Invertis Journal of Science Technology Vol. 6 No. 1 January-March 2013

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CONTENTS
Temperature Dependence of the Specific Heat of
Pr
1-x
Tb
x
CoO
3
(0 1) 1
Renu Choithrani and N.K. Gaur
Energy of Core-Excited States of Sodium Atom 6
Maqsood Alamand Anil Kumar
Three Dimensional Periodic Orbits Around the Collinear
Liberation Points in the Restricted Problem when Both
the Primaries are Axis Symmetric Bodies 11
Anurag and Sanjay Jain
Estimation of Breakdown Strength of Solid Insulating
Materials in Ambient Medium 16
A. Masood, M.U. Zuberi and M.M. Mohsin
Rainfall and Convective Instability 20
Satish Prakash, R.K. Giri and Adesh
Optimized Private Searching in World of Web 32
Mohammad Danish
The Relation between CMMI and Lean Software
Development 39
Jyoti Yadav and Aman Jatain
Women Empowerment and Entrepreneurship 44
S.M. Mustafa, N.U.K. Sherwani and Mini Walia
Evalution of Excimer Lasers : A Review 53
N.R. Das
Patron
Umesh Gautam
Chief Editor
Z.H. Zaidi
Mushahid Husain
Jamia Millia Islamia,
Editors
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Editorial Assistance
Animesh Rai
Indraprastha University,
New Delhi
Temperature Dependence of the Specific Heat of Pr
1-x
Tb
x
CoO
3
(0 1)
1
Temperature Dependence of the Specific Heat of
Pr
1-x
Tb
x
CoO
3
(0 1)
RENU CHOITHRANI* and N.K. GAUR
Department of Physics, Barkatullah University, Bhopal - 462 026 (MP)
*E-mail: renuchoithrani@gmail.com
Abstract
In the present work, the specific heat of the perovskite-type rare earth cobalt oxide Pr
1-x
Tb
x
CoO
3
(0 1) has
been investigated for the first time using extended rigid ion model (ERIM) after improving modified rigid ion
model developed by Renu Choithrani et al. Our computed specific heat values with temperature and the
corresponding experimental data by H. Hashimoto et al show same trend of variation for almost all the
compositions (x) of Pr
1-x
Tb
x
CoO
3
with minor deviations at higher temperatures. The systemexhibits cubic
phase for x = 0 and 0.25 while orthorhombic phase above 0.5, results in the distortion of CoO
6
octahedron. In
addition, we have used ERIM to compute the thermodynamical pproperties whose results are discussed in
detail for the present systemof cobalt oxides and found in good agreement with the available experimental
results.
Key words : Specific heat, perovskites, thermodynamic properties, debye temperature, cohesive
energy.
1. Introduction
Rare earth perovskite cobaltates have general
formula RCoO
3
(where R is a trivalent rare earth)
attracted much significance due to not only the
interesting physical properties [1,2] but also the
scientific and technological applications [3-5] ranges
over a wide variety of fields from sensor devices,
gas separation membranes, chemical reactors
catalyst to components in solid oxide fuel cells. All
the RCoO
3
(where R is a trivalent rare earth)
systems with a 3D network of corner-sharing CoO
6
octahedra show an insulating ground state based on
the diamagnetic low-spin state of trivalent cobalt
that in the limit of fully localized electrons in strong
crystal field corresponds to filled t 2g levels and
empty eg states (LS, t
6
2g
e
0
g
, S=0). With increasing
temperature they undergo two magnetic transitions
Invertis Journal of Science& Technology, Vol. 6, No. 1, 2013; pp. 1-5
connected with excitations either to the intermediate
spin state (IS, t
5
2g
e
1
g
, S=1) or to the high spin state
(HS, t
4
2g
e
2
g
, S=2). The second magnetic transition
is accompanied by an insulator-metal (I-M) transition.
It has remained controversial whether this transition
is from a LS to a HS state or to an IS state. Originally,
the LS-HS scenario was proposed [6]. In this
framework, the anomalies would be due to an
increase of the thermal population of the HS state.
However, it was later claimed that this interpretation
is inconsistent with photoemission data [7].
Perovskite-type rare earth cobalt oxide solid
solutions Pr
1-x
Tb
x
CoO
3
(x = 0, 0.25, 0.5, 0.75, and 1)
have been prepared by Hashimoto et al. and they
investigated their metal-insulator transition behavior
from the temperature dependence of electrical
conductivity and specific heat. The system exhibits
cubic perovskite for x = 0 and 0.25 while
orthorhombic phase above 0.5, results in the
distortion of CoO
6
octahedron [8]. The metal-
insulator transition temperature of Pr
1-x
Tb
x
CoO
3
determined from both the electrical conductivity
Paper presented at National Conference on Materials for
Advanced Technology (2012), ABV-IIITM, Gwalior (M P).
Proceedings published in Invertis Journal of Renewable
Energy; Vol. 2, No. 3 (2012).
2
and specific heat measurements increased
systematically with increasing x values [8]. It is thus
considered that the average ionic size of the R-site
rare earth elements had an important role on the
metal-insulator transition behavior and hence on the
electrical properties. These results suggested that
the metal-insulator transition temperature could be
controlled by the chemical composition of the solid
solutions of two type rare earth elements containing
cobalt oxides. In Section 2, we briefly describe the
computational techniques used for the present study.
The most relevant results obtained for the structural,
elastic, cohesive and thermodynamic properties
such as the temperature dependence of cohesive
energy (), Restrahalen frequency (
0
), Debye
temperature (
D
), Gruneisen parameter () and
specific heat (C
p
) of Pr
1-x
Tb
x
CoO
3
compounds are
presented and discussed.
2. Formalism of Extended Rigid Ion Model
(ERIM)
The extended rigid ion model (ERIM) has been
recently developed by Renu Choithrani by
incorporating the long-range (LR) Coulomb
attraction, the short-range (SR) Hafemeister-Flygare
(HF) type overlap repulsion effective up to the
second neighbour ions, the van der Waals (vdW)
attraction due to the dipole-dipole (d-d) and dipole-
quadrupole (d-q) interactions and zero point energy
(ZPE) effects in the framework of modified rigid
ion model (MRIM) developed earlier by us [9, 10].
The framework of ERIM is derived from the
following interionic interaction potential:
ERIM
=
MRIM
+
ZPE
where,
ERIM
potential is given by
3
4
0
9
1

