve of Tiagabine showed linearity at λmax of 396 nm. R2 value
was found to be 0.9967 (Fig. 6b).

3.6 Drug–Polymer Interaction Study of the Isolated

Biopolymer

(1) Wet method: λmax was observed at 260 nm, and there was no significant
difference from that of the pure drug Tiagabine at 257 nm. Therefore, drug-
excipient interaction did not occur as there was no shift in λmax .
(2) Dry method: λmax was observed at 260 nm, and there was no significant
difference from that of the pure drug Tiagabine at 257 nm. Therefore, drug-
excipient interaction did not occur as there was no shift in λmax . Drug polymer
404 S. Varshney and N. V. Satheesh Madhav

0.1 a
y = 0.017x
Absorbance
0.08
R² = 0.9993
0.06
0.04
0.02
0
0 1 2 3 4 5 6
Concentration (μg/ml)

0.12 b y = 0.002x + 0.0006

0.1 R² = 0.9967
Absorbance

0.08
0.06
0.04
0.02
0
0 10 20 30 40 50 60
Concentration (μg/ml)

Fig. 6 a Standard graph of tiagabine in distilled water [8]. b Standard graph of tiagabine in
phosphate buffer pH 7.4 [8]

interaction was not observed because no change in wavelength of pure drug

and drug to biopolymer ratio
(3) Colorimetry: 10 mg of drug taken and mixed with biopolymers in ratio of
Drug:Polymer 1:1 on glass plate. Added 10 μL of 1% solution of Potassium
Permanganate. Observed color change, diluted suitably with distilled water,
subjected for U.V. analysis. Scanned in 200–800 nm range and determined
absorbance. Similarly repeated with Drug:Distilled Water and Drug:Potassium
Permanganate. Drug showed color change from pink to brown with Potas-
sium Permanganate while polymer showed no color change. No significant
difference in shift of λmax than that of pure drug observed.

3.7 Nanosizing of Tiagabine

See Fig. 7.

3.8 Evaluation Parameters of Formulations

3.8.1 Thickness of Formulated Bio-flexy Films

As polymer concentration was increased, thickness of films increased proportion-

ately. The thickness of nanosized Tiagabine loaded Bio-Flexy films containing
Smart Mucoadhesive Bio-flexy Film Former from Pulp … 405

% T (Novel method) %T (Std. method)

120.00%
% Transmittance 100.00%
80.00%
60.00%
40.00%
20.00%
0.00%
200nm 300nm 400nm 500nm 600nm 800nm
λmax
Fig. 7 Comparative graph between %Transmittance and λmax of nanosized tiagabine (by novel
and standard solvent evaporation methods) [9].

Magnifera indica biopolymer (FIT1–FIT6) was found to be in range of 0.046 ±

0.003 mm to 0.078 ± 0.002 mm.

3.8.2 Surface pH of Formulated Bio-flexy Films

The Surface pH of nanosized Tiagabine loaded Bio-Flexy films containing Magnifera

indica biopolymer (FIT1–FIT6) was found to be in range of 7.01 ± 0.03 to 7.01 ±
0.02.

3.8.3 Ex-Vivo Mucoadhesion Study of Formulated Bio-flexy Films

Using Capra Aegagrus (Goat) Soft Palatal Mucosa

Ex-Vivo Mucoadhesion Study by Rotating Cylinder method revealed nanosized

Tiagabine loaded Bio-Flexy films containing Magnifera indica biopolymer (FIT1–
FIT6) showed mucoadhesivity on Capra aegagrus mucosal surface for time period
of 150–360 min.

3.8.4 Ex-Vivo Mucoretention Study of Formulated Bio-Flexy Films

Using Capra Aegagrus (Goat) Soft Palatal Mucosa

Ex-Vivo Mucoretention Study revealed nanosized Tiagabine loaded Bio-Flexy films

containing Magnifera indica biopolymer (FIT1–FIT6) were mucoretentive on Capra
aegagrus mucosal surface for time period of 180–420 min.
406 S. Varshney and N. V. Satheesh Madhav

3.8.5 Weight Uniformity of Formulated Bio-flexy Films

The Weight Uniformity of all the Formulations was proportionally increased

as polymer concentration was increased. The Weight Uniformity of nanosized
Tiagabine loaded Bio-Flexy films containing Magnifera indica biopolymer (FIT1–
FIT6) was found to be in range of 0.032 ± 0.04 mg to 0.040 ± 0.03 mg.

3.8.6 Drug Content Uniformity of Formulated Bio-flexy Films

The Drug Content Uniformity of nanosized Tiagabine loaded Bio-Flexy films

containing Magnifera indica biopolymer (FIT1–FIT6) was found to be in range of
71.0% ± 0.35 to 80.4% ± 0.30.

3.8.7 Folding Endurance of Formulated Bio-flexy Films

Folding Endurance of all the formulations was measured and it showed that flex-
ibility was proportionately increased significantly as concentration of polymer in
formulation was increased. The Bio-flexy films were devoid of brittleness showing
significant folding endurance due to presence of dextrose and fructose as excipients
in optimized ratio. The Folding Endurance of nanosized Tiagabine loaded Bio-Flexy
films containing Magnifera indica biopolymer (FIT1–FIT6) was found to be in range
of 81–108.

3.8.8 Swelling Percentage of Formulated Bio-flexy Films

The Swelling Percentage of nanosized Tiagabine loaded Bio-Flexy films containing

Magnifera indica biopolymer (FIT1–FIT6) was found to be in range of 61% ± 0.2
to 72% ± 0.1.

3.8.9 Percentage Moisture Uptake of Formulated Bio-flexy Films

The Percentage Moisture Uptake of nanosized Tiagabine loaded Bio-Flexy films

containing Magnifera indica biopolymer (FIT1–FIT6) was found to be in range of
2.0% ± 0.12 to 2.3% ± 0.10.

3.8.10 In-Vitro Release Study of Formulated Bio-flexy Films

by Modified M.S. Diffusion Apparatus

The drug release pattern for formulations FIT1–FIT6 containing Magnifera indica
biopolymer based on the T50% and T80% was found to be FIT5 (1:6) > FIT6 (1:10) >
Smart Mucoadhesive Bio-flexy Film Former from Pulp … 407

FIT2(1:1) > FIT4 (1:5) > FIT3 (1:3) > FIT1 (1:0.5). Based on all above mentioned
evaluation parameters, FIT5 (containing Tiagabine: Magnifera indica biopolymer
(1:6)) Bio-flexy film was selected as the Best formulation as it showed significant
values of T50% : 21.25 h; T80% : 44.71 h and having R2 = 0.9312, Higuchi Matrix
as best fit model, follows Fickian Diffusion (Higuchi Matrix) release mechanism in
comparison to other formulations of same biopolymer (Fig. 8a, Table 4).
The drug release pattern for formulations FET1–FET6 containing Sodium
Carboxyl Methyl Cellulose Standard polymer based on the T50% and T80% was
found to be FET5 (1:6) > FET1 (1:0.5) > FET2(1:1) > FET3 (1:3) > FET4 (1:5) >
FET6 (1:10). Based on all above mentioned evaluation parameters, FET5 (containing
Tiagabine: Sodium Carboxyl Methyl Cellulose standard polymer (1:6)) Flexy film
was selected as the Best formulation as it showed significant values of T50% : 40.66 h,
T80% : 43.79 h and having R2 = 0.9301, Higuchi Matrix as best fit model, follows

a
Comparative Graph of In-Vitro Release of Tiagabine:Magnifera indica Bio-Flexy Films by
Modified [Link]
%DR FIT1 (1:0.5) %DR FIT2 (1:1) %DR FIT3 (1:3)
120.00% %DR FIT4 (1:5) %DR FIT5 (1:6) %DR FIT6 (1:10)
100.00%
%CDR

80.00%
60.00%
40.00%
20.00%
0.00%

TIME (Mins)

b Comparative Graph of In-Vitro Release of Tiagabine: Sodium Carboxyl Methyl Cellulose Flexy
Films by Modified M.S. Apparatus
120.00% %DR FET1 (1:0.5) %DR FET2 (1:1) %DR FET3 (1:3)
100.00% %DR FET4 (1:3) %DR FET5 (1:6) %DR FET6 (1:10)
%CDR

80.00%
60.00%
40.00%
20.00%
0.00%

TIME (Mins)

Fig. 8 a In-vitro drug release graph of nanosized tiagabine loaded bio-flexy films using Magnifera
indica biopolymer by modified M.S. diffusion apparatus [11]. b In-vitro drug release graph of
nanosized tiagabine loaded bio-flexy films using sodium carboxyl methyl cellulose standard polymer
by modified M.S. diffusion apparatus [11]
408 S. Varshney and N. V. Satheesh Madhav

Table 4 Kinetics release of tiagabine-Magnifera indica polymer bio-flexy films

Release kinetics analysis dynamic method formulation of tiagabine: Magnifera indica bio-flexy
films
Formulations R2 Best fit Mechanism
Zero 1st Higuchi Peppas Hixon model of action
order order matrix Crowell
FIT1 (1:0.5) 0.8931 0.8935 0.9402 0.9572 0.8934 Peppas Anomalous
Korsmeyer transport
FIT2 (1:1) 0.9180 0.9181 0.9390 0.9665 0.9181 Peppas Anomalous
Korsmeyer transport
FIT3 (1:3) 0.9102 0.9102 0.9329 0.9476 0.9102 Peppas Fickian
Korsmeyer diffusion
(Higuchi
matrix)
FIT4 (1:5) 0.8796 0.8794 0.9365 0.9430 0.8795 Peppas Anomalous
Korsmeyer transport
FIT5 (1:6) 0.8418 0.8424 0.9312 0.9055 0.8422 Higuchi Fickian
matrix diffusion
(Higuchi
matrix)
FIT6 (1:10) 0.7988 0.7994 0.9486 0.9450 0.7992 Higuchi Fickian
matrix diffusion
(Higuchi
matrix)

Fickian Diffusion (Higuchi Matrix) release mechanism in comparison to other

formulations of same standard polymer (Fig. 8b, Table 5).

3.8.11 Stability Studies of Formulated Nanosized Drugs Loaded

Bio-flexy Films as per ICH Guidelines Q1B

The stability studies of the formulations revealed stable films (Fig. 9).

4 Conclusion

The objective of the research work is to formulate nanosized bio-flexy films loaded
with Tiagabine (anticonvulsant) and using novel biopolymer from Magnifera indica
(mango) fruit pulp. Isolated biopolymer by simple economic method using opti-
mized concentration non-solvent acetone. Biopolymer being of edible was bio-
safe, biodegradable, biocompatible, non-toxic, inert, non-irritant nature, non-reactive
on soft palatal surface. It showed excellent film forming properties along with
mucoadhesive and mucoretentive properties. Magnifera indica biopolymer showed
Smart Mucoadhesive Bio-flexy Film Former from Pulp … 409

Table 5 Kinetics release of tiagabine-sodium CMC flexy films

Release kinetics analysis dynamic method formulations of tiagabine: sodium CMC flexy films
Formulations R2 Best fit model Mechanism
Zero 1st Higuchi Peppas Hixon of action
order order matrix Crowell
FET1 (1:0.5) 0.8894 0.8897 0.9356 0.9300 0.8896 Higuchi-matrix Anomalous
transport
FET2 (1:1) 0.8852 0.8853 0.9324 0.8424 0.8853 Higuchi-matrix Anomalous
transport
FET3 (1:3) 0.8868 0.8868 0.9377 0.9550 0.8868 Peppas Anomalous
Korsmeyer transport
FET4 (1:5) 0.8906 0.8908 0.9361 0.9514 0.8908 Peppas Anomalous
Korsmeyer transport
FET5 (1:6) 0.8360 0.8363 0.9301 0.9084 0.8362 Higuchi-matrix Fickian
diffusion
(Higuchi
matrix)
FET6 (1:10) 0.8960 0.8962 0.9372 0.9692 0.8961 Peppas Anomalous
Korsmeyer transport

Effect of Temperature on In-Vitro Release of Nanosized Tiagabine loaded Bio-flexy Films

containing Magnifera indica biopolymer (1:6) (FIT5) at 25°C±2°C (60±5% RH), 40°C±2°C (45±5%
RH), 2°C±5°C
% DR FIT5 (25ᵒC ± 2°C) %DR FIT5 (40ᵒC ± 2°C)
120.00% %DR FIT5 (2°C ± 5°C)
100.00%
80.00%
% CDR

60.00%
40.00%
20.00%
0.00%

TIME (mins)

Fig. 9 Stability study graph of best formulations of nanosized tiagabine loaded bio-flexy films
containing Magnifera indica biopolymer

percentage yield of 20.04% ± 0.001, yellowish brown in color, sweet odour, soluble
in water. Its colour changing point was found to be 225 °C ± 4. It was tested positive
for proteins and carbohydrates, amino acids were not present. It was characterized
by physicochemical methods and by spectral analysis. It revealed their suitability as
bio-excipients in films formulations.
Ratios were chosen at six levels for nanosized Tiagabine: Magnifera indica
Biopolymer (1:0.5 to 1:10) and six levels for nanosized Tiagabine: Sodium Carboxyl
Methyl Cellulose (1:0.5 to 1:10) for both drugs and each biopolymer for formulating
flexy-films. Tiagabine unidirectional bio-flexy films were formulated by Solvent
410 S. Varshney and N. V. Satheesh Madhav

Casting Method and evaluated. Bio-flexy Films formulations showed promising eval-
uation parameters performance comparable to that of standard flexy films. This is
due to the fact that biomaterials had high molecular weight exhibited higher adhe-
sion and better mucoadhesion than the synthetic polymer at the same concentration.
This may be due to the presence of numerous disulphide bridges and carboxyl and
hydroxyl groups, which adopt more favorable macromolecular conformation, and
accessibility of its hydrogen- binding groups.
Soft Palatal Delivery can be preferred as an alternative therapy for treatment of
convulsions in low dose with sub-minimal side effects, economic to patients and
manufacturers directly and to physicians indirectly. 100% patient compliance can be
achieved. It is an approach to deliver antiepileptic molecules to brain at lesser dose
than oral dose to the patients by completely bypassing oral therapy. Since soft palate
is devoid of taste buds, bitter tasting API molecules can be administered through this
platform.
Prepared formulations were screened for mucoadhesivity, sustainability, In-Vitro
performance. Thickness of nanosized Tiagabine loaded bio-flexy films containing
Magnifera indica (FIT1–FIT6) was ranging from 0.046 mm ± 0.003 to 0.078 mm
± 0.002, Folding Endurance: 81–108, Surface pH: 7.01 ± 0.03 to 7.01 ± 0.02,
Weight Uniformity: 0.032 ± 0.04 to 0.040 ± 0.03, Drug Content Uniformity:
71.0% ± 0.35 to 80.4% ± 0.30, Swelling Percentage: 61% ± 0.2 to 72% ± 0.1,
Percentage Moisture Uptake (PTU): 2.0% ± 0.12 to 2.3% ± 0.10. Mucoretentive
Study by Dynamic method revealed that Nanosized Tiagabine loaded bio-flexy films
containing Magnifera indica biopolymer were mucoretentive for time period of 150–
360 min Mucoadhesion Study revealed that Nanosized Tiagabine loaded bio-flexy
films containing Magnifera indica biopolymer were mucoadhesive for time period
of 180–420 min. The drug release pattern for formulations FIT1–FIT6 containing
Magnifera indica biopolymer based on the T50% and T80% was found to be FIT5
(1:6) > FIT6 (1:10) > FIT2(1:1) > FIT4 (1:5) > FIT3 (1:3) > FIT1 (1:0.5). In-
vitro drug release was performed for all the formulations and the data indicate that
drug loaded formulations show the sustained release behavior. Graph was plotted
between %CDR and time, the R2 value, T50% and T80% were calculated from graph.
Based on all above mentioned evaluation parameters, FIT5 (containing Tiagabine:
Magnifera indica biopolymer (1:6)) Bio-flexy film having R2 = 0.9312, Higuchi
Matrix as best fit model, follows Fickian Diffusion (Higuchi Matrix) release mecha-
nism, T50% : 21.5 h, T80% : 44.71 h using BITS Software 1.12. Stability study revealed
stable bio-flexy films with no significant change in physical appearance and stable
pH. Prepared formulations of Tiagabine loaded bio-flexy films containing Magnifera
indica biopolymer were suitable for Soft Palatal Delivery.

Acknowledgements We would like to acknowledge Mr. Anuj Aggarwal (Chairman, DIT Univer-
sity), Prof. K.K. Raina (Vice Chancellor, DIT University) for providing platform for conducting the
research work.
Conflict of Interest There is no potential conflict(s) of interest(s).
Note: This research did not receive any specific grant from funding agencies in public,
Commercial, or not-for-profit sectors.
Smart Mucoadhesive Bio-flexy Film Former from Pulp … 411

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Varietal Evaluation in Okra for Yield
and Yield Attributing Traits Under
Mid-Hill Conditions of Garhwal
Himalayas

Udit Joshi, D. K. Rana, T. S. Bisht, and Vivek Singh

Abstract Okra is a traditional and one of the most popular crops among various
groups of vegetable crops, generally cultivated extensively in summer and rainy
season in India. Although at present, a considerable number of commercial culti-
vars and hybrids of okra are available in the market, yet farmers are facing diffi-
culties in production as the available cultivars are not well adapted to country’s
specific agro-climatic conditions. Hence, the present investigation was conducted
for performance-based evaluation of twenty-six okra cultivars, including a standard
check Arka Anamika (C) thus, selecting elite cultivars from the evaluated ones. A
Randomized Block Design (RBD) with three replications was employed for aligning
all the cultivars under study. The data for 32 quantitative traits were taken using five
plants from each treatment corresponding to every replication. A fair amount of vari-
ation was observed in all the cultivars in terms of all the yield and its attributing
traits under study. The analysis of variance depicted significant differences among
genotype for all the traits under investigation where the yield per hectare ranged from
231.87 q/ha (VL Bhindi-2) to 86.95 q/ha (LC-1) with a mean value of 155.55 q/ha.
Out of twenty-six cultivars, seventeen genotypes viz., Agri Bahar, Chanda, Hisar
Naveen, Hisar Unnat, Kashi Kranti, Kashi Mohini, Kashi Pragati, Kaveri, LC-3,
LC-4, LC-6, Lucky-666, Pusa A-4, Pusa Sawni, VL Bhindi-2, Vandana-241, and
Varsha Uphar performed better than check cultivar Arka Anamika in terms of yield
and its attributing traits. Therefore, these seventeen genotypes can be recommended
for further study, future breeding aspects and cultivation in the mid-hill conditions
of Garhwal Himalaya.

Keywords Okra · Cultivars · Evaluation · Mean performance · Quantitative · Yield

U. Joshi (B) · D. K. Rana · T. S. Bisht · V. Singh

Department of Horticulture, School of Agriculture and Allied Sciences, H.N.B. Garhwal
University, Srinagar (Garhwal), Uttarakhand 246174, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 413
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
414 U. Joshi et al.