=

D
T x
V
x
D
T ex
C R dx
e
(2)
(1)

+ +
+

= +

1 k k' kk' 1
2 kk k kk 2 kk k kk 2
2
1
ERIM k k kk
kk
nb kk exp{(r r r / }
n'
b [ exp{(2r r )/ } exp{(2r r )/ }
2
6 8
kk kk kk kk D
kk kk
e
Z Z r
2

- c r d r +(9/4)K
The symbols involved Eqs. (1) and (2) are the
same as those defined in our earlier papers [9, 10].
Here, k(k) denote the positive (negative) ions and
the sum is taken over all the ions (kk).
kk'
are the
Pauling coefficients expressed as:
kk
=1+(z
k
/n
k
)+(z
k
/n
k
)
with zk (zk') and nk (nk') as the valence and number
of electrons in the outermost orbit of k(k) ions and
r
kk'
and r
kk
(= r
k'k'
) are the first and second neighbour
ion separations, respectively. In Eq. (2), the first
term represents the long-range Coulomb attraction,
the second and third terms are the short-range
Hafemeister-Flygare type repulsion operating upto
the second neighbour ions. The fourth and fifth
terms in it are the vdW attraction energies due to
the dipole-dipole (d-d) and dipole-quadrupole
(d-q) interactions with c
kk'
and d
kk'
as the
corresponding vdW coefficients.
The specific heat of the doped manganites at
constant volume (Cv) is calculated using the following
expression [9]:
at different temperature (T). Here, the notations
involved have the same meaning as defined by us
[9].
The specific heat at constant pressure (C
p
) is
calculated using [9]:
C
p
= T V a
2
B
T
+ C
v
where a is the linear thermal expansion coefficient,
B
T
is the isothermal bulk modulus, and V is the unit
cell volume.
3. Results and Discussion
The input data for Pr
1-x
Tb
x
CoO
3
(0 1) are
taken from the experimental data [8, 11-17] and
thermodynamic relations [9, 10]. Using these input
data and the vdW coefficients (c
kk'
and d
kk'
) calculated
using the expressions [9, 10], the model parameters
(4a)
(4b)
1-x
Tb
x
CoO
3
(0 1)
3
Model parameters of Pr
1-x
Tb
x
CoO
3
(0 1)
Table 1
Compound Co-O Co-O Pr/Tb-O Pr/Tb-O
1
() b
1
(10
-12
erg) r
2
() b
2
(10
-12
erg)
PrCoO
3
0 .319 1.898 0.472 1.543
Pr
0.75
Tb
0.25
CoO
3
0.314 2.008 0.467 1.660
Pr
0.5
Tb
0.5
CoO
3
0.310 2.119 0.462 1.777
Pr
0.25
Tb
0.75
CoO
3
0.305 2.230 0.457 1.894
TbCoO
3
0.301 2.341 0.452 2.011
Fig. 1. The variations of specific heat with temperature for Pr
1-x
Tb
x
CoO
3
(0 1)
400 400 600 700 800 900
Temperature, T/K
0.4
0.5
0.6
0.7
S
p
e
c
i
f
i
c

h
e
a
t
,

C
/
J
g
K
p
-
1
-
1
PrCoO
3
Expt
Pr0.75Tb0.25CoO
3
Pr0.5Tb0.5CoO
3
Pr0.25Tb0.75CoO
3
TbCoO
3
Cal
(r
1
, b
1
and r
2
, b
2
) have been evaluated using their
Eqs. [9, 10] upto 873 K for Pr
1-x
Tb
x
CoO
3
(0 1)
and listed them in Table 1. Taking the values of model
parameters, the cohesive energy () for
Pr
1-x
Tb
x
CoO
3
(0 1) have been computed
(Table 2) to test the validity of our model. It is found
from Table 2 that the values of the cohesive energy
() are in good agreement with the available
measured data for the parent member SmCoO
3
[15]
of the cobaltate perovskites family. The negative
values of the cohesive energy indicate the stability
of the compound. The calculated values of
Restrahalen frequency by the ERIM shows
conformity with the available experimental value of
4
Thermodynamic Properties of Pr
1-x
Tb
x
CoO
3
(0 x 1)
Table 2
Compound (ev)
0
(THz)
D
(K) g
PrCoO
3
-142.16 12.18 589 2.19
Pr
0.75
Tb
0.25
CoO
3
-142.13 12.12 586 2.17
Pr
0.5
Tb
0.5
CoO
3
-142.10 12.08 584 2.13
Pr
0.25
Tb
0.75
CoO
3
-142.05 12.04 582 2.11
TbCoO
3
-142.01 12.00 580 2.01
(-144.54)
15
(12.41)
8
(600)
8
(2-3)
18
u
0
=12.41 THz [8]. It is also noticed from Table 2
that calculated values of Debye temperatures of
Pr
1-x
Tb
x
CoO
3
(0 1) decreases with increasing
doping compositions (x) in Pr
1-x
Tb
x
CoO
3
(0 1)
and found closer to the available experimental value
of
D
= 600 K [8]. The higher values of Debye
temperatures indicate the presence of higher
phonon frequencies in these materials and also
comparable to the range (300-650 K) [9, 10] often
found in perovskite compounds. The values of
Grneisen parameter for Pr
1-x
Tb
x
CoO
3
(0 1))
lies in between 2 and 3 as reported by Dai et al [18]
(Table 2). The specific heat (C
p
) curve of Pr
1-
x
Tb
x
CoO
3
(0 1) obtained using ERIM is in good
agreement with the experimental curve as observed
by Hashimoto et al [8] (Fig. 1). It is interesting to
note from Fig. 1 that both the present model
calculated specific heat values and the experimental
specific heat values [8] increase linearly with
temperature indicating the display of phononic
contributions (~T
3
) in Pr
1-x
Tb
x
CoO
3
(0 1).
Further, the existence of the peaks in specific heat
results suggested that these compounds undergo
metal-insulator transition [8]. The broad peaks of
Cp curves for x = 0.0 to 1.0 found to shift to the
high temperature side with increasing x values.
These features are exhibited by both the
experimental and theoretical results.
4. Conclusion
Specific heat and thermodynamical properties
of Pr
1-x
Tb
x
CoO
3
(0 1) have been presented in
the present work. The computed results by ERIM
are in closer agreement with the available
experimental data. This reveals the suitability and
appropriateness of ERIM for the Pr
1-x
Tb
x
CoO
3
(0 1) materials. Some of the results are,
probably, being reported for the first time and hence
our comment on their reliability are restricted until
the report of experimental data on them. Presently,
these values are of academic interest and they can
serve as guide to the experimental workers in future.
Acknowledgement
Renu Choithrani would like to thank the Science
and Engineering Research Board, Department of
Science and Technology (DST), Government of India,
New Delhi for providing the financial assistance and
the Fast Track Young Scientist Award.
References
[1] Z. Ropka and R. Radwanski, Phys. Rev., B67
(2003) 172401.
[2] Y. Kobayashi, T. Nakajima and K. Asai, J. Magn.
Magn. Mater., 83 (2004) 272.
1-x
Tb
x
CoO
3
(0 1)
5
[3] J.S. Park, K.K. Yu, H.K. Lee, H.R. Bae, Y.P. Lee
and V.G. Prokhorv, J. Korean Phys. Soc., 46
(2005) S201.
[4] H. Chang, C.L. Chen, T. Garrett, X.H. Chen,
X.D. Xiang, C.W. Chu, Q.Y.Zhang and C.
Dong, Appl. Phys. Lett., 80 (2002) 4333.
[5] V.G. Prohkorov, Y.P. Lee, K.W. Kim, V.M.
Ishchuk and I.N. Chukanova, Appl. Phys. Lett.,
80 (2002) 2352.
[6] J.B. Goodenough, J. Phys. Chem. Solids, 6
(1958) 287.
[7] M. Abbate, J.C. Fuggle, A. Fujimori, L.H.
Tjeng, C.T. Chen, R. Potze, G.A. Sawatzky,
H. Eisaki and D. Uchida, Phys. Rev., B47
(1993) 16124.
[8] H. Hashimoto, T. Kusunose and T. Sekino, J.
Alloy Compd., 494 (2010) L3.
[9] Renu Choithrani, N.K. Gaur and R.K. Singh, J.
Alloys Compd., 480 (2009) 427.
[10] Renu Choithrani and N.K. Gaur, J. Comput.
Mater. Sci., 49 (2010) 107 and references
therein.
[11] K. Knizek, J. Hejtmanek, Z. Jirak, P. Tomes, P.
Henry and G. Andre, Phys. Rev., B79 (2009)
134103.
[12] M. Itoh, M. Mori, S. Yamaguchi and Y. Tokura,
Physica B902 (1999) 259.
[13] Y.Q. Jia, J. Solid State Chem., 95 (1991) 184.
[14] Svein Stlen, Fredrik Grnvold, Hendrik
Brinks, Tooru Atake and Hideki Mori, J. Chem.
Thermodynamics, 30 (1998) 365.
[15] M.A. Farhan and M.J. Akhtar, J. Phys.: Condens.
Matter, 22 (2010) 075402.
[16] M.Tachibana, T. Yoshida, H. Kawaji, T. Atake
and E.T. Muromachi, Phys. Rev., B77 (2008)
094402.
[17] T. Arima, Y. Tokura and J.B. Torrance, Phys.
Rev., B48 (1993) 17006.
[18] P. Dai, J. Zhang, H.A. Mook, S.H. Lion, P.A.
Dowben and E.W. lummer, Phys. Rev., B54
(1996) R3694.
Maqsood Alam and Anil Kumar
6
Energy of Core-Excited States of Sodium Atom
MAQSOOD ALAM* and ANIL KUMAR
Deptt. of Applied Sciences, Al-Falah School of Engineering&Technology, Dhauj, Faridabad-21004 (Haryana)
*E-mail: alam.physics07@gmail.com
Abstract
The electron impact excitation of Na atoms is important for modelingof low temperature Plasma and gases of
atomand molecules. There are many theoretical and experimental results for the first excited state but little
information is available for excitation of higher states. We are concerned with the ground state of the np level
of Sodium(Na) (n=3) to higher state. We present here the energy of many shells of Sodium(Na) atomalong