1 Introduction

Okra [Abelmoschus esculentus (L.) Moench 2n = 2x = 130] is the most crucial

member and the vegetable crop of the Malvaceae family [25]. The ancient Egyptians
cultivated it by the twelfth century [27]. Okra has its name derived from an African
word and is considered a native to Northern Africa, including Ethiopia, Sudan, and
areas around the Nile River [26]. Southeast Asia is regarded as the centre of diversity
for cultivated and wild species of okra, as this region clearly showed overlapping
for both forms [24]. Okra is summer and rainy season crop cultivated from tropics
to subtropics widely [14]. Okra needs an average optimum temperature of 20–35 °C
[15, 24] with 15 and 42 °C minimum and maximum temperature, respectively, for
growth and development [26]. Fruit/pods of okra having high iodine content, are very
useful for controlling goitre disease. Stem and fully ripened fruits of okra contain
fibres used in the paper industry [5, 8]. Mucilage is obtained from the dry roots
and stems soaked in water overnight and is used for clarifying sugarcane juice in
preparation for quality jaggery manufacture in India.
Edible fruits/pods of okra carry 89 g water, 2–4 g protein, 0.3 g fat, 7.6 g carbo-
hydrate, 92 mg calcium, 51 mg phosphorus, 0.6 mg iron and 249 mg potassium and
vitamins like 88 I.U. vitamin-A, 13 mg vitamin-C and 0.6 mg nicotinic acid per
100-g of its fresh weight. Okra is also rich in iron and vitamin A, B and C [8, 11].
In India, Okra has the largest area and production followed by Nigeria in the world.
India produces 72% of the total world okra. In India, okra is commercially grown in
Gujrat, Maharashtra, Uttar Pradesh, Andhra Pradesh, West Bengal, Rajasthan, Tamil
Nadu, Madhya Pradesh, Assam, Haryana, Punjab, and Karnataka. During 2018 the
okra crop had average productivity of 11.97 t/ha having area and annual production
of 0.509 million hectares and 6.095 million tonnes respectively all over India [4, 11].
At present, a vast number of commercial cultivars and hybrids of okra are avail-
able in the market. However, farmers face difficulties in production as the available
cultivars are not well adapted to the country’s agro-climatic condition and region,
which demands an area and climate-specific recommendation about the suitability
of genotypes a significantly lesser extent in the country [11]. Growers and farmers
always face problems in selecting region-specific genotypes/cultivars for commer-
cial cultivation. As okra is a highly preferred crop among the vegetable consumers
both at the domestic and commercial level, it has great importance, and there is a
necessity to improve and develop varieties that are well adapted to complex of agro-
ecological conditions and for varieties with unique features. Hence the study was
conducted to select elite cultivars from the twenty-six cultivars to make them avail-
able to farmers for cultivation in the local growing conditions. Thus the evaluation
of twenty-six cultivars taking various yield and its attributing quantitative traits was
done to identify promising genotypes suitable for local growing mid-hill conditions
of Garhwal Himalaya.
Varietal Evaluation in Okra for Yield and Yield Attributing Traits … 415

2 Materials and Methods

2.1 Experimental Site

Investigation site for the present study was H.N.B. Garhwal University, Srinagar
(Garhwal), Uttarakhand (India), Horticultural Research Centre, Chauras campus.
The experimental site is situated in Alaknanda valley, which lies between 78°47 30
E longitude and 30°13 0 N latitude, at an elevation 540 m above M.S.L., in the lesser
Himalayan region. The site of the experiment has a sub-tropical climate, showing
an extreme range of the temperature during both winter and summer seasons. The
temperature reaches up to 35–40 °C from May to June. The experimental site exhibits
dry summer and rigorous rain in the month from April to July. The soil status of the
area was sandy loam in texture and having pH 5.97. Nutrient status of the soil was
3.21% carbon, 238 kg/ha available nitrogen, 16.86 kg/ha available phosphorus, and
98.7 kg/ha available potassium.

2.2 Experimental Design and Plant Material Used

Twenty-six genotypes including one check cultivar (Arka Anamika) viz., Agri Bahar,
Chanda, Hisar Naveen, Hisar Unnat, Kashi Kranti, Kashi Mohini, Kashi Pragati,
Kashi Vibhuti, Kaveri, King Bhindi, LC-1, LC-2, LC-3, LC-4, LC-5, LC-6, Lucky-
666, Parbhani Kranti, Punjab-8, Pusa A-4, Pusa Sawni, Super Anamika, VL Bhindi-2,
Vandana-241, and Varsha Uphar were analysed in R.B.D. (Randomized block design)
with three replications during the Kharif/Summer season of 2019 from month June
to September.

2.3 Management and Cultural Practices

The field was prepared to a fine tilth by giving three ploughings followed by the
harrowing. The whole experimental area was divided into seven blocks, each having
length and width 23.05 m and 2.4 m respectively, every block was separated at 50 cm
from each other. The plots of size 2.4 m × 1.8 m were prepared at 50 cm apart as per
the layout plan with a rope, measuring tape, and spade. Before the sowing of seeds,
the seeds were soaked overnight to facilitate faster germination. Two to three healthy
seeds were sown by dibbling them 2 cm deep at a spacing of 60 cm × 60 cm. Well-
decomposed farmyard manure (F.Y.M.) @ 25 tonnes per hectare was incorporated
during the preparation of the field. The inorganic fertilizers were applied as per the
recommendation, i.e. [Link] kg N.P.K. per hectare in the form of urea, single
super phosphate, and muriate of potash. Half a dose of nitrogen and a full amount of
phosphorus and potassium were applied in the soil before the sowing of seeds. The
416 U. Joshi et al.

Remaining half dose of N was used in two split doses, i.e. one fourth after 30 days
of sowing and one fourth at the time of flowering and fruiting.

2.4 Data Recording and Analysis

During the fieldwork, various Qualitative and Quantitative traits were recorded.
Selected five plants from each treatment were randomly tagged for recording the
multiple observations. Chlorophyll content was recorded by chlorophyll meter/SPAD
meter. The quality analysis Ascorbic Acid content and ash content were estimated
as per procedure given by Ranganna [21] and A.O.A.C. [10]. For each char-
acter observed in the study, statistical analysis was carried out using MS-Excel
spreadsheets and method given by [23].

3 Result and Discussion

3.1 Analysis of Variance

The ANOVA studies of the experiment showed that the mean sum of square
attributable to genotypes was highly significant for all characters studied viz., the first
emergence of seedling (Days), plant height, number of primary branches per plant,
internodal length, stem girth, petiole length, petiole diameter, leaf length, number
of epicalyx segments, days to first flowering, number of nodes at first flowering,
flower diameter, fruit length, fruit diameter, average fruit weight, number of fruits
per plant, number of ridges per fruit, pedicel length, pedicel diameter, days taken
to first fruit set, days taken to first fruit harvest, flesh thickness, number of seeds
per fruit, seed index, yield per plot, yield per hectare, total soluble solids, ascorbic
acid, chlorophyll content, ash content, moisture content and shelf life which confers
the presence of a good range of variations in the germplasms under study. Similar
results were reported by the earlier workers like [1, 6, 7, 12, 19, 20, 22] while it was
in contrast with [13] in case of no. of ridges per fruit which is because there is lesser
variability of this trait in most of the genotypes used in that study.
Varietal Evaluation in Okra for Yield and Yield Attributing Traits … 417

3.2 Mean Performance

3.2.1 Mean Performance of Okra Genotypes for Growth and Yield

Traits

The data regarding the mean performance of the okra cultivars in furnished in
Tables 1, 2, and 3 for growth, yield, and quality parameters. Days to the emer-
gence of seedling decides the maturity time of the crop, which is related to market
price fetching by the crop as early available products in the market fetches reasonable
price; hence minimum days to emergence is a desirable parameter for crop selection.
Minimum days to the first emergence of seedling were recorded in the genotype
Parbhani Kranti. In contrast, the genotype Kashi Mohini had taken maximum days
to the first emergence of the seedling. Plants with taller stature are desirable as they
lead to a higher number of branches and increased yield. The maximum height was
recorded in Punjab-8, while the minimum height of the plant was observed in VL
Bhindi-2 similar results, but in other genotypes [3, 9, 20].
A higher number of branches per plant leads to a higher number of fruits and
ultimately resulting in increased productivity hence becomes a desirable param-
eter. Highest primary branches in number were recorded in LC-2, and the minimum
number of primary branches was observed in Vandana-241. The maximum internodal
length was recorded in Pusa Sawani, whereas the minimum internodal length was
recorded in VL Bhindi-2. Stem girth is an important parameter because it prevents
damage due to severe winds that can cause lodging in plants. Maximum stem circum-
ference was observed in Pusa A-4, while minimum stem girth was recorded in Kaveri.
Higher petiole length is a desirable trait as it decides the exposure of leaf to the
sunlight, which leads to more accumulation of photosynthates. Maximum petiole
length was recorded in VL Bhindi-2, whereas minimum petiole length was observed
in LC-1. Higher petiole diameter leads to the stability of the leaf against strong winds
and prevents leaves from falling off. The maximum diameter of petiole was recorded
in LC-1, whereas the minimum diameter of petiole was observed in Parbhani Kranti
[2, 3, 20].
Higher leaf length is a desirable trait as it leads to better exposure of leaves to
sunlight, which ultimately leads to an increase in productivity. The maximum length
of the leaves was recorded in LC-1, whereas it was minimum in LC-6. The maximum
number of epicalyx segments was recorded in LC-5, while the minimum number of
epicalyx segments was observed in King Bhindi. Earliness in flowering is one of
the most critical factors in deciding earliness in the fruit harvesting stage. Minimum
days to first flowering were observed in the genotype Varsha Uphar, whereas LC-2
genotype took maximum days to first flowering, which confers that Varsha Uphar
can be taken as a genotype for the exploitation of earliness, similar results were also
observed by [2, 16].
The lowest number of nodes at first flowering was recorded in the genotype Kashi
Pragati, while the highest was observed in the genotype Arka Anamika. Higher flower
diameter leads to increased area exposure to pollinators hence resulting in increased
Table 1 Mean performance of okra genotypes for growth and yield traits
418

S. No. Genotypes Days to the Plant No. of Internodal Stem Petiole Petiole Leaf No. of Days to first
first emergence height primary length (cm) girth length diameter length epicalyx flowering
of seedling (cm) branches (mm) (cm) (mm) (cm) segments
1 Agri Bahar 5.33 214.87 3.80 7.20 37.91 35.82 6.95 21.17 11.00 45.33
2 Chanda 5.33 239.47 4.80 9.17 37.21 36.22 6.31 21.46 10.67 46.73
3 Hisar Naveen 5.33 218.07 4.53 6.62 37.53 38.36 6.65 20.30 10.87 48.80
4 Hisar Unnat 5.33 215.67 5.33 8.81 36.98 35.67 6.77 20.53 10.40 47.13
5 Kashi Kranti 7.33 194.47 5.13 6.88 35.48 35.11 6.36 21.57 11.80 49.07
6 Kashi Mohini 7.67 236.20 4.53 6.11 36.87 34.34 6.14 21.22 10.87 50.20
7 Kashi Pragati 5.33 231.20 4.73 8.15 36.00 37.09 6.36 22.15 11.73 46.13
8 Kashi Vibhuti 7.67 166.07 3.87 5.97 35.10 37.17 6.13 22.27 11.60 52.53
9 Kaveri 6.33 213.87 4.80 7.94 26.22 34.25 7.01 20.61 11.40 48.33
10 King Bhindi 5.67 247.40 5.87 9.09 40.65 38.37 7.01 21.44 10.07 50.00
11 LC-1 6.33 224.20 10.07 9.53 38.37 31.49 7.13 22.76 11.67 53.40
12 LC-2 5.67 192.40 11.47 7.82 38.17 32.91 6.55 20.43 10.87 53.87
13 LC-3 5.67 234.47 5.20 7.01 36.83 34.10 5.91 21.77 10.53 49.00
14 LC-4 5.67 216.80 4.13 7.37 34.54 36.01 6.19 22.11 11.87 45.20
15 LC-5 5.67 243.93 7.27 8.39 36.92 38.12 6.00 20.96 11.93 48.87
16 LC-6 5.33 211.60 5.87 7.51 35.87 34.96 6.22 19.75 11.73 49.67
17 Lucky-666 6.67 201.23 4.07 6.35 34.63 33.17 6.29 20.88 10.40 45.93
18 Parbhani 4.67 223.27 7.80 9.37 33.83 34.48 5.57 21.15 10.93 51.93
Kranti
19 Punjab-8 5.33 277.87 5.87 8.78 41.29 35.82 6.58 20.65 10.80 51.60
(continued)
U. Joshi et al.
Table 1 (continued)
S. No. Genotypes Days to the Plant No. of Internodal Stem Petiole Petiole Leaf No. of Days to first
first emergence height primary length (cm) girth length diameter length epicalyx flowering
of seedling (cm) branches (mm) (cm) (mm) (cm) segments
20 Pusa A-4 5.67 241.53 5.93 6.19 42.34 34.41 6.52 21.35 10.53 47.20
21 Pusa Sawni 5.33 245.93 4.93 10.05 34.85 34.67 6.41 22.03 11.33 50.60
22 Super 5.33 258.60 5.00 9.01 32.94 36.58 6.83 21.96 10.13 48.87
Anamika
23 VL Bhindi-2 5.33 138.20 4.80 4.71 39.09 40.01 6.79 22.33 10.40 48.87
24 Vandana-241 5.67 203.27 3.80 9.27 38.07 36.32 6.38 20.39 10.93 46.93
25 Varsha Uphar 5.33 205.33 4.13 7.76 35.12 35.42 6.69 20.77 11.40 44.87
26 Arka Anamika 5.00 247.13 7.73 9.32 40.60 34.41 6.36 22.45 10.53 51.33
(C)
Mean 5.77 220.89 5.59 7.86 36.67 35.59 6.47 21.33 11.02 48.94
Range (Min.) 4.67 138.20 3.80 4.71 26.22 31.49 5.57 19.75 10.07 44.87
(Max.) 7.67 277.87 11.47 10.05 42.34 40.01 7.13 22.76 11.93 53.87
SE(d) 0.62 2.39 0.30 0.30 0.95 1.28 0.30 0.77 0.17 1.37
C.D 1.24 4.82 0.61 0.60 1.92 2.58 0.60 1.55 0.35 2.77
Varietal Evaluation in Okra for Yield and Yield Attributing Traits …

C.V 13.09 1.33 6.65 4.62 3.18 4.40 5.68 4.42 1.91 3.44
419
Table 2 Mean performance of okra genotypes for growth and yield traits
420

S. No. Genotypes No. of Flower Fruit Fruit Average No. of No. of Pedicel Pedicel Days to Days to
nodes at diameter length diameter fruit weight fruits ridges length diameter first fruit first fruit
flowering (cm) (cm) (mm) (g) per per fruit (cm) (mm) set harvest
plant
1 Agri Bahar 6.07 8.10 16.32 15.72 19.49 45.67 5.13 4.37 6.88 46.00 52.60
2 Chanda 6.13 8.07 17.77 16.73 18.73 69.27 5.00 5.43 5.95 47.87 53.67
3 Hisar Naveen 6.33 9.13 18.36 15.35 19.49 53.53 5.00 4.46 6.56 50.13 56.00
4 Hisar Unnat 6.33 8.20 16.76 16.16 19.82 62.33 5.00 4.99 6.32 48.67 55.60
5 Kashi Kranti 6.47 8.33 15.65 14.78 19.61 48.73 5.00 4.33 6.56 50.13 56.40
6 Kashi Mohini 6.00 9.50 18.29 16.36 18.91 60.20 5.40 5.27 6.13 51.40 57.20
7 Kashi Pragati 4.80 8.97 19.62 15.80 19.48 51.40 5.00 4.17 6.11 51.07 56.33
8 Kashi Vibhuti 5.67 9.00 18.49 16.26 17.91 56.67 5.67 5.13 6.90 53.40 58.47
9 Kaveri 5.60 7.23 17.39 15.71 19.85 57.00 5.00 3.53 6.47 49.80 55.47
10 King Bhindi 6.67 7.67 16.74 15.52 20.04 51.20 5.53 5.20 6.30 51.13 56.67
11 LC-1 6.67 9.09 14.10 16.38 18.99 42.40 6.00 5.57 6.79 54.60 60.80
12 LC-2 6.93 8.90 19.83 15.89 18.11 48.00 6.00 5.17 6.19 54.87 60.40
13 LC-3 5.80 7.37 17.08 15.50 21.47 47.20 5.20 5.15 6.28 50.27 55.67
14 LC-4 6.07 8.00 17.25 16.21 18.91 59.13 5.00 3.66 7.39 46.60 52.47
15 LC-5 6.53 7.53 17.53 15.90 18.47 50.00 5.20 5.24 6.54 51.67 57.40
16 LC-6 6.20 6.77 18.77 14.84 18.73 57.07 5.00 4.10 6.17 50.87 56.67
17 Lucky-666 5.00 7.70 18.88 15.78 19.15 50.47 5.33 4.31 6.17 48.41 53.73
18 Parbhani 7.00 7.82 17.44 14.65 19.78 51.60 5.00 4.25 6.04 53.00 59.33
Kranti
(continued)
U. Joshi et al.
Table 2 (continued)
S. No. Genotypes No. of Flower Fruit Fruit Average No. of No. of Pedicel Pedicel Days to Days to
nodes at diameter length diameter fruit weight fruits ridges length diameter first fruit first fruit
flowering (cm) (cm) (mm) (g) per per fruit (cm) (mm) set harvest
plant
19 Punjab-8 6.80 9.50 16.98 15.31 21.35 46.47 5.53 5.17 6.00 52.70 58.53
20 Pusa A-4 6.07 8.53 18.60 15.18 20.21 57.53 5.00 4.24 5.61 50.13 55.80
21 Pusa Sawni 6.47 7.31 16.97 14.37 19.95 52.93 5.00 4.21 6.43 51.73 57.53
22 Super 6.40 7.30 18.14 15.26 19.10 50.13 5.00 3.67 6.64 50.07 54.67
Anamika
23 VL Bhindi-2 6.33 9.30 22.32 18.26 23.16 59.73 5.00 4.41 7.43 49.67 56.27
24 Vandana-241 6.60 7.61 17.03 15.43 20.36 70.87 5.00 5.14 6.44 48.53 54.53
25 Varsha Uphar 4.80 8.00 18.17 15.47 19.13 48.73 5.00 4.26 6.44 46.47 53.00
26 Arka Anamika 7.47 7.59 17.87 15.68 18.99 54.40 5.00 5.45 6.34 52.80 58.40
(C)
Mean 6.20 8.17 17.78 15.71 19.58 53.95 5.19 4.65 6.43 50.46 56.29
Range (Min.) 4.80 6.77 14.10 14.37 17.91 42.40 5.00 3.53 5.61 46.00 52.47
(Max.) 7.47 9.50 22.32 18.26 23.16 70.87 6.00 5.57 7.43 54.87 60.80
Varietal Evaluation in Okra for Yield and Yield Attributing Traits …