with other reliable published results. The data has been compared with available results. The excitation cross
section to the resonance level of Sodiumhas been shown. The scaled Born (PWBA) results are in very good
agreement with available results. It has been observed that a few high level results are satisfactory. The
excitation to the further higher states results varies sharply.
Keywords: Excitation, Resonance, potassium, ionization potential, Genetic Programming, Collision,
Scattering, Dipole Polarisation
1. Introduction
There is an increasing interest in the innershell
excitation of alkali and alkaline earth metals. The
Function of distorted wave Born approximation next
to the Plane Wave Born Approximation (PWBA) is
used. The Asymmertic Green Function
Approximation (AGFA) integral with available
experimental observation and other theoretical
results are taken into consideration. The AGFA
exhibits resonance behavior near threshold whereas
PWBA is significantly different in nature qualitatively.
The inner shell excitation plays very significant role
in explaining the structure observed in ionization
and total cross section by electron-impact .The
relation with automisation to the direct ionization
process is very significant in alkali like metal atoms
We have applied Asymptotic Green function used
for lower and intermediate energy regions. PWBA
is not valid in low and intermediate energy region
but it is valid in high energy range. From the last
Invertis Journal of Scienceand Technology, Vol. 6, No. 1, 2013 ; pp. 6-10
four decades there has been much interest in the
electron atom collision process. The works remain
concentrated on the elastic collision; scattering and
the excitation of the lowest energy level. The total
collision cross sections have been estimated by
different experimental groups. The classical model
of polarization was first used by Bierman et al [1]
The origin of core polarization picture may be traced
even to semi classical study of sodium atom by
Heisenberg [2]. J Migdalek and W.E. Baylis [3]
proposed to introduce cut off function directly into
expression for the effective electric field E, produced
by valance electron. The BE f scaled estimated result
of excitation of the resonance line of sodium has
been shown in Figs. 1 and 2. The convergent close
coupling (CCC) calculations of Bray [4] are in good
agreement with Phelps et al [5]. Their result shows
that optical excitation from higher level calculation
transition probability is in good agreement with
experimental results. Our results are in good
agreement with Enemark and Gallagher [6]. The
7
(2)
(3)
(4)
(5)
polarization of the core electron by the valance
electron is important in sodium and other alkali metal
atoms. The core polarization effect is not very
noticeable for sodium than potassium by Kim [7].
The BE scaling alone or in combination with f scaling
transformed PWB cross section for dipole allowed
and spin allowed excitation into reliable cross section
comparable to the convergent close coupling (CCC)
it is also known as accurate experiment. We have
used the accurately calculated f value of Siegel el
al[8] for the scaling of Na and value from silver
calculation Migdalek and Kim [9] for the f scale for
the potassium. These calculated values rather than
the experimental values have been used because they
are available for the fine structure component. For
Na the experimental f value have been shown in the
figures. The measurement of Filippov and Prokofiev
[10] for n = 3 to n = 8, normalize to 3p. The 3s -
3p measurement of Volz el al [11] for n = 9 to n =
24. The Na values are from recent measurement of
Nawaz et al [12].
All alkali metal atoms have been subject of
interest in several theoretical and experimental
investigations and in electron atom collision process
because of their various interesting properties. It is
simple structure, low ionization potential varies from
3.9 eV to 5.4 eV and larger polarisibility the most
effective property is existence of resonance line in
presence of electromagnetic spectrum. Genetic
programming has been used properly by El-Bakry
and Radi [13]. The calculations have been performed
in the frame work of Genetic Programming (GP)
by researcher group of Riolo and Worzel [14].
The total collision cross section measured or
estimated by team group Surdutovich et al [15]
for electron-impact of Na atom. The Genetic
programming has been running based on the total
collisional cross section used by Siegel et al [8] and
dipole polarizability have been used by Koza et al
[16] as input variable to fined the total collision cross
section of scattering of electron.
2. Theory
The first Scaling method, the BE replace the
incident energy A in the denominator of PWB cross
(1)
section, therefore expression can be given by
The Entire cross section by ratio of an f value to
the less accurate f value calculated by unsealed PWB
cross section
The function f
sc
represent Single configuration and
f
accu
give more accurate value obtained from
correlated Wave function with core polarization
.The calculation of f value are closer to accurate
experiment, therefore BE and f scaling may be
applied
The complete quantum approach to the core
polarization effect was presented by Bottcher and
Dalgarno[17] and Magdalek and Baylis[3] proposed
to introduce Electric field E produced by a valence
electron at the core.
The represent core polarization potential. We
present the calculated cross section for Sodium Na
in Table -1, which can be extended to higher incident
energy by using well known bathe approximation.
The Asymptotic expression can be given
where a, b & c are dimensionless quantities incident
electron energy and R Redberg energy
3. Discussion and Conclusion
The excitation and cross section of sodium varies
BE PWB
A
A B C

| |
=
|
+ +
\ .
| | | | | |
= + +
| | |
+ +
\ . \ .\ .
2
0
4
( ) ln
accu
Astmptotic
sC
R f A CR
A a b
A B C R T f
accu
f PWB
sc
f
f

| |
=
|
\ .

| |
=
|
\ .
accu
BEf BE
SC
f
f
=
( +

2
3
2 2
2
d
p
p
c
r
r r
8
The excitation cross section of Na lower state to higher state. The excitation energy E is in eV
and the value of constant a,b and c are included. The Experimental ionization energy
B=5.139 eV has been used in scaling
Table 1
Table 2
The value of uncorrelated function (f
sc
) and accurate function f. The BEf-Scaled excitation
cross section
BEf
in A
2
as function of incident electron with energy T in ev
Final state 3p 4p 5p 6p 7p 8p 9p 10p 11p
E 2.104E+00 3.753E+00 4.345E+00 4.624E+00 4.778E+00 4.872E+00 4.934E+00 4.976E+00 5.007E+00
f
sc
9.650E-01 1.180E-02 1.591E-03 4.480E-04 1.810E-04 9.100E-05 5.200E-05 3.300E-05 2.200E-05
f
accu
9.720E-01 1.331E-02 1.980E-03 6.020E-04 2.580E-04 1.340E-04 7.900E-05 5.100E-05 3.500E-05
Const. a 6.241E+00 4.276E-02 4.981E-03 1.319E-03 5.160E-04 2.530E-04 1.430E-04 8.900E-05 5.900E-05
Const. b 1.611E+01 5.477E-01 1.396E-01 5.822E-02 3.037E-02 1.802E-02 1.163E-02 7.972E-03 5.714E-03
Const. c -2.062E-01 -4.093E-02 -8.539E-03 -3.035E-03 -1.417E-03 -7.780E-04 -4.750E-04 -3.130E-04 -2.180E-04
Final state
BEf