SE(d) 0.48 0.13 0.76 0.38 1.03 4.99 0.11 0.16 0.24 0.81 1.12
C.D 0.98 0.26 1.54 0.77 2.08 10.05 0.23 0.33 0.49 1.64 2.25
C.V 9.57 1.96 5.26 2.97 6.46 11.33 2.67 4.29 4.61 1.97 2.43
421
Table 3 Mean performance of okra genotypes for yield, seed and quality traits
422

S. No. Genotypes Flesh No. of Seed Yield per Yield per T.S.S (° Ascorbic Chlorophyll Ash Moisture Shelf
thickness seeds per index plot (kg) hectare (q) Brix) acid content content content life
(mm) fruit (mg/100 g) (SPAD)
1 Agri Bahar 1.53 52.60 6.34 8.08 186.95 9.63 17.19 58.33 7.65 90.23 4.67
2 Chanda 1.71 73.20 6.36 8.57 198.44 10.13 17.47 55.64 9.44 90.60 5.33
3 Hisar Naveen 1.56 71.60 4.84 7.78 180.19 10.13 17.68 54.22 10.77 88.60 6.00
4 Hisar Unnat 1.63 70.87 6.60 7.33 169.59 12.57 18.31 59.85 9.75 90.60 7.00
5 Kashi Kranti 1.59 78.13 6.79 6.77 156.71 12.27 18.44 59.61 9.41 90.87 5.33
6 Kashi Mohini 1.60 53.53 7.45 6.74 155.94 12.10 18.19 63.08 11.24 91.80 4.00
7 Kashi Pragati 1.46 65.20 6.76 7.48 173.07 9.53 18.15 59.39 8.98 92.00 5.33
8 Kashi Vibhuti 1.74 53.07 5.99 5.59 129.72 9.00 16.50 59.46 10.35 87.87 5.00
9 Kaveri 1.49 54.07 7.27 6.26 144.90 10.77 17.24 55.49 10.27 90.53 5.33
10 King Bhindi 1.47 55.67 6.46 4.73 109.41 9.90 17.40 59.83 9.78 86.60 4.67
11 LC-1 1.67 86.80 5.71 3.84 88.84 11.80 16.77 59.48 9.58 88.80 4.67
12 LC-2 1.63 80.67 5.16 5.27 121.83 12.53 15.40 54.66 9.63 89.60 4.67
13 LC-3 1.50 61.67 6.34 6.80 157.40 12.50 18.25 61.37 8.50 89.87 4.33
14 LC-4 1.52 61.53 5.63 7.29 168.75 8.63 18.20 54.79 9.64 90.13 5.67
15 LC-5 1.99 62.33 6.46 3.76 86.95 10.40 19.16 59.68 9.66 91.13 3.33
16 LC-6 1.57 48.93 5.16 7.51 173.76 10.33 15.77 54.05 8.61 91.40 4.67
17 Lucky-666 1.67 44.73 6.97 8.74 202.31 10.37 17.16 59.07 9.71 91.90 6.00
18 Parbhani 1.27 79.13 5.62 5.08 117.59 13.90 17.38 57.95 9.80 90.00 4.67
Kranti
19 Punjab-8 1.48 83.73 6.91 5.40 124.92 12.63 18.52 55.91 11.54 91.53 4.33
(continued)
U. Joshi et al.
Table 3 (continued)
S. No. Genotypes Flesh No. of Seed Yield per Yield per T.S.S (° Ascorbic Chlorophyll Ash Moisture Shelf
thickness seeds per index plot (kg) hectare (q) Brix) acid content content content life
(mm) fruit (mg/100 g) (SPAD)
20 Pusa A-4 1.54 68.40 6.01 8.74 202.31 9.91 16.89 61.06 11.23 92.40 6.00
21 Pusa Sawni 1.58 68.07 6.67 5.97 138.11 10.57 16.18 57.04 10.11 90.40 6.33
22 Super 1.56 57.67 6.48 5.12 118.44 8.07 16.46 60.01 7.71 89.00 5.00
Anamika
23 VL Bhindi-2 1.87 83.27 7.40 10.02 231.87 9.90 16.78 54.67 10.73 91.90 3.33
24 Vandana-241 1.44 50.27 7.62 9.17 212.19 12.23 15.55 55.13 7.41 87.93 3.67
25 Varsha Uphar 1.72 66.93 5.96 6.78 157.02 10.23 15.90 54.05 10.79 92.37 5.67
26 Arka 1.59 60.60 6.50 5.94 137.22 12.37 18.73 59.71 10.71 91.17 3.33
Anamika (C)
Mean 1.59 65.10 6.36 6.72 155.55 10.86 17.30 57.83 9.73 90.36 4.94
Range (Min.) 1.27 44.73 4.84 3.76 86.95 8.07 15.40 54.05 7.41 86.60 3.33
(Max.) 1.99 86.80 7.62 10.02 231.87 13.90 19.16 63.08 11.54 92.40 7.00
SE(d) 0.10 3.59 0.40 0.31 7.11 0.37 0.47 2.66 0.62 0.90 0.39
C.D 0.21 7.23 0.81 0.62 14.32 0.74 0.94 5.37 1.25 1.81 0.79
Varietal Evaluation in Okra for Yield and Yield Attributing Traits …

C.V 7.96 6.76 7.74 5.60 5.60 4.13 3.30 5.64 7.82 1.22 9.68
423
424 U. Joshi et al.

pollination and improved yield. The maximum flower diameter was recorded in Kashi
Mohini, whereas the minimum flower diameter was observed in LC-6 [16]. Length
of the fruits becomes an important trait as it contributes directly to the weight of
fruit, thereby affects the yield of fruits. Maximum fruit length was recorded in VL
Bhindi-2, whereas minimum fruit length was recorded in LC-1. The higher diameter
increases the fruit weight and hence increase the fruit/pod yield. The maximum
diameter of fruit was recorded in VL Bhindi-2, whereas the minimum diameter of
fruit was observed in Pusa Sawani. The present findings were following the results
obtained by [2] but disputes with the findings of [9, 16] as they recorded a higher
value of fruit diameter.
Fruit weight directly affects fruit/pod yield; hence it becomes a useful parameter
for selection. Maximum average fruit weight was observed in the genotype VL
Bhindi-2 whereas, minimum average fruit weight was followed in Kashi Vibhuti.
The highest number of fruits per plant was observed in the genotype Vandana-241,
while the lowest number of fruits per plant was recorded in the genotype LC-1 [3,
13]. Ridges in fruits are a feature that aids in the seed dispersal and facilitates the
removal of seeds during thrashing [17]. The highest ridges per fruit were recorded in
LC-1 (6.00). In contrast, the lowest ridges per fruit were recorded in Chanda, Hisar
Naveen, Hisar Unnat, Kashi Kranti, Kashi Mohini, Kaveri, LC-4, LC-6, Parbhani
Kranti, Pusa A-4, Pusa Sawani, Super Anamika, VL Bhindi-2, Vandana-241, Varsha
Uphar and Arka Anamika as most of the genotypes have more or less similar no. of
ridges in the fruit [13].
The maximum pedicel length was recorded in LC-1, whereas the minimum pedicel
length was recorded in Kaveri. A higher pedicel diameter is desirable as it supports
the pod/fruit, attached to the stem or branches. The maximum diameter of the pedicel
was recorded in VL Bhindi-2, whereas the minimum diameter of fruit was observed
in Pusa A-4 [19, 22]. Lesser days to fruit set decides earliness, which is one of the
most important factors determining the harvesting stage of fruits and is desirable
for fetching better market price. Minimum days to first fruit set was recorded in the
genotype Agri Bahar, whereas the genotype LC-2 had taken maximum days to the
first fruit set. Minimum days to first fruit harvest was recorded in the genotype LC-4.
In contrast, the genotype LC-1 had taken maximum days to first fruit harvest; the
results were disputed with the findings of as the earliness in harvesting depends on
both the genotypes and environmental conditions [16].

3.2.2 Mean Performance of Okra Genotypes for Yield, Seed,

and Quality Traits

Higher flesh thickness is a desirable trait as it directly contributes to the fruit/pod

yield. Maximum flesh thickness was recorded in LC-5, while minimum flesh thick-
ness was observed in Parbhani Kranti. The higher no. of seed per fruit is desirable for
raising a crop for seed production practices. The highest number of seeds per fruit
was observed in the genotype LC-1, whereas the lowest number of seeds per fruit
Varietal Evaluation in Okra for Yield and Yield Attributing Traits … 425

was observed in Lucky-666. The maximum seed index was recorded in Vandana-241,
while the minimum seed index was followed in Hisar Naveen [9, 20].
Getting the highest yield per unit area for better returns is the primary objective
of crop production. Getting a higher fruit yield is the prime and ultimate goal of any
plant breeder; therefore, it requires the highest consideration. The maximum yield
per plot was observed in the genotype VL Bhindi-2, while the minimum yield per
plot was recorded in the genotype LC-5. Yield per hectare gives a good idea about the
yield that can be obtained in a large area. Yield per hectare was recorded minimum
in LC-5 and maximum in VL Bhindi-2 [13, 16, 23].
Higher total soluble solid is a desirable trait as it is a critical quality param-
eter and determines the quality of the produce. Maximum total soluble solids were
observed in the genotype Parbhani Kranti, whereas minimum total soluble solids were
observed in Super Anamika. Ascorbic acid content is an important quality parameter
as it increases the desirability and consumer acceptability of the produce. Maximum
ascorbic acid was observed in LC-5 while minimum ascorbic acid was recorded in
genotype LC-2. The higher chlorophyll content is desirable as it directly influences
the yield due to the increased accumulation of photosynthates. In the present study,
chlorophyll content was found to be low as it was recorded when the plant was going
to senescence phase. Chlorophyll content (SPAD) was minimum in Varsha Uphar
and LC-6 and maximum in Kashi Mohini [9, 19, 22].
Ash content depicts the number of inorganic minerals present in the product; hence
higher ash content is desirable for the produce. Maximum ash content was observed
in the genotype Punjab-8, whereas minimum ash content was observed in Vandana-
241, which was similar to the results obtained by [18]. Higher moisture content adds
to the fruit weight but reduces the shelf life. Maximum moisture content was observed
in the genotype Pusa A-4, whereas minimum moisture content was observed in King
Bhindi. Shelf life has a crucial role in determining keeping quality of the pods/fruits.
Fruits with longer shelf life are desirable as they can be transported to markets at
longer distances.
In contrast, fruits with lower shelf life are not desirable as they are vulnerable
to long-distance transport and disease injury. Maximum shelf life was observed in
the genotype Hisar Unnat. In contrast, minimum shelf life was observed in Arka
Anamika, LC-5, and VL Bhindi-2; the results were in close conformity with the
previous findings [16, 19].

4 Conclusion

From the present investigation, based on mean performance, it can be concluded

that seventeen genotypes viz., Agri Bahar, Chanda, Hisar Naveen, Hisar Unnat,
Kashi Kranti, Kashi Mohini, Kashi Pragati, Kaveri, LC-3, LC-4, LC-6, Lucky-666,
Pusa A-4, Pusa Sawni, VL Bhindi-2, Vandana-241 and Varsha Uphar gave a high
yield of fruit and also performed better for other yield attributing traits than check
cultivar Arka Anamika. The cultivar VL Bhindi-2 might act as a strong substitute for
426 U. Joshi et al.

growing in Himalayan conditions. Further testing of these genotypes will be a great

aid before releasing as an alternative for various presently existing okra varieties.
Along with this, the cultivars can be involved in the future breeding programs for
superior varieties or hybrids development for yield and quality improvement of okra
under the subtropical Himalayan regions of Uttarakhand.

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Population Assessment
and Phyto-chemical Screening
of Meconopsis aculeata Royle
an Endangered Medicinal Plant
of Western Himalaya

Vandana Shukla, Ankit Singh, and A. R. Nautiyal

Abstract Alpine areas are hot spot of biodiversity and harbor high value medicinal
plants. However, habitat destruction and anthropogenic disturbance have led many
plant species to various levels of threat. Meconopsis aculeata Royle belonging to
family Papaveraceae is one such alpine plant species with known medicinal prop-
erties. It is analgesic and febrifuge and has cooling potency. The plant is used in
Tibetan medicine and used for the treatment of bones near the ribes. The flowers
are used to treat asthma, body pain and fever. In the alpine areas of Uttarakhand
the species has been found to have restricted distribution confined to specific habi-
tats. M. aculeata has been reported to be endangered as per the IUCN red list and
thus there is a need to make a population assessment of the species in the region.
Thus, present study was conducted in areas of its occurrence representing the natural
populations in Districts Chamoli and Rudraprayag. The sites were Valley of Flowers,
Hemkund, Madhmaheshwar, Rudranath and Tungnath. The study revealed a substan-
tial variation in frequency, density and IVI in the five sites. Highest Frequency was
47.22% in Tungnath and lowest 25.81% in Rudranath whereas maximum IVI 9.55
was recorded in Valley of Flowers and minimum 2.96 in Rudranath. Remaining three
sites had IVI ranging from 3.72 to 4.05. Contrary to this, the highest density with 2.75
individuals/m2 was recorded in Madhmaheshwar followed by 2.00 individuals/m2
in Tungnath, 1.15 ind/m2 in Valley of Flowers and minimum 0.71 and 0.58 ind/m2
in Rudranath and Hemkund respectively. On overall assessment basis the species is
critically endangered. Phytochemical constituents like terpenoids, tannins, alkaloid
and phenols were determined in leaves from all the populations that also revealed
considerable variations. The mature individuals of the species in the populations
were in low number that further indicates need for devising conservation strategy for
the species.

Keywords Meconopsis aculeata · Endangered · Himalaya · Population ·

Phytochemical

V. Shukla (B) · A. Singh · A. R. Nautiyal

High Altitude Plant Physiology Research Centre (HAPPRC), H.N.B. Garhwal University, Post
Box: 14, Srinagar, Garhwal, Uttarakhand 246174, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 429
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
430 V. Shukla et al.

1 Introduction

The Himalayan region expand around 595,000 km2 and harbor rich biodiversity with
nearly 18,440 plant species, out of these 1800 are medicinal plants, 675 wild edible
and about 30% are endemic to the region [1]. For the protection of the biodiversity 5
Biosphere reserves, 28 National parks and 98 Wildlife sanctuaries with an area about
51,899 km2 have been established in Indian Himalayan region [2].
In the last few decades, much attention has been paid to the conservation of the
medicinal plants, due to their increasing demand and economic point of view [3].
Most of the high value medicinal plants of the Himalayan region are facing
high threat and listed as endangered and critically endangered in Indian Red data
book [4–6]. Over-exploitation, climate change, habitat degradation, pollution, and
introduction of alien species are major threats for useful plant species.
High altitude alpine meadows contain rich herbaceous species diversity i.e.,
Bistorta macrophylla (D. Don) Sojak, Danthonia cachemyriana Jaub. & Spach,
Potentilla microphylla [Link], Trachydium roylei Lindl etc. In the Himalayan region
several medicinal plants species found which are in use since time immemorial
i.e. Aconitum heterophyllum Wall ex Royle, Picrorhiza Kurrooa Royle ex Benth,
Dactylorhiza hatagirea ([Link]) Soó, Meconopsis aculeata Royle, etc. These plants
naturally grows in alpine meadows, slopes and on the rock and boulder.
Meconopsis aculeata Royle belonging to family papaveraceae commonly known
as Himalayan poppy or Blue poppy and Kalihari in Garhwal, is an endemic
endangered medicinal plant that naturally grow on moist rocks and boulders.
The plant is perennial and monocarpic with a height between 1 and 2 feet, prickly,
erect, unbranched stem. It is distributed in the Western Himalayan region from
Kashmir to Kumaon and found at an elevation range of 3300–4600 m [7]. In Uttarak-
hand, the plant grows between 3000 and 4700 m. It has analgesic, febrifuge, cooling
potency, used in Tibetan medicine [8] and also to treat the bones near the ribs related
problem [9]. Flower of the species used for the treatment of asthma, fever, cough,
and commonly used by inhabitants of Himachal Pradesh [10] and Uttarakhand [11].
Several studies reveal that plants are rich source of natural antioxidants [12, 13]
and polyphenolics which can be utilised further as antioxidant supplements [14]. Due
to the high medicinal demand, it is over-exploited from wild and thus it is banned
for wild collection [15].
No ecological work has been conducted in Garhwal Himalaya. Therefore, the
present study was carried out to evaluate population status, habitat assessment and
categorization of threat for valuable medicinal plant Meconopsis aculeata (Fig. 1).
Population Assessment and Phyto-chemical Screening … 431

Fig. 1 Meconopsis aculeata’s whole plant and flower

Table 1 Study sites of meconopsis aculeata in Uttarakhand, Western Himalaya, India

Study stations Latitude Longitude Altitude-range (m)
Valley of flowers (SA1)—BV* 30.7224 79.59156 3160–3248
Hemkund (SA2)—BH* 30.70049 79.61198 4310–4400
Madhyamaheswer (SA3)—AM* 30.64502 79.22939 3611–3697
Rudranath (SA4)—NP* 30.48222 79.33835 3610–3736
Tungnath (SA5)—BT* 30.48985 79.21671 3425–3600
BV* Between Valley of flowers, BH* Below Hemkund, AM* Above Madhyamaheswer, NP* Near
Panar, BT* Between Tungnath

2 Material and Method

2.1 Study Sites

This research work was conducted in an alpine and subalpine region of two districts
of Uttarakhand namely Chamoli and Rudraprayag. Five sites were randomly selected
for population assessment of the species (Table 1, Figs. 2 and 3).

2.2 Community Analysis

Community analysis was carried out in 2018–19 from June to September when most
of the plants attain their flowering growth. Vegetation sampling was done using belt
transect method, for this 100 × 100 m area was selected in each site considering the
habitat of M. aculeata. Further transect was divided into twenty-five sub transects of
20 × 20 m, out of total three sub transects were selected randomly and 10 quadrats
432 V. Shukla et al.

Fig. 2 Study sites of Meconopsis aculeata in Uttarakhand, Western Himalaya, India

Fig. 3 a Valley of flowers; b Hemkund; c Madhyamaheswer; d Rudranath; e Tungnath

Population Assessment and Phyto-chemical Screening … 433

of 1 × 1 m size were laid randomly. Basal area cover of each species was determined
by measuring the plant diameter from above 5–10 cm of the surface using a vernier
calliper. Species were identified with the help of Flora of Garhwal [16], Flora of
Chamoli [17] and Plants of Kedarnath Wildlife Sanctuary [8].