BEf

BEf

BEf

BEf

BEf

BEf

BEf

BEf
100 1.283E+01 3.114E-01 8.077E-02 3.541E-02 1.932E-02 1.188E-02 7.883E-03 5.518E-03 4.020E-03
110 1.198E+01 2.873E-01 7.431E-02 3.254E-02 1.775E-02 1.091E-02 7.239E-03 5.067E-03 3.691E-03
120 1.125E+01 2.667E-01 6.882E-02 3.011E-02 1.642E-02 1.009E-02 6.693E-02 4.684E-03 3.412E-03
130 1.060E+01 2.490E-01 6.409E-02 2.802E-02 1.527E-02 9.383E-03 6.224E-03 4.355E-03 3.173E-03
140 1.004E+01 2.336E-01 5.998E-02 2.620E-02 1.428E-02 8.769E-03 5.816E-03 4.070E-03 2.965E-03
150 9.531E+00 2.200E-01 5.637E-02 2.461E-02 1.340E-02 8.232E-03 5.459E-03 3.820E-03 2.782E-03
160 9.078E+100 2.079E-01 5.318E-02 2.320E-02 1.263E-02 7.757E-03 5.143E-03 3.599E-03 2.621E-03
170 8.669E+00 1.971E-01 5.033E-02 2.194E-02 1.194E-02 7.334E-03 4.863E-03 3.402E-03 2.478E-03
180 8.299E+00 1.971E-01 4.778E-02 2.082E-02 1.133E-02 6.955E-03 4.611E-03 3.226E-03 2.349E-03
190 7.961E+00 1.787E-01 4.547E-02 1.980E-02 1.077E-02 6.613E-03 4.384E-03 3.067E-03 2.234E-03
200 7.652E+00 1.708E-01 4.339E-02 1.888E-02 1.027E-02 6.304E-03 4.179E-03 2.923E-03 2.129E-03
225 6.981E+00 1.538E-01 3.893E-02 1.692E-02 9.199E-03 5.645E-03 3.741E-03 2.617E-03 1.905E-03
250 6.427E+00 1.399E-01 3.531E-02 1.533E-02 8.332E-03 5.111E-03 3.387E-03 2.369E-03 1.725E-03
275 5.960E+00 1.284E-01 3.232E-02 1.402E-02 7.615E-03 4.670E-03 3.094E-03 2.164E-03 1.575E-03
300 5.561E+00 1.187E-01 2.980E-02 1.292E-02 7.012E-03 4.299E-03 2.848E-03 1.992E-03 1.450E-03
350 4.913E+00 1.032E-01 2.580E-02 1.116E-02 6.056E-03 3.712E-03 2.458E-03 1.719E-03 1.251E-03
400 4.409E+00 9.140E-02 2.276E-02 9.833E-03 5.331E-03 3.266E-03 2.163E-03 1.512E-03 1.100E-03
450 4.005E+00 8.206E-02 2.036E-02 8.788E-03 4.762E-03 2.917E-03 1.931E-03 1.350E-03 9.820E-04
500 3.674E+100 7.450E-02 1.843E-02 7.946E-03 4.303E-03 2.635E-03 1.744E-03 1.219E-03 8.870E-04
600 3.160E+00 6.299E-02 1.550E-02 6.672E-03 3.610E-03 2.209E-03 1.462E-03 1.022E-03 7.430E-04
700 2.780E+00 5.464E-02 1.339E-02 5.753E-03 3.110E-03 1.903E-03 1.259E-03 8.800E-04 6.400E-04
800 2.486E+00 4.828E-02 1.179E-02 5.058E-03 2.733E-03 1.672E-03 1.106E-03 7.720E-04 5.620E-04
900 2.252E+00 4.329E-02 1.054E-02 4.515E-03 2.438E-03 1.491E-03 9.860E-04 6.890E-04 5.010E-04
1000 2.060E+00 3.925-02 9.527E-03 4.078E-03 2.201E-03 1.346E-03 8.900E-04 6.210E-04 4.520E-04
9
Fig. 1. The deep dark curve represent our Scaled plane Wave(PWB) result, where as spots are
theoretical from Close coupling method of Bray et al [4] (1994) has been shown in the Fig. 1. The
circle are experimental results of Phelps et al [5] (1979). All results are closely similar to each other.
Fig. 2. The excitation cross section of Sodium 3p-3d has been shown .the triangles are calculated
results of Moores et al [19](1974) and cross points are results of Chen and Gallagher [10]. The deep
dark curve is our Scaled Plane Wave Born (PWB) results for excitation where as dottes are results of
Unscaled (PWB)cross section
with energies. The lowest excitation state of Na
has very large cross section compare to higher
excitation state. This reflect fact that the f value for
the former excitation almost unity, and is little for
higher excitation.
We have compared the BE f Scaled calculation
with experimental data for excitation from the 3p
excited level of Na to the 3d level. These results
are shown in the figures in result of Chen and
Gallagher[18] and lose coupling results of Moore et
al [5] are in good agreement with experiment results.
Our approach is to use the experimental data of the
total cross section at certain value of incident energy
of electron. Atomic number and the static dipole
polarizability of Sodium Na alkali target atoms have
been discussed, which produce total cross section
for each target atoms. The alkali metal atoms are
highly liable to polarize target. Therefore, the reliable
estimate of the effect of distortion of Na metal target
10
atom is rather essential to predict Scattering. The
value of the static dipole polarizability of Na is taken
as 163a [16].The experimental calculated result of
total cross section are relatively similar and shown
in the figure share very good agreement with
available data and facts by different researchers. The
results are differ only by a negligible amount as shown
in fingers due to resonance factor. The cross section
for more higher state np levels are converging to
the ratio n*value raised to the 3
rd
power which can
be scaled as (n*)
3
for convenience and better
understanding.
The dotted curve is scaled plane wave Born
(PWB) result for the excitation of Na. This curve is
showing 3p-3d electron excitation of sodium. The
cross are experiment result of Chen and Gallagher
[18] and calculated result of Moores el al [19] are
compared. The solid curve shows BEF scaled cross
section, triangle and cross are results of Enemark
and Gallagher [6] results respectively.
Acknowledgement
Authors are grateful to Prof Krishana Mohan
Singh, P.G Deptt of Physics , Veer Kunwer Singh
University, Ara (Bihar) and Prof M.Y. Khan, Al-Falah
School of Engg & Tech, Dhauj and former Head of
the Department of Physics, Jamia Millia Islamia New
Delhi for their valuable suggestions and guidance.
References
[1] L. Biermann, Z. Astrophys. 22 (1943) 157.
[2] W. Heisenberg, "ber die Spektra von
Atomsystemen mit zwei Elektronen," Z. Phys.
39 (1926) 499.
[3] J. Migdalek and W.E. Baylis, J. Phys. B: At. Mol.
Phys., 11 (1978) L497.
[4] I. Bray, Phys. Rev., A49 (1994) 1066.
[5] J.O. Phelps, J.E Solomon, D.F Korff and C.C
Lin, Phys Rev, A20 (1979) 1418.
[6] E.A. Enemark and A. Gallagher, Phys. Rev.,
A6 (1972) 192.
[7] Y.K. Kim, Phys. Rev., A64 (2001) 032713.
[8] W. Siegel, J. Migdalek and Y.K. Kim, Atomic
and nuclear physics data table, 68 (1998) 303.
[9] J. Migdalek and Y.K. Kim (J. Phys. B, 31, 1947
[1998]
[10] A. Filippov and V.K. Prokofiev, Z. Phys. 56
(1929) 458.
[11] U. Volz, M. Majerus, H. Liebel, A. Schmitt,
and H. Schmoranzer, Phys. Rev. Lett., 76
(1996) 2862.
[12] M. Nawaz, W.A. Farooq and J.P. Connerade,
J. Phys, B25 (1992) 5327.
[13] M.Y. El-Bakry and A. Radi, International Journal
of Modern Physics C, 17 (2006).
[14] Rick Riolo and Bill Worzel, Genetic
Programming Theory and Practical, Springer,
(2003).
[15] E. Surdutovich, W.E. Kauppila, C.K. Kwan,
E.G. Miller, S.P. Prikh, K.A. Price and T.S. Stein,
Nuclear Instruments and Methods, B221
(2004) 97.
[16] J. Koza, M. Keane, M. Streeter, W. Mydlowec,
J. Yu and G. Lanza, Genetic Programming IV:
Routine Human, Competitive Machine
Intelligence, Kluwer, (2003).
[17] C. Bottcher and A. Dalgarno, Proc. R. Soc.
(London) Ser. A340 (1974) 187. C. Bottcher
and A. Dalgarno, Proc. Soc., A340 (1974) 187.
[18] S.T. Chen and A.C. Gallagher. Phys. Rev. A17
(1978) 551.
[19] D.L. Moores, D.W. Norcross and V.B.
Sheorey, J. Phys., B7 (1974) 371.
Three Dimensional Periodic Orbits Around the Collinear ....... Axis Symmetric Bodies
11
Three Dimensional Periodic Orbits Around the Collinear
Liberation Points in the Restricted Problem when Both the
Primaries are Axis Symmetric Bodies
ANURAG
1
* and SANJAY JAIN
2
1
Guru Prem Shukh Memorial College of Engineering, Delhi
2
Ratan Institute of Technology, Palwal
*E-mail: anurag.jain70@yahoo.co.in.
Abstract
Three dimensional periodic orbits around the collinear liberation points L
i
(i=1,2,3) in the restricted three body
problem has been studied when both the primaries (earth -moon) are axis symmetric bodies with one of their
axes as axis of symmetry and equatorial planes coinciding with the plane of motion by taking different values of
semi-axes of the axis symmetric bodies(earth-moon). With the help of predictor corrector method, we have
computed the initial conditions by taking different values of the semi-axes of the axis symmetric bodies. With
these initial conditions, we have drawn three dimensional periodic orbits in the different cases.
Key words : Axis symmetric body, collinear points, restricted three body, periodic orbits.
1. Introduction
In our previous paper [1], we have studied the
three dimensional periodic orbits around the
collinear liberation points in the restricted three
body problem by assuming the bigger primary as
an axis symmetric rigid body with its equatorial
plane coinciding with the plane of motion. In this
paper, we wish to generalize the earlier by taking
both the primaries as axis symmetric bodies viz.
the earth-moon system. We continue the
investigation using the value for =0.01215 for the
mass parameter of the problem. The numerical
study presented here is based on the same method
and techniques as the investigations mentioned in
earlier paper.
2. Equations of Motion
By adopting the notations and terminology of
Szebehely and taking the distance between the
Invertis Journal of Science and Technology, Vol. 6, No. 1, 2013 ; pp. 11-15
primaries unity and the sum of the masses of the
primaries as one, unit of time is so chosen so as to
make gravitational constant G=1. Equations of
motion of m
3
in dimensionless variables and Cartesian
form can be written as
(1)
where
2 ,
x
x ny =
2 ,
Y
y nx + =
,
z
z =
2 ,
Y
y nx + =
2 2 2 2
1 2 1 2 5 3
1 1
2
1 1 2 5 3
1 2 1 2
2 2
1 2 1 5 5
2 2
1 3(1 ) (1 )
( ) ( ) (2 )
2 2 2
(1 ) 3(1 )
(2 )
2 2
3 3
( ) ,
2 2
n x y y
r r
z
r r r r
y z
r r