2.3 Quantitative Analysis

The frequency percentage, density, abundance, relative frequency, relative density,

relative dominance and importance value index (IVI) were determined through the
formula given by Mishra [18].
Parameters of Phytosociological attributes:

Total number of quadrats in which species occurred

Frequency % = × 100
Total number of quadrats studied
Total number of individuals of a species in all quadrats
Density (ind/m2 ) =
Total number of quadrats studied
Total number of individuals of a species in all quadrats
Abundance =
Total number of quadrats in which the species occurred
A Abundance
ratio =
F Frequency
Species’s Frequency
Relative Frequency % = × 100
Total frequency of all the species
Species’s Density
Relative density % = × 100
Total density of all species
Total basal cover of the species
Relative dominance % = × 100
Total basal cover of all species

Total Basal Cover (TBC) = Mean Basal Cover × Density

Importance Value Index (I.V.I) = Relative frequency + Relative density

+ Relative dominance

n(n − 1)
Simpson’ Index of Dominance (D) = 1 −
N (N − 1)

where n = the total number of individual of a particular species.

434 V. Shukla et al.

N = the total number of individual of all species [19].

i=s
Shannon-Wiener Index (H) = − (pi*ln(pi))
i=1

where H = Species diversity Index,

N = Number of all individuals,
ni = Number of individuals in species,
pi = The proportional of individuals in species (pi = ni/N) [20].
Species Richness Index (RI) was calculated by using formula Margalef (1958)
as:
S−1
Richness Index (R.I) =
Ln(N)

where S = Total no. of species in community-1.

N = Total no of individuals of all species in a community [21].
Species Evenness Index (EI) was calculated by using formula Pielou (1975) as:

H
Evenness Index(E.I) =
Ln(S)

where H = Shannon diversity index.

S = Total species number of a community [22].
The Index Similarity (S) was calculated to compare the species of two Stands
(Sorenson 1948) as:

2C
Similarity Index (S) = × 100
A+B

where A and B = total species in community A and B respectively.

C = number of common species in both community [23].

2.4 Distribution Pattern and Threat Assessment

Distribution pattern of the species was assumed on the basis of abundance to

frequency (A/F) ratio. A/F ratio < 0.025 was considered as regular distribution,
between 0.026 and 0.050 as random and > 0.050 contiguous kinds of dissemination
[24].
Population Assessment and Phyto-chemical Screening … 435

Two criteria were used for threat assessment as per IUCN criteria of red list [25].
(1) Estimation of Population on basis of Density and mature individuals number.
(2) On the basis of extent of occurrence (number of population/plots). Flowering
and fruiting plants were considered as mature individuals and used for population
assessment.
A species found < 250 mature individuals was considered as critically endangered,
< 2500 as endangered, and < 10,000 as vulnerable. When a species having only a
single population was assessed as critically endangered, < 5 population endangered
and < 10 as vulnerable. Furthermore, separate status was also assigned for every
natural site as well as for the entire Garhwal region of western Himalaya India.

2.5 Collection and Extraction of Plant

For phytochemical investigation leaves were collected from each site and stored
in the icebox at 4°C temperature until reach to HAPPRC laboratory, further plant
sample washed three-four times with tap water and two times by distilled water and
shade dried at room temperature.
After fully drying, the plant leaves samples were crushed into fine powder utilizing
Willey processor Grinder Mill Machine (Micro Scientific, India) and stored in an
airtight boxes at room temperature in obscurity then the dried powder was filled in
the thimble (200 ml of a solvent with 20 g of Meconopsis aculeata leaves test) of
soxhlet unit and extraction with acetone, methanol and aqueous for 72 h at Boiling
temperature 56, 64.7, 100°C. The dissolvable concentrates sifted with Whatman
filter paper (grade 1) then concentrated with Rotary Vacuum evaporator Quickvap
(PATENT REGD. NO. 229440) pressure and preserved at 4°C in the airtight container
till further use.

2.6 Qualitative Screening

2.6.1 Alkaloid Procedure

Add 1.5 ml of HCl (1%) with 2 ml of solvent extract, heated in the water bath
for a few minutes and add Six drops of Mayor’s/Wagner’s/Dragendroff’s Reagent.
Development of an orange precipitate (ppt) confirmed the positive outcome [26].

2.6.2 Tannins

2 ml of an extract with 2 ml of FeCl2 (5%). Formation of yellow–brown ppt indicates

the positive result of tannin [27].
436 V. Shukla et al.

2.6.3 Glycoside

A little amount of prepared extract was taken in test tube with 1 ml of distilled
water. Two–three drops of aqueous Sodium hydroxide were added. A yellow colour
indicates the positive result of glycoside [28].

2.6.4 Cardiac Glycosides

2 ml of extract added 2 ml Glacial Acetic acid. Added a few drops of FeCl3 and 1 ml
of conc. H2 SO4 . The appearance of brown rings in the upper surface and violet rings
in the lower surface indicates the presence of cardiac glycosides [28].

2.6.5 Saponin

1 ml leaves extract was added in 20 ml of DH2 O and shaken in a graduated cylinder

for 15 min. The arrangement of a 1–2 cm layer of froth demonstrates the presence
of saponin [28].

2.6.6 Phenolics

To 2 ml extract, 1 ml of Ferric chloride (1%) was added. Blue and green colour
appearances confirmed the presence of the phenol [29].

2.6.7 Terpenoids

Take 2 ml chloroform in test tube then add 0.5 ml of extract. After that three ml
concentrated H2 SO4 was added which forms a layer in tube. The reddish-brown
colouration shows terpenoid presence [28].

2.6.8 Steroids

One gram of Meconopsis aculeata’s leaves sample was dissolved in 10 ml of chlo-

roform and 1 ml of concentrated H2 SO4 into the test tube from wall sides. The top
layer shading turned in red colour and the sulphuric acid layer indicate yellow with
green fluorescence confirm the steroid positivity [30].
Population Assessment and Phyto-chemical Screening … 437

2.6.9 Flavonoids

1–5 drops of Concentrated Hydrochloric acid (HCl) were included to a small quantity
of leaves extract. It gives immediate red colour formation and showed the flavonoid
presence [28].

3 Results

Meconopsis aculeata is one of the majestic flowering plants species of Himalaya its
grow in boulders rocks, and near water stream due to restricted habitat population
and phytosociology assessment was done that shows that maximum IVI value of
Meconopsis aculeata was found in Valley of flowers (IVI 9.55) followed by Hemkund
(IVI 4.05), Tungnath (IVI 3.74), Madhyamaheswer (IVI 3.72), Rudranath (IVI 2.96).
The frequency % was maximum in Tungnath (47.22%) and minimum in Rudranath
(25.81%). Density was found maximum in Madhyamaheswer (2.75 plants/m2 ) and
minimum in Hemkund (0.58 plant/m2 ). Result revealed that the Distribution pattern
is contiguous in all five selected sites (Table 2; Fig. 4).
Diversity index was highest in Tungnath and lowest in Hemkund region and
dominance index was highest in Madhyamaheshwar however rest all four sites had
0.99. Species richness was maximum in Tungnath region followed by Rudranath,
Madhyamaheswer, Valley of Flowers and Hemkund. Species evenness and similarity
index of all five study sites shown in Tables 3 and 4.
Some dominant associated species of M. aculeata are Danthonia cachemyriana
Jaub. & Spach., Salix denticulata Andersson, Carex sentosa Boott, Bistorta affinis
([Link]) Greene, Bistorta macrophylla ([Link]) Sojak, Viola biflora L. (Table 5).
However M. aculeata natural surroundings are also connected in study zones with
exceptionally high potential therapeutic plant’s living habitat like Picrorhiza kurroa
Royle ex Benth., Rheum emodi Wall. Ex Meisn., Aconitum violaceum Jacquem. ex
Stapf., Megacarpaea polyandra Benth., and Angelica glauca Edgew.
According to research work in selected sites, it has been observed that the plant
is found only in moist, boulders and rocky area somewhere under canopy of Betula
utilis [Link], Abies spectabilis (D. Don) Spach and Rhododendron campanulatum
[Link]. From this it can be deduced that such elements which are present in rocks
are favourable for plant growth instead of soil elements.
The result of preliminary analysis of leaf extract in various solvents has shown
remarkable variations are tabulated in Table 6. Phyto-constituents variability was
found in all selected sites. None of the sites from which the plant was obtained
did contain all phytochemical i.e., alkaloids, tannins, glycosides, cardiac glycosides,
phenols, terpenoids, steroids and flavonoids. The resulting study revealed that in
aqueous extract few bioactive constituents were effectively dissolvable, in methanol
extract most of the bioactive were strongly dissolvable and present but in acetone
extract bioactive moderately present.
438

Table 2 Threat category assessment and population status of Meconopsis aculeata in five selected study sites in Garhwal Himalaya
Study sites F R D R A/F TBC R IVI DP MI P Status
(%) Fre (plant/m2 ) Den Dom
SA1 43.90 4.53 1.15 3.44 0.06 0.06 1.58 9.55 C 33 3 ENa
CEb
SA2 27.27 3.37 0.58 0.57 0.08 0.06 0.11 4.05 C 13 1 CEa
CEb
SA3 43.75 2.43 2.75 1.28 0.14 3.08 0.01 3.72 C 25 2 ENa
CEb
SA4 25.81 1.74 0.71 0.73 0.11 0.06 0.50 2.96 C 10 1 CEa
CEb
SA5 47.22 1.95 2.00 0.81 0.09 2.00 0.98 3.74 C 70 4 VNa
CEb
Overall status of M. aculeata in Garhwal region EN
CE
F%-Frequency percentage, R Fre-Relative Frequency, D-Density, R Den-Relative density, A/F-Abundance/Frequency, TBC-Total basal cover, R Dom-Relative
dominance, IVI-Importance value index, DP Distribution pattern, MI Mature individuals, P Number of populations, C Contiguous
a On basis of extent of occurrence
b On basis of Population estimation, EN-Endangered, CE-Critically Endangered, VN-Vulnerable
V. Shukla et al.
Population Assessment and Phyto-chemical Screening … 439

50.00
45.00
40.00
35.00
30.00
25.00
20.00
15.00
10.00
5.00
0.00
SA1 SA2 SA3 SA4 SA5
Frequency Density IVI

Fig. 4 Frequency, density and IVI values in five sites of studied plant Meconopsis aculeata

Table 3 Species diversity and related parameters of Meconopsis aculeata in all five selected study
sites
Diversity index Dominance index Species richness Species evenness
(Shannon (H ) (Simpson Cd) index index
SA1 3.1 0.99 3.60 0.940
SA2 1.99 0.99 1.97 0.702
SA3 2.98 1 4.29 0.813
SA4 3.37 0.99 5.11 0.902
SA5 3.5 0.99 5.39 0.903

Table 4 Percent similarity index of different sites at high elevations

Sites SA2 SA3 SA4 SA5
SA1 18 24 20 15
SA2 18 24 33
SA3 34 36
SA4 46

4 Discussion and Conclusion

Present study aims to find out population status and phytosociological attributes,
habitat structure, type of M. aculeata in different study sites in Garhwal Himalaya,
thus, it gives useful information regarding composition, structure, species diversity,
resource share of the community.
M. aculeata has now assessed as endangered, however recent research shows the
status critically endangered in Kashmir Himalaya as per IUCN criteria [31]. The
440 V. Shukla et al.

Table 5 Site characteristics of selected populations of Meconopsis aculeata in Western Himalaya,

India
Study Aspect Slope Habitat Dominant associated Threats
sites species
(SA1) SE 20–25° Open Rocky slopes Salix denticulata Human
in the Andersson, Viola biflora disturbance
subalpine-alpine L., Danthonia
region with Betula cachemyriana Jaub. &
utilis [Link] and Spach.,
associated with
Rheum emodi Wall
ex. Meissn
endangered spp.
(SA2) NE 40–50° Open Steep Dry Danthonia Degradation of
rocky slopes in cachemyriana Jaub. & habitat,
alpine with Spach., Bistorta affinis interference by
Aconitum violecum (D. Don) Greene, human
Jacquem ex. Stapf Bistorta macrophylla
vulnerable spp. ([Link]) Sojak,
Euphorbia stracheyii
Boiss
(SA3) NW 30–35° Moist grassy slopes Danthonia Habitat
in open Alpine cachemyriana Jaub. & degradation,
meadows Spach., Carex setosa human
Boott, Viola biflora L interference
(SA4) NE 25–30° Gentle grassy moist Danthonia Grazing and
slopes in open cachemyriana Jaub. & interference by
Alpine meadows Spach., Veronica cana human
Wall. Ex Benth.,
Bistorta vaccinifolia
Wall. Ex Meisn
(SA5) NW 20–30° Moist rocky shady Danthonia Grazing,
slopes in alpine with cachemyriana Jaub. & interference by
Nardostachys Spach., Carex setosa human,
jatamansi DC. and Boott., Synotis degradation of
Picrorhiza kurroa kunthiana (Wall. ex habitat
Royle ex. Benth DC.)
both are an
Endangered spp.

information showed that although species occurrence is seldom (frequency was <
50% in each site), the area of occurrence is narrowing down with very few mature
individuals present and along these lines, the species are sorted as vulnerable based
on occurrence and endangered based on population estimation. According to IUCN
classifications, on the basis of occurrence plant categorized in endangered and on the
basis of population estimation, it is categorized as critically endangered. The qualita-
tive investigation revealed that the secondary metabolites used for medicinal purpose
are found in the plant and these categories are Alkaloid, Tannin, Glycoside, Cardiac
Table 6 Qualitative phytochemical screening of leaves extract of Meconopsis aculeata
Valley of flowers Hemkund Madhyamaheswer Rudranath Tungnath
Aq Ace Meth Aq Ace Meth Aq Ace Meth Aq Ace Meth Aq Ace Meth
Alkaloid + − ++ − + ++ − + +++ − + − + − ++
Tannin − + +++ ++ − + + + ++ + + ++ + ++ +++
Glycoside − − + − ++ ++ − − ++ − + − − + +
Cardiac ++ − − − + ++ + ++ − − ++ +++ − ++ ++
glycoside
Phenols − + ++ − ++ +++ − + ++ − − ++ + − +++
Population Assessment and Phyto-chemical Screening …

Terpenoids − + ++ − − ++ − + ++ + − ++ + − ++
Steroids + − ++ − − ++ − − +++ − + + − ++ −
Flavonoids − + + − ++ ++ − + ++ + + ++ − + −
Saponin − + ++ + + ++ − ++ − − + − + + ++
−: absent, +: present, ++: moderate present, +++: strongly present
441
442 V. Shukla et al.

glycoside, Phenols, Terpenoids, Steroids, Flavonoids, and Saponin are present On

the basis of number of populations which are low according to phytosociology study,
the immediate conservation is required for plant conservation due to its therapeutic
potential worth. The study revealed that the strong presence of all most phytocom-
pounds was seen mostly in methanolic and acetone leaves extraction of Meconopsis
aculeata.

Acknowledgements Authors are thankful of Research scholars Miss. Vaishali Chnadola and Mr.
Abhishek Jamloki, Department H.A.P.P.R.C., Srinagar Grahwal for their support and guidance in
field work.

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Multi-disciplinary Analyses on Hydro
Rotor Using Computational
Hydrodynamic Simulation (CHS)

R. Vigneshwaran, B. Surya, S. Tharani Tharan, M. Senthil Kumar,

M. Ramesh, and R. Vijayanandh

Abstract The energy extraction from hydrodynamic fluid is one of the primary
tasks in the hydro energy sector. Because of the unstable availability of water, the
efficient tool is compulsory to provide required average energy. Comparatively, all
other tools in hydro energy sector, the rotor and its dynamic nature play a top role to
generate high energy from hydro fluid. In this work deals an innovative and integrative
conceptual design of hydro rotor and its hydrodynamic performance estimations.
Fundamentally, this proposed rotor is oriented horizontally added with twisted wing
component. Comparative analyses also executed with normal twisted plates. Because
of the implementation of twisted wing, the torque production is quite higher than
other models. Computational hydrodynamic analysis is the methodology used in this
work with the help of CFD tool i.e., ANSYS Fluent 17.2. In which, the conceptual
design of all the complicated hydro rotors are modelled in CATIA.

Keywords Conceptual design · CFD · Hydro-energy · Hydro rotors · Optimization

1 Introduction

The requirement of energy is increasing constantly in current days because of its

large utilization in all fields. Non-renewable energy sources are incapable to fulfil
the current and future needs of the world in the perspective of electricity utilization,
transportation, etc. So the research on energy extraction from renewable energy
sources such as hydro, wind, solar, etc. are emerged everywhere. The platform of
this research work is chosen as hydro environment and its energy converting unit.
Generally, two primary groups of components are available in the renewable energy
sector, which are Mechanical group and Electrical group. In electrical component
group, generator, rectifier are plays a vital role in the electrical conversion and its
utilization. But mechanical group, a single and solid component solely plays a top
role, which is rotor. Rotor and its design parameters are have the drastic capability

R. Vigneshwaran · B. Surya · S. Tharani Tharan · M. Senthil Kumar · M. Ramesh ·

R. Vijayanandh (B)
Aeronautical Engineering, Kumaraguru College of Technology, Coimbatore, Tamil Nadu, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 445
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
446 R. Vigneshwaran et al.

to extract huge amount of energy from hydro environments. Also, the high energy
extraction is totally depends upon the efficient way of dealing of hydrodynamic fluid
by the support of rotor profile. Naturally, the hydro fluid is high dense one, which
may affect the lifetime of a rotor hugely. Therefore, in this work deals an innovative
conceptual design of a hydro rotor, which can able to provide high torque induction
in the high resisting force hydro environments.

2 Literature Survey

The various hydro rotors and its designs are studied through this literature survey.
Generally, it is important to utilize renewable energy in an efficient way for energy
management, in which hydro rotors are one of the innovative ways of producing
energy which is a renewable source. In the olden days, Francis hydro turbine units
were used for turbines. The runners’ in these turbines had serious cavitation damage.
The major drawback of turbine’s recital is fully relayed on the cavitation damage
occurrence in the continuous manner, which majorly affect the linear working envi-
ronments. In this section, several researches are studied and come up with the new
idea on the conceptual design of rotors.
The author [1] used computational fluid dynamics for the optimization of the
hydro turbine’s design for better performance. Computationally, CFD codes have
been solved the design based optimization on hydro turbines in an easy manner
through its advanced capacity. The airfoil-shaped rotor blade was used and solved
through CFD, thus concluded that the all the flow cum design profile angles are
having the full effect on the increment of the hydro-turbine’s propulsive efficiency.
The authors [2] used the principle of BEM theory for its analysis, which dealt the
fundamental design and its procedures of all kind of rotors. The two-dimensional
lift-drag data was implemented to assess the Hydrodynamic forces on rotor elements
with local flow conditions. The summation of each elemental force can provide the
consolidated force of the rotating component. In addition to the BEM theory, the
momentum theory also used, which deals the rotor plane’s pressure loss due to the
fluid’s work done executed on the rotor. In an iterative manner, it solved the coupled
equations to predict the roto-hydrodynamic forces across the short-listed rotor.
The authors [3] targeted to work on the turbine rotor’s optimization and guide
vane’s performance enhancement because the efficiency of the VLH axial flow
turbine was a major impact. The axial turbine was firstly tested with fluid flow
simulations, then turbine’s efficiency enhanced through the concept of regression.
An advanced CFD methodology was implemented in the prediction of this compli-
cated turbine, in which the computational simulations based sensitivity tests i.e., grid
refinement, are organized to enhance the trustworthiness of the CFD’s outcome.
The author [4] used the airfoil shape in hydro-turbine, which gave the tremendous
benefits on the characteristics of flow. Normally, the design parameters of aerofoil
such as aerofoil shape, leading edge’s radius, maximum thickness’s position and
maximum camber’s location have been played the great role in the fluid movement.
Multi-disciplinary Analyses on Hydro Rotor … 447

Local high-speed acceleration is possible only when there is a Small leading-edge

radius. Computational simulations were executed on the rotor blades with different
working environments, in which two rotors were constructed with a varied chord and
pitch ratio. For the common rotodynamic initial cum boundary conditions, it needed
a various design profiles and produces a different power. Because the interaction of
fluid on the turbine blades with different velocities have been produced the different
potential energy in a linear manner.
The author [5] dealt the Hydropower production technologies through Hydroki-
netic energy, which is one of their major techniques because of low environmental
impacts. In this research, the major finding was that the output hydro power has been
proportional to the square of the diameter of the rotor. Therefore the turbine rotor
diameter was optimized to get better efficiency.
In this article [6] the blade shape was provided by Bezier-curve which is a param-
eterization method. A rotor profile design was invented to avoid unnecessary calcu-
lations. It was based on the manufacturing constraints to make soon the optimization
process. The proposed blade multi-elements have higher CL . As the flap increases,
the flow separation decreased and thereby a decreased in CD was occurred, finally, the
CL /CD and torque were increased. The multi-element hydrofoils are highly recom-
mended for the blade design instead of standard hydrofoils because the manufacturing
process costs are higher for standard hydrofoils when compared to multi-element
hydrofoils.

2.1 Summary

From the survey of research papers, this paper coming up with an idea that the rotor
design optimization is one of the primary requirements in implementing better perfor-
mance of hydro rotors. In that, the rotor diameter, thickness, blade angles, are impor-
tant and the same inputs cum boundary conditions are necessary for computational
simulations as well as other engineering approaches to analyse the performance of
the hydro-rotors. Comparatively, the CFD based solution is important that for faster
computing results rather than theoretical calculations so the same the methodology
is approached for this existing work. Commonly, the water is an efficient and reliable
fuel available enormously in the earth thus handling the hydrodynamics matter in an
efficient way with design parameters will give us a vital energy source. In the phase of
CFD simulation, control volume, mathematical modelling, computational modelling,
discretization, boundary conditions and solution methods have been important, which
were extracted from this standard literature survey. With the help of this survey, the
efficient cum advanced hydro rotor will come up with new computational investi-
gations on hydrokinetic turbines, which help in the improvement, development, and
implementation of the rotor to the sustainable use of water resources [7–10].
448 R. Vigneshwaran et al.

3 Methodology Used—CHS

3.1 Conceptual Design

The good hydrodynamic performance and thereby efficiency in high level are
primarily relayed on design profile of the hydro rotor. Generally, conceptual design
in a subordinate phase involved in the design stage of hydro rotor, in which the
output of conceptual design must be a three dimensional model. Apart from the three
dimensional data, the critical facilities such as pitch angle, hydrofoil shape, number
of leaves are contributes a lot in the conceptual design phase [11, 12]. This paper
proposed an innovative hydro-rotor with comparative study through CFD. There-
fore, the conceptual design phase is an unavoidable procedure in this work. Totally,
four hydro rotors are constructed with the help of CATIA. All the four models are
oriented in the length-wise (Horizontal) shaft as base, added with twisted profiles
such as thin plate, wing, etc. An innovative idea involved in the conceptual design
is torque enhancement in the hydro rotor with same and normal hydro environments
[13–18]. For the comparative purpose, Vertical axis oriented hydro rotors are also
modelled with same aforesaid twisted profiles. Thus totally eight hydro rotors are
constructed for hydro energy extraction. The draft of all the hydro rotors are revealed
in Figs. 1, 2, 3 and 4, in which the length of all the rotors are maintained as 100 mm
and the internal diameter maintained as 50 mm for all the hydro rotors and the diam-
eter of the external twisting profile maintained as 27.98 mm for all the models. The

Fig. 1 Conceptual design of hydro rotor—Model-I

Multi-disciplinary Analyses on Hydro Rotor … 449

Fig. 2 Conceptual design of hydro rotor—Model-II

ultimate design of this work is model-II, which is shaft with twisted wings. The
model-II is equipped hydrodynamic efficient related profile, which may increase the
hydro rotors.

3.2 Mesh

The nature of the flow over hydro rotor is comes under external computation so
the rectangular based control volume is imposed in this work with the dimensions
of 4000 mm in the primary direction and 2000 mm in the secondary directions.
The fine un-structural mesh elements are used in this grid generation, which can
easily solved through Finite Volume Method based computation. To enhance the
quality on the mesh, the refinement facility is applied over the hydro rotor. Finally,
the total nodes and elements involved in this mesh construction are 929,847 and
4,876,258 respectively. The mesh quality is attained as 0.99983, which has been
greatly accepted by the computational people as good quality. The typical views of
both control volume and hydro rotor are revealed in Figs. 5 and 6.
450 R. Vigneshwaran et al.

Fig. 3 Conceptual design of hydro rotor—Model-III

3.3 Boundary Conditions

The platform of this work is hydro environment so pressure based solver is imposed
in this computation because of the hydro fluid’s nature. The density of this working
fluid is quite high so the possibility of turbulence formation at the flow separation
regions is quite less so Spalart Allmaras is chosen as turbulence model with 5%
precision. The targeted location of this hydro rotor in the sea or river is 1000 mm
depth so the operating pressure is calculated as 111,380.3 Pa and the same value is
given in this comparative computation. Through instrument, the average flow velocity
is measured in the river, which is 0.1 m/s so the same input is give as inlet velocity.
The coupled scheme is used in between the pressure and velocity interaction owing
to the complicated dynamic nature of the hydro conditions. All other equations are
implemented with second order accuracy, which can increase the reliability on the
computation.
Multi-disciplinary Analyses on Hydro Rotor … 451

Fig. 4 Conceptual design of hydro rotor—Model-IV

4 Computational Hydrodynamic Simulation Results

4.1 Horizontal Axis Hydro Rotor—Results

Figures 7, 8, 9, 10, 11, 12, 13 and 14 are shown the clear representations of fluid
properties such as velocity and pressure over various horizontal axis hydro rotors.
The comparative performance outcomes of all the hydro rotors are revealed in Fig. 15.

4.2 Comparative Analysis of Vertical Axis Hydro Rotor

The pressure and velocity variations on the different Vertical Axis Hydro Rotor
Models are revealed in Figs. 16, 17, 18, 19, 20, 21, 22 and 23. The comprehensive
velocity increment due to the presence of vertical axis hydro rotors is shown in
Fig. 24.
452 R. Vigneshwaran et al.

Fig. 5 The discretized structure of the entire control volume

Fig. 6 The typical view of hydro rotor loaded on fine mesh

5 Conclusions

The computational hydrodynamic analyses on different Horizontal axis and Vertical

axis based hydro rotors under same boundary conditions. From these comparative
results, it is proposed that two hydro rotors are capable to extract high amount of
hydro energy from hydrodynamic environments. The wing twisted over horizontal
Multi-disciplinary Analyses on Hydro Rotor … 453

Fig. 7 Pressure variations on horizontal axis hydro rotor-I

Fig. 8 Velocity generations over horizontal axis hydro rotor-I

axis hydro rotor (model-II) is increased the hydro fluid’s velocity by 57.5% than
the inflow fluid velocity. Also the hydro fluid’s velocity is increased by 50.1% than
inflow fluid velocity with the help of thick plate twisted over Vertical axis hydro
rotor (model-III). The four predominant shapes are twisted over the Horizontal axis
and Vertical axis hydro rotors with the support of CATIA. All of the hydro rotors
are modelled with same dimensions for the purpose of effective comparison. The
454 R. Vigneshwaran et al.

Fig. 9 Pressure variations on horizontal axis hydro rotor-II

Fig. 10 Velocity generations over horizontal axis hydro rotor-II

advanced CFD tool is employed for this design optimization on hydro rotors and
thus the optimized model is finalized, which is hydrofoil based wing twisted over
the horizontal axis shaft. The fluid velocity has the capacity to increase the rotational
force of the hydro rotor so the hydro energy extraction is quite high in the optimized
models than other kind hydro rotors.
Multi-disciplinary Analyses on Hydro Rotor … 455

Fig. 11 Pressure variations on horizontal axis hydro rotor-III

Fig. 12 Velocity generations over horizontal axis hydro rotor-III

456 R. Vigneshwaran et al.

Fig. 13 Pressure variations on horizontal axis hydro rotor-IV

Fig. 14 Velocity generations over horizontal axis hydro rotor-IV

Multi-disciplinary Analyses on Hydro Rotor … 457

Fig. 15 Comparative velocity increment by the horizontal axis hydro-rotors

Fig. 16 Velocity generations over vertical axis hydro rotor-I

458 R. Vigneshwaran et al.

Fig. 17 Pressure variations on vertical axis hydro rotor-I

Fig. 18 Velocity generations over vertical axis hydro rotor-II

Multi-disciplinary Analyses on Hydro Rotor … 459

Fig. 19 Pressure variations on vertical axis hydro rotor-II

Fig. 20 Velocity generations over vertical axis hydro rotor-III

460 R. Vigneshwaran et al.

Fig. 21 Pressure variations on vertical axis hydro rotor-III

Fig. 22 Velocity generations over vertical axis hydro rotor-IV

Multi-disciplinary Analyses on Hydro Rotor … 461

Fig. 23 Pressure variations on vertical axis hydro rotor-IV

Fig. 24 Comparative velocity increment by the vertical axis hydro-rotors

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Sand-Gravel Mining as a Threat
to Macro-benthic Assemblage
and Habitat Parameters: A Case Study
of River Ganga, India

Nitin Kamboj and Vishal Kamboj

Abstract The present study was conducted for assessing the impact of sand-gravel
mining on the habitat parameters, diversity and abundance of macro-benthic species
in the mining impacted area of the Ganga river from April 2017 to March 2018.
Samples were collected from four different zones i.e. zone A as reference zone
while zones B, C and D are mining impacted area of Ganga river correspondingly.
During the study, habitat parameters such as substratum type, pH, dissolved oxygen,
biochemical oxygen demand, turbidity and TDS showed a significant difference at
selected zones throughout the study. Besides, during the survey, a total of twenty-
nine macro-benthic species belonging to ten groups mainly Oligochaeta (2 species),
Turbellaria (2 species), Hirudinea (3 Species), Odonata (2 species), Ephemeroptera
(4 species), Trichoptera (3 species), Diptera (6 species), Gastropoda (3 species),
Decapoda (1 species) and Coleoptera (3 species) were found respectively. The
Diptera group was found a maximum of 30.77% throughout the study period at
selected zones. Besides this, the other major groups were such as Coleoptera 12.73%,
Gastropoda 10.80% and Ephemeroptera 9.65%. The result showed that the zone
A contains the higher number 1205 ind./m2 while zone B, zone C, and zone D
contain 899 ind./m2 , 714 ind./m2 and 497 ind./m2 respectively throughout the year.
The canonical correspondence analysis (CCA) analysis showed a strong relation-
ship with habitat parameters mainly substratum structure, pH, water temperature,
dissolved oxygen with the macro-benthic species. Besides this, the reason for the
decline in species number in respected zones (B, C & D) is the removal of the sand
and gravel material. The removal of these materials causes habitat destruction in the
form of increasing depth, slope, channelization of river and water quality.

Keywords Macro-benthic species · Mining-impacted area · CCA · Ganga river

N. Kamboj · V. Kamboj (B)

Department of Zoology and Environmental Science, Gurukula Kangri Vishwavidyalaya, Haridwar
249404, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 463
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
464 N. Kamboj and V. Kamboj

Abbreviations

WT Water temperature
DO Dissolved oxygen
TDS Total dissolved solids
TU Turbidity
BOD Biochemical oxygen demand
CCA Canonical [Link] analysis
MB1 Tubifexsp.
MB2 Limnodrilussp.
MB3 Planariasp.
MB4 Dugesiasp.
MB5 Glossiphoniasp.
MB6 Barbroniasp.
MB7 Hemiclepsissp.
MB8 Libellulasp.
MB9 Enallagmasp.
MB10 Ephemera sp.
MB11 Baetissp.
MB12 Heptageniasp.
MB13 Caenissp.
MB14 Hydroptilasp.
MB15 Triaenodessp.
MB16 Rhyacophilasp.
MB17 Chironomussp.
MB18 Chaoborussp.
MB19 Procladiussp.
MB20 Polypedilumsp.
MB21 Glyptotendipessp.
MB22 Forcipomyiasp.
MB23 Gyraulussp.
MB24 Promenetussp.
MB25 Lymnaeasp.
MB26 Potamansp.
MB27 Hyphoporussp.
MB28 Bidessussp.
MB29 Helocharessp.
Sand-Gravel Mining as a Threat to Macro-benthic Assemblage … 465

1 Introduction

The macro-benthic species are a vital part of aquatic organisms which are used as
an indicator to assess the functional status of the river. The benthic organisms live
in the bottom of the aquatic system part such as sediments, and rocks [1]. They
are the part of the aquatic food chain which link the lower trophic level by feed
plankton i.e. phytoplankton and zooplankton with higher tropic level by act as a food
source of the fishes. In freshwater, the macrobenthos act as a keystone organism
which circulate the ecosystems process such as food chain and nutrient cycling [2].
They interact with the various environmental condition and are distributed along
with the water characteristics, substrate, food utility and quantity [2, 3]. They are
sensitive to the characteristics and pattern of the habitat and substratum, water quality
and types of riparian vegetation along with the aquatic system [4, 5]. Nowadays,
all the aquatic systems are under pressure due to the dependency of humans. The
involvement of human activities such as sand-gravel mining, disposal of wastewater,
tourism activities degrades the quality of the hydrological parameters which directly
affect the quality and quantity of the aquatic organisms [6, 7]. Out of these activities,
sand-gravel mining activity i.e. the extraction of raw materials such as gravel and
sand from the river can directly affect aquatic organisms [8, 9]. The removal of the
substratum changes the quality of water, habitat characteristics and channelization
of the river [7, 10].
In India, the river Ganga is the well-known river system which supports a large
variety of aquatic organisms. The river Ganga is the combination of two streams
mainly Bhagirathi and Alaknanda originate from the glacier of the Uttarakhand state.
Uttarakhand is the developing state, and most of the cities such as Tehri Garhwal,
Chamoli, Devprayag, Rishikesh, Haridwar are depend on the river Ganga for their
daily needs. In these cities, the river Ganga is the main source for the construction
materials such as stone, sand and gravel. The enhanced extraction of these materials
directly or indirectly disturbed the ecology of river Ganga. However, for keeping this
view the present study was conducted to assess the impact of sand-gravel mining on
the habitat and macro-benthic species of river Ganga.

2 Materials and Methods

2.1 Sampling Stations

Haridwar is situated at the bottom of the Shivalik Himalaya endowed with natural
resources. The Haridwar is the famous and holy place of India and also a developing
city of the Uttarakhand state. In Haridwar, the river Ganga is the main source which
provides the construction materials such as stone, sand and gravel. During the study
period, four sampling zones were selected in a 30 km stretch of the river Ganga based
on mining activities such as zone A which is taken as reference zone i.e. no mining
466 N. Kamboj and V. Kamboj

activity done here while zone B, C & D are the mining intruded zones (Table 1 and
Fig. 1). The zone B is situated at approximate 8 km from the zone A in the left bank
while zone C and zone D is situated at approximately 12 km and 10 km respectively
far from the zone A in the right bank of the river Ganga.

Table 1 Geo-coordinates of sampling zones of Ganga river

Sampling Landmark of Types of Geo-coordinates Average Bank
zones sampling zone zone of sampling sites elevation (m) condition
Zone A Near Bairaagi Reference 29°55 08.50 N, 274 Good riparian
camp zone 78°09 45.30 E zone
Zone B Near Kangri Mining + 29°53 51.05 N, 270 Degraded
Village sewage 78°10 06.18 E riparian zone
effluent
Zone C Near Ajitpur Mining + 29°52 34.30 N, 266 Degraded
Village sewage 78°08 42.56 E riparian zone
effluent
Zone D Near Tanda Mining + 29°46 48.98 N, 243 Degraded
Village sewage 78°10 58.73 E riparian zone
effluent

effluent zone

Zone A

Zone C

Uttarakhand
Zone B

Haridwar Zone D

Legend

Ganga River
Sampling Zone

Fig. 1 Study map of the sampling zones of Ganga river at Haridwar, Uttarakhand (India)
Sand-Gravel Mining as a Threat to Macro-benthic Assemblage … 467

2.2 Collection of Habitat Parameters and Benthic Species

The samples of habitat parameters and macro-benthic species were collected in

monthly intervals (n = 24, 2 × 12) from April 2017 to March 2018 at the selected
zones. The analysis of habitat parameters mainly substratum types using visualization
method developed by [11]. However, water temperature, pH, total dissolved solids,
turbidity, and salinity was estimated by digital instruments while dissolved oxygen
and biochemical oxygen demand were performed using the analytical techniques
provided by standard method [12]. Besides, macro-benthic species were collected
using the kick method [13] and preserved in 5% formalin. The identification was
done using standard methods developed by [14–16].

2.3 Statistical Analysis

The results of habitat parameters were statistically analyzed with the mean, standard
deviation, and one-way ANOVA to reduce the statistical error. After that, canonical
correspondence analysis (CCA) was performed to assess the relationship between
the habitat parameters and macro-benthic species [17].

3 Results

3.1 Habitat Parameters

The annual variation of the habitat parameters at selected sampling zones is depicted
in Table 2. The composition of the substratum of river Ganga is varied from sampling
zone A to zone D. The higher percentage of the substrate was found at zone A in
comparison to zone B, C & D respectively. At zone B, C, & D, the percentage of
substrata such as pebbles, gravel and sand decrease due to the extraction process of
these materials. Besides this, water temperature increased from zone A i.e.19.67 ±
5.34 °C to zone D i.e. 23.37 ± 4.51 °C, pH varied from 7.40 ± 0.57 at zone A to 7.67
± 0.51 at zone C; TDS ranged from 103.61 ± 22.83 mg L−1 at zone A to 145.41 ±
31.61 mg L−1 at zone C, TU ranged from 141.27 ± 169.73 NTU at zone A to 206.86
± 212.61 NTU at zone D, DO change from 8.01 ± 0.54 mg L−1 at zone A to 7.06 ±
0.38 mg L−1 at zone D; BOD varied from 1.58 ± 0.54 mg L−1 at zone A to 2.89 ±
0.73 mg L−1 at zone D and salinity varied from 7.83 ± 1.74 ppm at zone A to 15.24
± 4.95 ppm at zone B at significant level p < 0.05,0.01 and 0.001 respectively.
468

Table 2 Annual variation of habitat parameters at selected zones from April 2017 to March 2018 (mean ± S.D.; one-way ANOVA)
Parameters Sampling zones
Zone A Zone B Zone C Zone D
Composition of substratum Boulder 54.33 ± 2.67 41.67 ± 3.98 42.92 ± 2.11 53.08 ± 2.31
Cobbles 12.83 ± 3.93 28.33 ± 1.07 31.67 ± 1.44 23.5 ± 1.24
Pebbles 20.17 ± 3.43 15.00 ± 1.65 13.18 ± 1.64 9.33 ± 2.71
Gravel 5.92 ± 1.38 7.25 ± 2.30 6.58 ± 1.62 9.33 ± 1.56
Sand 6.75 ± 1.66 7.75 ± 1.48 5.67 ± 1.37 4.75 ± 1.76
Water temperature (WT; °C) 19.67 ± 5.34 21.46 ± 4.60 ns 22.42 ± 4.41 ns 23.37 ± 4.51 ns
pH 7.40 ± 0.57 7.51 ± 0.50 ns 7.67 ± 0.51 ns 7.40 ± 0.55 ns
Total dissolved solids (TDS; mg L−1 ) 103.61 ± 22.83 136.15 ± 25.29** 145.41 ± 31.61** 140.74 ± 28.33**
Turbidity (TU; NTU) 141.27 ± 169.73 199.41 ± 227.46 ns 201.38 ± 211.27 ns 206.86 ± 212.61 ns
Dissolved oxygen (DO; mg L−1 ) 8.01 ± 0.54 7.19 ± 0.38*** 7.07 ± 0.38*** 7.06 ± 0.38***
Biochemical oxygen demand (BOD; mg L−1 ) 1.58 ± 0.54 2.59 ± 0.74** 2.86 ± 0.76*** 2.89 ± 0.73***
Salinity (S; ppm) 7.83 ± 1.74 15.24 ± 4.95*** 11.02 ± 2.38** 10.67 ± 2.12**
ns Non significant
*, **, ***Significant at F > p (0.05, 0.01, 0.001)
N. Kamboj and V. Kamboj
Sand-Gravel Mining as a Threat to Macro-benthic Assemblage … 469

3.2 Taxonomic Collection of Macro-benthic Species

The taxonomic list of macro-benthic species collected at selected sampling zones is

presented in Table 3. During the study, a total of twenty-nine macro-benthic species
belonging to ten groups mainly Oligochaeta (2 species), Turbellaria (2 species),
Hirudinea (3 Species), Odonata (2 species), Ephemeroptera (4 species), Trichoptera
(3 species), Diptera (6 species), Gastropoda (3 species), Decapoda (1 species) and
Coleoptera (3 species) respectively were found. In selected sampling zones, the
Diptera group was dominant with a higher number of 1020 ind./m2 . However, the
other groups such as Coleoptera contain 422 ind./m2 , Gastropoda contains 358
ind./m2 and Ephemeroptera contains 320 ind./m2 are depicted in Table 3. Besides
this, all the ten groups of macro-benthic species were found a maximum number of
species at zone A followed by zones B, C & D (Fig. 2a). However, Forcipomyia
sp. contains the higher number 214 ind./m2 followed by Glyptotendipes sp.194
ind./m2 , Chironomus sp. 175 ind./m2 , Polypedilum sp. 158 ind./m2 , Hyphoporus
sp.154 ind./m2 and Chaoborus sp. 147 ind./m2 at selected sampling zones depicted
in Fig. 2b and c.

3.3 Relation Between Habitat Parameters and Macro-benthic

Species

Canonical correspondence analysis (CCA) was performed to assess the relationship

of macro-benthic species and habitat parameters such as cobbles, pebbles, gravel,
sand, water temperature, pH and dissolved oxygen were selected. The result obtained
from the CCA axis 1 and axis 2 are depicted in Table 4 and Fig. 3. The axis 1 shows the
69.270% with eigenvalue 0.006 and axis 2 showed 21.03% with eigenvalue 0.002
relation of habitat parameters with macro-benthic species. In CCA analysis, the
vector length of the parameters indicates the importance of the particular parameters.
The vector length showed significant relation such as dissolved oxygen with zone A,
sand and pebbles with zone A and zone B, water temperature and gravel with zone
D, while pH and cobbles showed a significant relation with zone C depicted in Fig. 3.
Macro-benthic species such as Tubifex sp., Dugesia sp., Enallagma sp., Ephemera
sp., showed a positive relationship with gravel while Chaoborus sp., Polypedilum
sp., Promenetus sp., showed a positive relation with sand and pebbles. Besides,
Limnodrilus sp., Forcipomyia sp.,Glyptotendipes sp., Chironomus sp., Hyphoporus
sp., showed a positive relation with pH while Rhyacophila sp. showed a significant
relationship with water temperature. However, Bidessus sp., and Glossiphonia sp.,
showed substantial relation with cobbles.
470 N. Kamboj and V. Kamboj

Table 3 Spatial variation in macro-benthic species from April 2017 to March 2018
Groups Species Number of %age Zone A Zone B Zone C Zone D
species
Oligochaeta Tubifex sp. 111 3.35 40 29 24 18
Limnodrilus sp. 125 3.77 45 34 29 17
Total 236 7.12 85 63 53 35
Turbellaria Planaria sp. 71 2.14 27 18 14 12
Dugesia sp. 86 2.59 30 20 18 18
Total 157 4.74 57 38 32 30
Hirudinea Glossiphonia 89 2.68 30 25 20 14
sp.
Barbronia sp. 55 1.66 20 13 11 11
Hemiclepsis sp. 121 3.65 44 32 24 21
Total 265 7.99 94 70 55 46
Odonata Libellula sp. 125 3.77 43 33 29 20
Enallagma sp. 81 2.44 28 19 17 17
Total 206 6.21 71 52 46 37
Ephemeroptera Ephemera sp. 65 1.96 22 15 14 14
Baetis sp. 95 2.87 34 26 19 16
Heptagenia sp. 120 3.62 41 32 28 19
Caenis sp. 40 1.21 16 9 9 6
Total 320 9.65 113 82 70 55
Trichoptera Hydroptila sp. 42 1.27 17 10 9 6
Triaenodes sp. 90 2.71 33 27 20 10
Rhyacophila 123 3.71 43 31 28 21
sp.
Total 255 7.69 93 68 57 37
Diptera Chironomus sp. 175 5.28 62 48 41 24
Chaoborus sp. 147 4.43 57 41 32 17
Procladius sp. 132 3.98 55 34 26 17
Polypedilum 158 4.77 62 47 32 17
sp.
Glyptotendipes 194 5.85 69 55 44 26
sp.
Forcipomyia 214 6.46 76 62 49 27
sp.
Total 1020 30.77 381 287 224 128
Gastropoda Gyraulus sp. 141 4.25 51 43 26 21
Promenetus sp. 132 3.98 50 37 28 17
Lymnaea sp. 85 2.56 32 20 17 16
(continued)
Sand-Gravel Mining as a Threat to Macro-benthic Assemblage … 471

Table 3 (continued)
Groups Species Number of %age Zone A Zone B Zone C Zone D
species
Total 358 10.80 133 100 71 54
Decapoda Potaman sp. 76 2.29 31 23 12 10
Total 76 2.29 31 23 12 10
Coleoptera Hyphoporus sp. 154 4.65 53 44 36 21
Bidessus sp. 142 4.28 50 39 32 21
Helochares sp. 126 3.80 44 33 26 23
Total 422 12.73 147 116 94 65
Grand total 3315 100.00 1205 899 714 497

Oligochaeta Zone A Tubifex sp. Zone A

Zone B Zone B
Coleoptera 96 Turbellaria 50
Zone C Zone C
Enallagma sp.
5
56 Zone D 0
40 50 Zone D
8
800 Limnodrilus sp.
4
144 50 4
400
48
48
64
64 3
300
40 3
300
12
1
1200 40
40
Decapoda 48
48 96 Hirudinea 0
30 2
200 2
200
96 3
322 84
84
40 72
72 0
20
2
32 60
60 1
100 1
100 40 50
4
24 72 32
3224
24 48 Libellula sp. 30 Planaria sp.
48 50 0
10 1
100 2
200
16 30
30 0
40 000
8448
8 484
40 30
30
40
4 80
008 048 50 0
20 0
10 0 0
000 10
10
60 32
32 64 60
80 4 70 10 10
10 20
20
0
100 1600 80 10 10
10
Gastropoda 120 20
20 30
140 0
240 48
48 80
80 Odonata 40
30
30 20
20 20
20
96
6 40 50
320 64
64
50 30 30
3
112
1 Hemiclepsis sp. Dugesia sp.
400
0
80
8 0 40 40
480
Diptera 96 Ephemeroptera 50 50

Trichoptera Barbronia sp. Glossiphonia sp.

(a) (b)

Ephemera sp. Zone A Chironomus sp. Zone A

Zone B Zone B
Helochares sp.
Zone C Chaoborus sp. Zone C
20.4
4
Zone D 60
60 Zone D
60
Rhyacophila sp. 13 6
3.6
13.6 48
40 Bidessus sp. 45
45 Procladius sp.
Baetis sp. 45
45
48 30 60
6.8
8 36
36
36
3 6 20
2 8
48 30
30 30
30 45
45
10 24
24
2
24 0.0
0 36
36 30
30
Hyphoporus sp. 15 15
15 15
12 0 24
4 15
15
12
12
30 45
6
45 60 Polypedilum sp.
-6.8
-6
6-10
0 -11..8
80 02
12
0 000 15 30
15
0 48
8 36
6 24 0 0
12 24 12
10--6.8
--10 6.8
8 244 2 00 188
10
1 0
0 -6.8
.8 36
48 0 00 18
0.0
0.0 18 6
36
20
2 0 9.4
9 0 54
54
Triaenodes sp. 40 30 0.0
0 .0 Heptagenia sp. 18.8
1 8 12 12
12 7
72
0.0 28.2
2 8 12 36
36
6.8
6 8
.8 Potaman sp. 37.6 Glyptotendipes sp.
68
6.8 16 24
24 24
24 54
54
13.6
13 72
72
24
13.6 36
36 36
36
20.4 32
2
20.4 Lymnaea sp. 48
48 48
48 Forcipomyia sp.
Hydroptila sp. Caenis sp. Promenetus sp. Gyraulus sp.
(c)

Fig. 2 a I.e. composition of macro-benthic groups; b, c I.e. composition of macro-benthic species

4 Discussion

During the study period, the outcome result of habitat parameters showed a significant
change from zone A to zone D. It has been noticed that change in habitat parameters
such as water quality and substratum structure of the river Ganga has deteriorated.
472 N. Kamboj and V. Kamboj

Table 4 CCA biplot shows the relationship between habitat parameters and macro-benthic species
at selected zones
Codes Parameters/species Axis 1 Axis 2
Zone A −0.025 −0.044
Zone B −0.062 0.005
Zone C −0.007 0.073
Zone D 0.182 −0.006
Cobbles Cobbles −0.054 0.895
Pebbles Pebbles −0.743 −0.473
Gravel Gravel 0.857 −0.014
Sand Sand −0.875 −0.247
WT Water temperature 0.699 0.564
pH pH −0.409 0.942
DO Dissolved oxygen −0.373 −0.723
MB1 Tubifex sp. 0.468 0.032
MB2 Limnodrilus sp. −0.423 0.788
MB3 Planaria sp. 0.696 −1.230
MB4 Dugesia sp. 2.188 −0.229
MB5 Glossiphonia sp. 0.205 0.987
MB6 Barbronia sp. 1.834 −0.895
MB7 Hemiclepsis sp. 0.780 −0.779
MB8 Libellula sp. 0.419 1.050
MB9 Enallagma sp. 2.195 −0.129
MB10 Ephemera sp. 2.415 0.225
MB11 Baetis sp. 0.556 −0.533
MB12 Heptagenia sp. 0.350 1.171
MB13 Caenis sp. 0.318 −0.615
MB14 Hydroptila sp. −0.027 −1.081
MB15 Triaenodes sp. −1.445 0.423
MB16 Rhyacophila sp. 0.838 0.673
MB17 Chironomus sp. −0.394 1.014
MB18 Chaoborus sp. −1.174 −0.328
MB19 Procladius sp. −0.657 −1.930
MB20 Polypedilum sp. −1.594 −0.947
MB21 Glyptotendipes sp. −0.574 0.727
MB22 Forcipomyia sp. −0.867 0.872
MB23 Gyraulus sp. −0.323 −1.070
MB24 Promenetus sp. −0.763 −0.381
MB25 Lymnaea sp. 1.453 −1.155
MB26 Potaman sp. −0.946 −3.135
(continued)
Sand-Gravel Mining as a Threat to Macro-benthic Assemblage … 473

Table 4 (continued)
Codes Parameters/species Axis 1 Axis 2
MB27 Hyphoporus sp. −0.494 1.268
MB28 Bidessus sp. −0.064 0.676
MB29 Helochares sp. 1.112 −0.168
Eigenvalue 0.006 0.002
% 69.270 21.030
p 0.591 1.000

Fig. 3 CCA biplot shows the relationship between habitat parameters and macro-benthic species
at selected zones

The reason behind for decline the water quality and substratum structure of river
Ganga from sampling zone B to zone D is the extraction of the sand and gravel
from the instream part of the river. The extraction of these materials directly or
indirectly affects the substratum structure and increase the turbidity level. Although,
it was observed that the changing in water quality parameters such as TDS, DO,
BOD and salinity at zones B, C and D may be due to the adding of sewage water in
that zones. Besides, The DO is the most vital parameters for surviving the aquatic
organisms. If the oxygen level in water was decline than it directly showed some
of the anthropogenic activities have happened. However, some previous studies also
showed that due to anthropogenic activities such as river bed mining [7, 8], discharge
of sewage water [18] and other activities such as tourism [19] was deteriorated the
DO level and enhancing the turbidity, TDS and BOD level.
During the study period at selected zones, the macro-benthic species group was
recorded in the order such as Diptera > Coleoptera > Gastropoda > Ephemeroptera
> Hirudinea > Trichoptera > Oligochaeta > Odonata > Turbellaria > Decapoda,
respectively. Some previous studies conducted by [3–5, 19] also found that Diptera
474 N. Kamboj and V. Kamboj

group show a higher number of species in different aquatic systems. The other groups
mainly Coleoptera, Gastropoda, Ephemeroptera showed a slight change in abun-
dance of species in selected zones. However, species like Tubifex sp., Limnodrilus
sp., Hydroptila sp. and Triaenodes sp. were a good indicator of clean and polluted
ecosystem respectively. The variation in diversity and abundance of macro-benthic
species showed the change in environmental and habitat condition at the selected
zones. The diversity of macro-benthic species is increase with an increase in the
substrate structure and favourable environmental condition [5]. Besides, they found
less diversity of macrobenthic species in downstream as a comparison to upstream of
Ken and Paisuni rivers because of the devoid condition of substrate structure in the
downstream part. However, CCA analysis showed the relation of habitat parameters
with macro-benthic species. The substrate structure and water quality parameters play
an important role in the distribution of the benthic organisms. The substratum struc-
ture provides the habitat or niche, while parameters like water temperature, velocity,
and dissolved oxygen provide the favourable environmental condition for surviving
the aquatic biota. Some scientists also figured these parameters such as types and
size of substratum, pH, dissolved oxygen, conductivity, and total dissolved solids,
water temperature, velocity, channelization of the river in their study for distribution
of the benthic organisms [2, 5, 19].

5 Conclusion

The present study indicated the diversity of macro-benthic species decreased along
the mining impacted i.e. zones B, C, and D as a comparison to non-mining zone
i.e. zone A. The variation in the composition of the benthic fauna varied along the
selected zones indicated the impact of river bed mining and other anthropogenic
activities. The removal of sand and gravel directly affects the habitat parameters
such as substratum, channelization of river, and decline the water quality. Thus, the
results of the present study indicated the variation in the diversity and abundance of
macro-benthic diversity in mining intruded zones.

Acknowledgements Mr Vishal Kamboj highly grateful to the Department of Science and Tech-
nology, New Delhi (IN) for financial support through the INSPIRE Fellowship program (grant
number IF160805) and also thanks to the Department of Zoology and Environmental Science,
Gurukula Kangri Vishwavidyalaya, Haridwar for providing the lab facilities.

Conflict of Interest There is no conflict of interest during the study.

Sand-Gravel Mining as a Threat to Macro-benthic Assemblage … 475

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Organizational Safety Perception
Survey—A Tool to Identify and Correct
Organizational Contributors
for Industrial Accidents

N. N. Pisharody, Kanchan Deoli Bahukhandi, Prashant S. Rawat,

and R. K. Elangovan

Abstract Safety perception survey is a tool to understand organizational culture on

accident prevention and control. It facilitates to extract weak safety culture attributes
within the organization, which contribute to accidents. Identifying and addressing the
weak attributes of safety culture will help organization to improve accident prevention
and control culture. Effective implementation of corrective measures is expected to
prevent accidents and support organization in its tread towards Zero Harm. This
paper gives details of an organizational safety perception survey conducted in a
Public Sector Power Company in India and corrective measures to address weak
attributes.

Keywords Safety perception survey · Industrial accidents · Organizational safety

culture

1 Introduction

Organizational safety culture is that assembly of characteristics and attitudes in orga-

nizations and individuals; which establishes that, as an overriding priority, plant
safety issues receive the attention warranted by their significance [1]. Safety percep-
tion survey is a tool to understand safety culture prevailing in an organization. Correc-
tive action on the weak attributes of safety culture will facilitate organizational safety
culture to excel further. In an organization with strong safety culture and positive
employees’ perception on work place safety; accident preventive culture will also
be strong. Such organizations are expected to have diminishing trend of accidents.

N. N. Pisharody (B)
Nuclear Power Corporation of India Limited (NPCIL), Mumbai, India
K. D. Bahukhandi · P. S. Rawat
University of Petroleum and Energy Studies (UPES), Dehradun, India
R. K. Elangovan
Directorate General of Factory Advice and Labor Institute (DGFASLI), Mumbai, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 477
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
478 N. N. Pisharody et al.

This paper gives details of an organizational safety perception survey conducted in

a Public Sector Power Company in India.

2 Taxonomy

The paper comprises of 9 sections. Section 1 is Introduction. Section 2 gives

Taxonomy. Section 3 gives a brief account of Literature Survey carried out on
Organizational Safety Perception Survey. Section 4 is on Safety Perception Survey
Methodology. Section 5 is Discussion and Recommendations. Section 6 is Conclu-
sion. Section 7 is on Future Research Directions. The conflicts of interest statement
and acknowledgements are provided at the end of the section.

3 Literature Survey

3.1 Human Factors

Human mind is effective in detecting and eliminating potential problems and hence
human factors have important role in establishing safety culture at grass root level in
the organization. Human factors are environmental, organizational and job factors,
which influence human behavior at the work place and affect health and safety. All
jobs shall be performed correctly, with alertness, due thought, full knowledge, sound
judgment and proper sense of accountability [2].
Overall objective of human factors is to design systems, jobs and organizations
to match with human capabilities and limitations. Nature of issues related to human
factors varies according to the type of systems. For example, issues of human factors
in manual systems and automated systems will be different. Human factors should be
integrated in the design and development process by considering following aspects
[3]:
1. The most effective way to control hazards and risks associated with human
factors is to address those issues at the design stage and continuation of it
throughout the life cycle.
2. System design should support operators.
3. Addressing issues of human factors as afterthought will not be effective enough.
4. Human factors activities must proceed in parallel with technical development.
Five essential activities to be considered in the overall design for human factors
are:
1. Plan human centered process: Ensure that specific human factors activities are
built in and sufficiently resourced.
Organizational Safety Perception Survey … 479

2. Understand and specify context of use: Identify the users and what they will be
doing. Ensure that user characteristics and tasks are considered as the basis for
design.
3. Specify user and organizational requirements: Specify characteristics of the
system which affect users and organization.
4. Produce design solutions: Apply human factors expertise to generate design
options to meet user requirements. Design iteratively. Use prototypes to clarify
requirements.
5. Evaluate designs against user requirements: Test out requirements by involving
target users and human factors specialists.
Majority of the accidents occur due to actions initiated by people and could have
been prevented by correct actions at right time. About 80% of the accidents attributed
to human factors are due to actions or omissions of people [2]. Even though modern
controls, automated safety systems and structured documentation systems can facili-
tate safer operational environments; human intervention is crucial in accident preven-
tion and control; hence responsibility of operators for ensuring safety shall not be
ignored [4, 5]. Higher the management commitment to safety, lower the rates of acci-
dent. Failures in decision making are one of the major causes of accidents. Errors in
decision making may remain dormant for many years and can cause accidents later on.
Therefore, benchmarking of safety management strategy and safety climate among
the organizations at regular intervals will help in ensuring safer work environment
and improving safety climate [6–10].

3.2 Organizational Safety Culture

Organizational safety culture comprises of basic values, norms, perceptions and

practices within the organization and among the individuals that, safety related issues
are received the importance as warranted [1, 11, 12]. It is a culture that places a high
level of importance on safety beliefs, values and attitudes; and those are shared by
the majority of people within the organization. It can also be characterized as ‘the
way we do things around here’. This implies that safety culture in an organization is
related to characteristics and attitudes of individuals as well as organization. It is not
necessary that an organization with well documented procedures and regulations will
have good safety culture; rather it depends on how well it is practiced even without
any supervision.
Safety culture development is a management driven and worker supported activity.
It consists of two components i.e., a frame work by means of organizational policy by
the management and response of individuals to work within the frame work. Success
of the safety culture frame work depends on the commitment by the management
and compliance by the individuals. A positive safety culture will lead to improved
workplace safety and organizational safety performance. It is permanent in nature and
management commitment and workers’ support can bring continual improvement in
480 N. N. Pisharody et al.

it. Causal factors for accidents and injuries are largely systemic and are reflections
of organizational safety culture. In organizations where management commitment is
strong, high priority is given to safety and hence number accidents would be less.
Key element of strong positive safety culture is an all-pervading safety thinking,
which allows questioning attitude, prevention of complacency, commitment to excel-
lence and fostering of both personal accountability and organizational self-regulation
in safety related issues. Key characteristics of organizations with positive safety
culture are [1, 6-10]:
1. Active managerial involvement and visible commitment, by giving over-
whelming priority to safety and aligning all individuals and organization towards
the common goal of safety.
2. Leadership and motivation to improve safety through setting of objectives and
systems of rewards and reprimands; and through self-generated attitudes on the
individuals.
3. Delegation of authority and responsibility, through effective personal commu-
nication, formal assignment and description of duties; and ensuring that those
are understood by the individuals.
4. Supervision of jobs and development of supervisors to serve as role models,
including audit and review practices, with readiness to respond to individuals’
questioning attitudes.
5. Knowledge and competence to enhance awareness on the importance of safety;
through trainings, instructions and by self-education to bring consistency in
safety practices.
Five attitudes which may adversely affect organizational safety culture are:
1. Feeling among the employees that top management does not care about the
safety issues.
2. Emphasizing on just getting the jobs done.
3. Safety issues are being considered second to financial issues and production.
4. Job descriptions do not include safety statements as part of important job
activities.
5. Lack of on-going programs, which are indicators of commitment to health and
safety.
Many serious injuries occur due to less than adequate conservative decision
making and shortfalls in organizational safety culture. Latent weaknesses such as
unsafe design, inadequate supervision and failure to identify and correct unsafe
conditions, inadequate training and improper tools, in combination with weak orga-
nizational safety culture may cause accidents and injuries. Culture developed by top
management has influence on organizational safety culture. As unsafe conditions in
workplaces are easier to manage than human minds, top management shall become a
driver for fostering strong positive safety culture within organization for addressing
human factors. Since organizational safety culture is an assembly of both individual
and organizational characteristics, the frame work for positive safety culture develop-
ment should consist of human factors and organizational factors. The highest level of
Organizational Safety Perception Survey … 481

safety culture is achieved if individuals and organization are aligned and dedicated
towards a common goal of establishing strong positive safety culture [1]. Safety
culture in an organization can be assessed by conducting Safety Perception Survey.

3.3 Safety Perception

If safety performance is not measured, it is not being managed and hence the orga-
nization will miss the opportunity for future improvement. Safety perception survey
is a tool to measure safety performance [13]. Accident statistics and safety audits
are two commonly used methods for assessment of safety performance in an organi-
zation. However, accident statistics give information to take corrective measures in
reactive manner. Though safety audit is a proactive approach, it is being conducted
with a few performance indicators to verify adequacy of existing safety management
systems and hence its scope is limited. In reality, safety performance of an organi-
zation depends on many more parameters such as management support for safety,
employees’ perception on safety, effectiveness of corrective and preventive action
program, consideration given to human factors etc. Organizations often used to get
puzzled; when accidents occur and recur, despite all efforts. Therefore, in addition to
conventional methods for assessment of safety performance through accident statis-
tics and safety audits, it is essential to go extra mile by obtaining direct feedback
from employees, who are victims of the accidents. Safety perception surveys are
conducted to get this information. Safety perception surveys support organization to
tap employees’ collective knowledge on accident prevention and control [14]. Safety
perception surveys facilitate identification of factors that influence safety culture and
safe behavior. Once these factors are known, actions to achieve excellence in safety
can be decided. Following are the objectives of the safety perception surveys:
1. To assess human factors and safety culture in a quantitative manner.
2. To assess employees’ perception on existing safety performance assessment
methods.
3. To identify gap between safety perception of employees and management.
4. To identify employees’ safety perception on effectiveness of organizational
policy, documents and management comments.

4 Safety Perception Survey Methodology

Safety perception survey process involve following steps as depicted in Fig. 1:

1. Development of Survey Questionnaire
2. Selection of Sample Size
3. Conduct of Test Survey
4. Communication of Intentions of Survey
482 N. N. Pisharody et al.

Fig. 1 Safety perception survey process

5. Administration of Survey Questionnaire

6. Analysis of Safety Perception Survey Data
7. Validation of Safety Perception Survey Results

4.1 Development of Survey Questionnaire

Survey questionnaire is developed in such a way that those are understood by all
respondents and are clear to them. Each question consisted of multiple choices based
on Likert scale with expected response from the most positive to the least positive
as given below:
1. Strongly Agree
2. Agree
3. Do Not Know
4. Disagree
5. Strongly Disagree
The questions were framed to select any one of the multiple choices. An answer
of ‘Strongly Agree’ and ‘Agree’ conveys perception of safety culture with higher and
lower levels of agreement. Similarly, an answer of ‘Strongly Disagree’ and ‘Disagree’
Organizational Safety Perception Survey … 483

conveys a higher and lower degree of disagreement. Any attribute with agreement
less than 90% of the total samples needs corrective measures for improvement.

4.2 Selection of Sample Size

It is desirable to include all employees in the survey, so that everyone will get opportu-
nity to express his/her feelings. This will give each employee a sense of participation.
In addition, more the number of participants, higher the reliability. However, in a big
organization, it is impractical to involve all employees in the survey and it will be
time consuming. Analysis of sample will also be difficult due to large quantity of
data. In such cases it is advantageous to go for sampling survey. Number of samples
is decided statistically based on the required confidence level.
There are about 11,000 employees in the subject Public Sector Power Company.
Sample size is determined by following two steps [15]:
1. Calculation of Sample Size for Infinite Population.
2. Adjustment of sample size to the required population.

Calculation of Sample Size for the Infinite Population

Calculation of sample size for infinite population is calculated by the following
formula:

S = (Z-Score)2 ∗ p ∗ (1 − p)/(m)2

where
S—Sample size for infinite population,
Z—Z-Score,
p—Population proportion assumed to be 50% or 0.50,
m—Margin of Error.
Z-Score is determined based on confidence level and confidence level is the prob-
ability of a parameter falls within the specified range of values. Table 1 gives Confi-
dence Levels and Z scores. If we consider a Confidence Level of 95%, the Z score
is 1.960.
Margin Error is a small amount allowed for miscalculation or change of
circumstances. Generally, the Margin of Error is considered as 5% or 0.05.

Table 1 Confidence levels

Confidence levels (%) Z scores
and Z scores
90 1.645
95 1.960
99 2.576
484 N. N. Pisharody et al.

With the above values, sample size for infinite population can be calculated as
given below:

S = (Z-Score)2 ∗ p ∗ (1 − p)/(m)2

Z—1.960,
p—0.50,
m—0.05.

S = (1.960)2 ∗ 0.5 ∗ (1 − 0.5)/(0.05)2 = 384.16

Sample size for infinite population is 384.16.

Adjustment of Sample Size to the Required Population
Adjustment of sample size for required population is determined by using the formula
given below:

Adjusted Sample Size = S/[1 + ((S − 1)/Population)]

S = 384.16

Population = Number of employees in the Public Sector Power Company =

11,000.

Adjusted Sample Size = 384.16/[1 + ((384.16 − 1)/11000)]

384.16/(1 + 0.03483)
371.23
371

Required sample size for 11,000 population is 371.

4.3 Conduct of Test Survey

Test survey was carried out in a group of 10 persons to ensure that the questions
are clearly understood and interpreted correctly by the respondents. Feedback on
the test survey was utilized and necessary modifications were incorporated in the
questionnaire before distribution.
Organizational Safety Perception Survey … 485

4.4 Communication of Intentions of Survey

Before sending the questionnaire to the employees, its purpose was communicated
to the prospective respondents. In order to obtain an unbiased opinion without any
fear of reprisal, the information pertaining to accident prevention and control were
sought in anonymous manner.

4.5 Administration of Survey Questionnaire

Administration of survey was carried out by sending questionnaire to the employees

by emails. Though statistically estimated required number of samples were 371, total
410 filled questionnaires were received from the employees.

4.6 Analysis of Survey Data

All 410 filled questionnaires were analyzed with respect to number of positive agree-
ments, neutral agreements and negative agreements. Employee’s perceptions with
‘Strongly Agree’ and ‘Agree’ opinions are treated as positive agreements and those
with ‘Strongly Disagree’ and ‘Disagree’ opinions are treated as negative agreements.
Employee’s perceptions with ‘Neither Agree Nor Disagree’ opinions are considered
as neutral agreements.
Table 2 gives positive, negative and neutral agreements by the employees in each
attribute as per the Likert Scale. Corrective actions need to be taken on questions in
which positive response is less than 90%.
Table 2 indicates that following are the attributes with less than 90% positive
agreements in employee perception:
1. Hazard Identification & Corrective Action Program—Safety Related Deficien-
cies are Corrected Promptly
2. Honesty—Employees work safely even when they know that they are not being
watched
3. Importance to Safety—Employees consider that sometimes it is necessary to
ignore safety issues to perform jobs
4. Importance to Safety—Supervisors insist and enforce safe work practices while
performing jobs
5. Strive for Excellence—Management looks for engineering solutions to address
safety issues.
486 N. N. Pisharody et al.

Table 2 Positive, negative and neutral agreements by the employees

S. No. Description of Employee perception Total
question Strongly Agree Neither Disagree Strongly
agree agree disagree
nor
disagree
Employee safety involvement
1 Employees 326 78 1 5 0 410
can raise 98.54% 0.24% 1.22% 100%
safety issues
and hazards
without fear
Safe work environment
2 Equipment 230 174 4 1 1 410
and tools 98.54% 0.98% 0.49% 100%
available at
the site are
safe for use
Organizational safety leadership
3 Managers are 218 157 29 6 0 410
committed to 91.46% 7.07% 1.46% 100%
take prompt
corrective
actions on
safety issues
Safety training and coaching
4 JHAs and 204 165 32 7 2 410
Safe Work 90.00% 7.80% 2.20% 100%
Procedures are
available for
all hazardous
jobs
5 Employees are 233 151 15 10 1 410
trained and 93.66% 3.66% 2.68% 100%
coached on
safe work
procedures for
the jobs
6 Compliance to 195 181 20 12 2 410
Safe Work 91.71% 4.88% 3.41% 100%
Procedures
and JHAs is
ensured while
performing
jobs
(continued)
Organizational Safety Perception Survey … 487

Table 2 (continued)
S. No. Description of Employee perception Total
question Strongly Agree Neither Disagree Strongly
agree agree disagree
nor
disagree
Hazard identification and corrective action program
7 Safety related 208 157 19 24 2 410
deficiencies 89.02% 4.63% 6.34% 100%
are corrected
promptly
8 Whenever any 185 188 20 15 2 410
job is planned, 90.98% 4.88% 4.15% 100%
hazards are
identified and
corrective
measures are
taken
Accident investigation and corrective action
9 All accidents 241 154 10 5 0 410
are reported 96.34% 2.44% 1.22% 100%
and
investigated
10 Corrective 241 150 16 3 0 410
actions are 95.37% 3.90% 0.73% 100%
taken on all
accidents to
prevent
recurrence
Honesty
11 Employees 163 186 38 22 1 410
work safely 85.12% 9.27% 5.61% 100%
even when
they know
that they are
not being
watched
Importance to Safety
(continued)

4.6.1 Hazard Identification & Corrective Action Program—Safety

Related Deficiencies Are Corrected Promptly

Safety Related Deficiencies (SRDs) are identified by the Industrial Safety profes-
sionals during plant safety inspection, by the job performers while performing jobs
or by the independent agencies other than the job performers during job observation
488 N. N. Pisharody et al.

Table 2 (continued)
S. No. Description of Employee perception Total
question Strongly Agree Neither Disagree Strongly
agree agree disagree
nor
disagree
12 Employees 40 78 39 133 120 410
consider that 28.78% 9.51% 61.71% 100%
sometimes it
is necessary
to ignore
safety issues
to perform
jobs
13 Supervisors 140 199 41 22 8 410
insist and 82.68% 10.00% 7.32% 100%
enforce safe
work
practices
while
performing
jobs
Strive for excellence
14 Management 170 194 32 13 1 410
looks for 88.78% 7.80% 3.41% 100%
engineering
solutions to
address
safety issues
15 Required type 195 184 17 12 2 410
and quantity 92.44% 4.15% 3.41% 100%
of personal
protective
equipment are
available to
perform jobs

programme. These deficiencies when interact with human being, could lead to acci-
dents. SRDs are reported and corrected through Safety Related Deficiency Manage-
ment System (SRDMS). However, if SRDs are not promptly corrected, deficiencies
will remain at the work place, which increase the potential for accidents. Figure 2
indicates that 89.02% of the employees believe that SRDs are addressed promptly,
which is marginally below the acceptance level of 90%. Therefore, SRDMS should
be further strengthened for prompt correction of SRDs by tracking and follow-up.
Organizational Safety Perception Survey … 489

Fig. 2 Hazard Identification & Corrective Action Program—safety related deficiencies are
corrected promptly

4.6.2 Honesty—Employees Work Safely Even When They Know That

They Are Not Being Watched

Safety Culture is a characteristic in an organization, where the employees perform

jobs in safe manner by following safe work procedure, in compliance with the recom-
mendations of Job Hazard Analysis; even without any supervision. Figure 3 indicates
that 85.12% of the employees believe that employees work safely even when they
know that they are not being watched, which is below the acceptance level of 90%.
Therefore, management should conduct more programs on safety culture to bring
awareness among the employees to ensure compliance to safe work procedures and
recommendations of Job Hazard Analysis. Since, this is a continual process, both line
managers, employees and safety professionals shall work in cohesion towards this.

Fig. 3 Honesty—employees work safely even when they know that they are not being watched
490 N. N. Pisharody et al.

Line managers and supervisors should reiterate necessity of compliance to safety

requirements during pre-job briefing, pre-employment personal talks and toolbox
talks; and during execution of jobs.

4.6.3 Importance to Safety—Employees Consider That Sometimes It is

Necessary to Ignore Safety Issues to Perform Jobs

Safety culture necessitates an overriding priority to safety related issues. In prin-

ciple, organizations follow ‘Safety First and Production Next’ policy. However, this
policy is not adhered in spirit in some organizations. In such organizations, produc-
tion related issues receive an overriding priority over safety related issues. This may
lead to non-adherence to safe work procedures, non-compliance to recommenda-
tions of Job Hazard Analysis, delay in addressing safety related deficiencies, non-
usage of requisite personal protective equipment, inadequate training and awareness
program on safety requirements to employees, non-compliance to recommendations
of safety committee meetings and other statutory requirements. In such organiza-
tions, investigation of accidents may not be rigorous enough to identify root causes,
which may lead to recurrence of accidents. Figure 4 indicates that 28.78% of the
employees consider that sometimes it is necessary to ignore safety issues to perform
jobs. Being a negative attribute, its acceptance value is less than 10%. This indicates
that the company should exert more efforts in enhancing safety culture and emphasize
strict adherence to safety requirements during the training sessions, safety committee
meetings and management meetings. The company may institute reward scheme on
compliance to safety requirements during job execution to motivate employees to
perform jobs in safe manner, without ignoring safety requirements.

Fig. 4 Importance to safety—employees consider that sometimes it is necessary to ignore safety

issues to perform jobs
Organizational Safety Perception Survey … 491

Fig. 5 Importance to safety—supervisors insist and enforce safe work practices while performing
jobs

4.6.4 Importance to Safety—Supervisors Insist and Enforce Safe Work

Practices While Performing Jobs

Work supervisors play very important role in enforcement of safety requirements

during job execution. Supervisors shall insist compliance to safety requirements
during pre-job briefing, pre-employment personal talks, toolbox talks and training
programs. In addition, in case any employee violates safety requirements, supervisors
shall stop him/her from such violations and enforce safety requirements to perform
the job in safe manner. Figure 5 indicates that 82.68% of the employees believe that
supervisors insist and enforce safe work practices while performing jobs, which is
below the acceptance level of 90%. This indicates that supervisors shall give more
importance to safety during job execution and enforce safety requirements during
job execution. Management may organize training and awareness program on role of
supervisors in enforcement of safety requirements for supervisors and line managers.

4.6.5 Strive for Excellence—Management Looks for Engineering

Solutions to Address Safety Issues

Safety is a management driven and employee compiled function. Therefore, manage-

ment commitment is very important in establishing a strong safety culture in the
organization. Solutions to safety issues should be achieved by following hierarchy of
hazard control. Efforts of management should be for implementing safety measures
through engineering solutions. This can be achieved by ‘Safety through Design’,
which includes elimination, substitution and engineering control. Figure 6 indicates
that 88.78% of the employees believe that management looks for engineering solu-
tions to address safety issues, which is below the acceptance level of 90%. Therefore,
there is a scope in improvement in management approach to address safety issues by
‘Safety through Design’.
492 N. N. Pisharody et al.

Fig. 6 Strive for excellence—management looks for engineering solutions to address safety issues

4.7 Validation of Safety Perception Survey Results

Results safety perception survey was discussed among a focused group of employees.
Their observations on practices being observed at work locations were also
corroborating with the survey results.

5 Discussion and Recommendations

Safety perception survey indicates the weak attributes in which corrective actions are
to be taken to further improve safety culture and hence to develop a strong system for
accident prevention and control in the Public Sector Power Company. These weak-
nesses should be addressed by means of ‘Safety through Design’, ‘Administrative
Controls’ and ‘Personal Protective Equipment” as detailed below:
Safety through Design
• Safety Related Deficiencies should be addressed promptly by considering hier-
archy of hazard control at the design stage itself and throughout the life cycle
through elimination, substitution and engineering controls.

Administrative Controls
• Safety Related Deficiency Management System (SRDMS) should be further
strengthened by prompt correction of SRDs based on their safety significance.
Critical and significant SRDs which have potential for loss of life or disabling
injury should be addressed on priority, when compared with SRDs for safety
improvement.
Organizational Safety Perception Survey … 493

• Line managers and supervisors should reiterate necessity of compliance to

recommendation of job hazard analysis and safe work procedures during pre-
job briefing, pre-employment personal talks and toolbox talks; and during the
execution of jobs.
• Strict compliance to safety requirements should be emphasized during the training
sessions, safety committee meetings, management meetings.
• Company may institute reward scheme on compliance to safety requirements
during job execution to motivate employees to perform jobs in safe manner,
without ignoring safety requirements.
• Training and awareness program on safety culture and role of supervisors in
enforcement of safety requirements should be conducted for the supervisors and
line managers.

Personal Protective Equipment

• Training and awareness program on use of personal protective equipment should
be conducted to develop a safety culture among the employees for adherence to
safety requirements and use of personal protective equipment even in the absence
of supervision.

6 Conclusion

Safety perception survey is a tool to understand organizational culture on accident

prevention and control. It facilitates to extract weak safety culture attributes within
the organization, which contribute to the accidents. Identifying the weak attributes
will help the company to address the causes to improve accident prevention and
control culture within the organization. Effective implementation of these measures
is expected to prevent accidents and support organization in its tread towards Zero
Harm.

7 Future Research Directions

Safety perception depends on the organizational safety culture. Hence, most of the
solutions emerging out of safety perception survey will be based on management
intervention. In order to develop an effective accident prevention culture, safety
related issues should be addressed by ‘Safety through Design’. This gap needs to be
addressed through more efforts in this regard.

Acknowledgements The authors acknowledge the support of officials of the Public Sector Power
Company for extending technical and administrative supports for carrying out Safety Perception
Survey. The article has been written as a voluntary effort and has not of received any funding.
Opinions expressed are those of authors and not of their organizations.
494 N. N. Pisharody et al.

Conflicts of Interest None of the contributing authors have conflicts of interest to declare.

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Comparative Assessment of Performance
and Emission Characteristics of DI Diesel
Engine Fueled with Combined Blending
of Biodiesel, Butanol and Conventional
Diesel

Shashank Pal, S. M. Tauseef, J. K. Pandey, Amit Kumar Sharma,

Sunil Kumar Tiwari, Tapas Goswami, and Tijendra Kumar

Abstract Seeing today’s trend of petroleum product consumption and correspond-

ingly its harmful effects on environment have forced researchers to investigate alter-
native and eco-friendly fuels. Biodiesel is emerging as most promising fuel to replace
diesel in CI engines. However, the viscosity of biodiesel is generally higher than diesel
fuels which lead to poor combustion. Therefore, to address above problems, biodiesel
is blended with diesel fuel in different ratio. In addition, the presence of alcohols to
diesel–biodiesel blend upgraded the fuel properties such as cloud point (CP) and cold
filter plugging point (CFPP), while slightly decreased density, lower heating value,
kinematic viscosity, cetane number and flash point. Hence, this investigation deals
with emission reductions in CI engines by using different blends of biodiesel, butanol
and diesel fuel blends. To perform the experiments, Jatropha and pongamia biodiesel
fuels were mixed with conventional diesel fuel and butanaol in different combi-
nations—Jatropha (J), Pongamia (P), Butanol (But), Diesel (D): (J10But5D85),
(P100But5D85), (J15But5D80), (P15But5D85), and (J15P15But5D65). The exper-
iments were conducted with single cylinder 3.7 kW diesel engine at different loads.
For all combinations of blends, NOx , CO, CO2 , HC, Smoke and BSFC were recorded
and compared with diesel fuels at different loads. All the fuel variants worked well in
engine and no difficulty was found. Best results were found in combine blending of
Jatropha biodiesel and butanol in ratio of J15But5D80. With this blend the NOx , CO2
content was found minimum and fell down drastically, smoke content was lowest
with J15P15But5D65. However, BTE was observed to be slightly decreased with

S. Pal · S. M. Tauseef · J. K. Pandey · S. K. Tiwari

Department of Mechanichal, College of Engineering Studies, University of Petroleum and Energy
Studies, Dehradun, India
A. K. Sharma (B)
Department of Chemistry and Biofuel Research Laboratory, Centre for Alternative and Renewable
Energy Research, College of Engineering Studies, University of Petroleum and Energy Studies,
Dehradun, India
T. Goswami · T. Kumar
Department of Chemistry, University of Petroleum and Energy Studies, Dehradun, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 495
N. A. Siddiqui et al. (eds.), Advances in Environment Engineering and Management,
Springer Proceedings in Earth and Environmental Sciences,
[Link]
496 S. Pal et al.

all combination of biodiesel, butanol and diesel. Fuel consumption was observed
maximum with J15P15But5D65 fuel blends due to its lower calorific value.

Keywords Biodiesel · Jatropha · Pongamia · Butanol · DI diesel engine ·

Performance and emissions

1 Introduction

Increasing population and energy demands are continuing to deplete fossil fuel
resources. In addition, the combustion of fossil fuel results in to greenhouse gas emis-
sions and leads to global warming [1, 2]. Hence, there is a need to search alternative
and green resources of fuels. Various alternative fuels such as biodiesel, bioethanol,
biogas and bio-hydrogen are emerging as most promising renewable energy sources
[3]. India is the country where the consumption of diesel is higher than gasoline [1,
4]. Biodiesel is an ecofriendly and alternative energy sources which can be used in
diesel engine without any modification [2, 3]. Biodiesel is a mixture of mono alkyl
esters and can be produced from the different edible and non-edible vegetable oils
such as sunflower, soybean, Jatropha, Pongamia, polanga, microalgae and animal
fat through transesterification process [1, 2, 4–6]. Biodiesel is an oxygenated fuel
and leads to complete combustion due to presence of oxygen resulting into emission
reductions [2, 7, 8].
India’s transportation fuel requirements are unique in the world. India consumes
almost five times more diesel fuel than gasoline, whereas, almost all other countries in
the world use more gasoline than diesel fuel is the best alternative. As per the report
of ministry of petroleum and natural gas of India, India consumed 83.52 million
tones diesel in 2018–19. Thus, in India, search for alternatives to diesel is of special
importance and the use of biodiesel is comparatively much more important for us
than for rest of the countries [3]. Biodiesel is one of the renewable, nontoxic and
environmental friendly alternative biofuels and can be used in diesel engines with
little or without modifications in engines (5). It can be blended with diesel in any
proportion. Combustion of biodiesel in engines leads to lower smoke, particulate
matter (PM), carbon monoxide (CO) and hydrocarbon (HC) emissions, but higher
nitrogen oxides (NOx ) emission keeping engine efficiency unaffected or improved
[2, 3].
Sharma et al. examined the effect of algae, jatropha and polanga biodiesel blends
on the diesel engine performance and observed a significant deterioration in DI engine
missions when the it run with algae biodiesel blends [2]. In addition, Srivastava and
Verma (2008) performed the experiments using methyl ester of karanja oil. The
authors reported that, the maximum thermal efficiency with methyl ester of karanja
oil was about 24.9%, whereas that of the diesel was 30.6% at maximum power output.
The authors concluded that, the methyl ester of karanja oil is a suitable substitute of
diesel. Gopinath et al. (2014) run diesel engine on four types of fuel blends (100%
Diesel, 90% Diesel + 10% Corn oil Methyl Ester, 80% Diesel + 20% Corn oil Methyl
Comparative Assessment of Performance and Emission … 497

Ester, 70% Diesel + 30% Corn oil Methyl Ester and 60% Diesel + 40% Corn oil
Methyl Ester) to analysis emissions from engines. They found that 80% Diesel +
20% Corn oil Methyl Ester is the optimum blend for engine emission as well as
performance of the engine. Kaimal et al. (2015) run engine studied the combustion
and emission characteristics of Cotton Seed Methyl Ester (CSME) blends with diesel.
They used different blends of biodiesel i.e. B10, B20, B30 (10, 20, 30% blend of
CSME with diesel) and compared with diesel fuel performance. They concluded
that B20 blend gives comparable performance and combustion characteristics with
considerable reduction in emissions when compared to diesel, therefore b20 can be
used for engine run. The fuel properties are generally depends on FAMEcomposition
of biodiesel [4, 5, 9]. It has been observed that mixing of two or more types of
biodiesel results into improved fuel properties of fuel blends [3]. Furthermore, if
alcohols are also mixed with these blends, cold flow properties of fuel blends were
also observed to be improved. Therefore, this manuscript investigates the effect of
different blending ratio of diesel, biodiesel and butanol on fuel properties of blended
fuels and its impacts on engine performance.

2 Material and Methods

2.1 Biodiesel Production and Blend Preparation

Biodiesel was synthesised in a lab scale biodiesel reactor which consists of heating
mantle, reaction flask and mechanical stirrer. The flask capacity was 1 L. It was
made of three necks: one for stirrer, and the others for condenser and inlet of reactant
as well as for placing the thermocouple to observe the reaction temperature. A two-
step, ‘acid–base’ transesterification process was performed to produce biodiesel from
jatropha and karanja oil. During acid pre-treatment H2 SO4 was used as acid cata-
lyst and methanol as reagent to reduce FFA less than 1%. While transesterification
reaction was performed using KOH (1%, w/v) as a base catalyst and methanol (1:6,
molar ratio) as co-solvent at 60 °C for 3 h. After completion of reaction, biodiesel
was washed with warm water (55 °C) to remove impurities and glycerol. Moisture
was removed from purified biodiesel using silica gel as moisture absorbent. Then
purified biodiesel was filtered via Whatmann 40 filter paper and biodiesel was used
to make blends with diesel.

2.2 Fuel Properties of Fuel Blends

The fuel properties of fuel blends are shown in Fig. 1 as shown in Table 1, the
calorific values of Pure diesel (D100), jatropha biodiesel (J100) and pongamia (P100)
was observed as 43.96, 39.67 and 36.78 MJ/kg. However, with addition of butanol,
498 S. Pal et al.

Fig. 1 Experimental setup with emission gas analyzer and smoke opacity meter

Table 1 Fuel properties of fuel blends

Fuel blends/fuel CV (MJ/kg) Density (g/cc) Viscosity (CP) Flash point Pour point
properties (°C) (°C)
D100 43.96 0.825 2.85 61 1
J100 39.67 0.878 5.12 124 -2
P100 36.78 0.895 6.32 154 3
But 100 32.8 0.81 2.64 29 < − 120.7
J10 But5 D85 42.57 0.83 3.24 54 −1
P10 But5D85 41.68 0.835 3.76 53 −2
J15But5D80 41.95 0.838 3.85 62 1
P15But5D80 42.28 0.836 3.56 65 −2
J15P15But5D65 40.67 0.841 3.7 68 −3

biodiesel and butanol resulted into lower values than diesel fuels but higher than
pure biodiesel fuels. In addition, density, viscosity and cold flow properties was also
found to be decreased.
Comparative Assessment of Performance and Emission … 499

Table 2 Technical
Particulars Specifications
specifications of the test
engine Engine 1-cylinder, 4-stroke, compression
ignition engine
Bore × stroke 80.0 × 110.0 mm
Cubic capacity 0.530 L
Compression ratio 16.5:01
Rated speed (rpm) 1500
Power 3.7 kW
Specific fuel consumption 243 g/kWh

2.3 Experimental Set Up

The experimental study was based on emission and performance analysis of single
cylinder diesel engine. The test engine fueled with Pongamia, jatropha, butanol and
conventional diesel blends to run the engine. Experiment was conducted on 3.7 kW
power engine at the speed of 1500 rpm. The water-cooled eddy current dynamometer
used to measure the power of the tested engine. The specification of the engine
depicted in Fig. 1 and Table 2. However emission characteristics such as carbon
monoxide (CO), carbon dioxide (CO2 ), Unburned hydrocarbon (UHC) and Nitrous
oxides (NOx ) is analyzed by the NDIR based emission analyzer (Model AVL Digas
444). The smoke opacity of the engine is measured by the smoke meter in percentage.
The tested engine is integrated with the computerized system for the measurement
of air and fuel ratio during the injection.
To examine the experiments, the tested CI engine is fueled with the various
blends of jatropha, Pongamia, Butanol, and Diesel (J10But5D85, P100But5D85,
J15But5D80, P15But5D85, and J15P15But5D65), and compared with the conven-
tional diesel at different loads (25, 50, and 100%).

3 Results and Discussions

3.1 Engine Performance with Diesel, Biodiesel and Butanol

Blends

The effect of different fuel blends on engine brake thermal efficiency (BTE) at
different loads is shown in Fig. 1a. It was observed from figure that BTE of the
engine increased with increasing load. In addition, BTE of engine was found to be
decreased with increasing share of biodiesel. On other hand, the fuel blends with
jatropha were shown better efficiency in comparison to pongamia fuel blends. The
results are with agreements to other studies [3]. This may be due to combine effect
of higher viscosity, higher density and lower calorific value of fuel blends [3, 10].
500 S. Pal et al.

BSFC of fuel blends at different loads are illustrated in Fig. 1b. The results revealed
that BSFC decreases with increasing loads. Furthermore, BSFC was also found to be
increased with increasing biodiesel concentration. Maximum BSFC was observed
for J15P15But5D65. The higher fuel consumption of the biodiesel and their blends
could be primarily related to lower heating value of the biodiesel. Another reason
for the increase in BSFC with biodiesel may be a change in them combustion timing
caused by the biodiesel’s higher cetane number as well as injection timing changes
[3, 11].

3.2 Engine Emissions with Diesel, Biodiesel and Butanol

Blends

Figure 2a and b illustrates the comparison of hydrocarbon (HC) and carbon monoxide
(CO) emission characteristics of the tested engine powered with various biodiesel fuel
blends. Both types of emissions decreased significantly for all biodiesel fuel blends
with increasing biodiesel blending share at lower loads. However, at higher loads, the
emissions reduction was marginal. In addition, both hydrocarbon and co emissions
were found to be increased with increasing load. This can be explained by the fact
that biodiesel is an oxygenated fuel and the presence of oxygen in fuel blends leads
to more clean combustion which results into lower emissions [2]. The CO emission
formation during combustion in CI engines is illustrated with the mechanism given
in Eqs. (1) and (2)

RH → R → RO2 → RCHO → RCO → CO (1)

CO + OH → CO2 + H (2)

where, rate constant for this reaction is

kf, CO = 6.76 × 1010 exp(T/1102)

Figure 2c represents nitrogen oxide (NOx ) emissions for different diesel biodiesel
and butanol fuel blends at various loads from the tested engine. The results showed
that NOx emission was higher with all the biodiesel fuels (i.e., J10But5D85,
P100But5D85, J15But5D80, P15But5D85, and J15P15But5D65) as compared to
base diesel fuel. Moreover, NOx emissions were found to be increased with increasing
loads. It is well known that the NOx emission formation in a CI engine mainly
depends on three parameters; (i) in-cylinder temperature, (ii) amount of oxygen
present inside the combustion chamber, and (iii) combustion reaction time [2, 3].
Higher NOx emission values in the present study could be due to the dominant effects
of higher oxygen content and higher reaction time (higher combustion duration). The
Comparative Assessment of Performance and Emission … 501

Fig. 2 Effect of different fuel blends on engine BTE and BSFC

in-cylinder temperature reduction with biodiesel blending might have insignificant

effect on the emission formation (Fig. 3).
Figure 4 depicts the Variations of smoke opacity with load. Smoke opacity for
biodiesels is lower than that for conventional Diesel at all loads. On increasing, the
load smoke opacity increased due to increasing in the air-fuel consumption. However,
Smoke comprises the visible by-products of poor combustion. Conventional diesel
produced the higher amount of smoke because it has higher carbon content and lower
oxygen as compare to the biodiesel, which led the improper combustion of the fuel.
Therefore, J15P15B5D65 given the best result and reduced the amount of smoke
opacity. Higher oxygen content and lower carbon led the better combustion inside
the cylinder and decreased the smoke opacity.
502 S. Pal et al.

Fig. 3 Effect of different fuel blends on engine CO, unburnt hydrocarbon and NOx emissions

Fig. 4 Effect of different fuel blends on engine smoke emissions

4 Conclusions

The experiments tests were conducted with a single cylinder 37 kW DI diesel

engine fuel with jatropha, pongamia butanol and Diesel fuel blends (J10But5D85,
P100But5D85, J15But5D80, P15But5D85, and J15P15But5D65) at various loads
(25, 50, 75, and 100% loads). The following conclusions are emerged from the
comparative assessment.
Comparative Assessment of Performance and Emission … 503

1. Fuel properties of fuel blends (e.g. viscosity, density and cold flow properties)
were improved significantly with addition of biodiesel and butanaol in diesel
fuels when compared with pure biodiesel.
2. BTE of jatropha biodiesel based fuel blends were found better than pongamia
biodiesel based fuel blends. In addition, BSFC was found to be increased with
increasing share of biodiesel.
3. Emissions were found to be decreased with increasing share of biodiesel.
However, NOx emission showed vice versa and found to be increased with
increasing biodiesel share.

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