= + +

+ + +

12
2
, m =
1
1 , m =
1 2 3 1 2 3
, , , , , a a a a a a are the lengths of the semi axes of
the axis symmetric bodies of masses m
1
and m
2
.
The mean motion n of the primaries is given by
R=Dimensional distance between the primaries.
G=Gravitational Constant,
(2)
(3)
(4)
1 2 1 2
5 5
6(1 )(2 ) 6 (2 )
,
| | | 1|
L L
x x

+
+
1 2
2 7 5
(1 )( ) 5(1 )(2 )( )
3
| | | |
[
L L
L L
x x
A
x x

= +

1 2
7 5
( 1 ) 5 (2 )( 1)
,
| 1 | | 1|
]
L L
L L
x x
x x

+ +
+ +
+ +
3 5 5
(1 )( ) ( 1 ) 3
2 | | | 1 |
[
L L
L L
x x
A
x x

+
= + +
+
2 1 2 1
7 7
5(1 )(2 )( ) 5(1 )( )( )
2| | | |
L L
L L
x x
x x

+ +

where
3. Collinear Libration Points
3.1 (L1, L2, L3)
The libration points are given by the solution of
Since in each of the open intervals
the function is
strictly increasing in each of them.
Therefore, there exists one and only one value
of x in each of the above intervals. Further
Therefore,
there are only three real roots, one lying in each of
the intervals and
Thus there are three collinear libration points. The
first collinear point is located left of the primary of
mass m
1
, the second is between the primaries, and
the third collinear libration point is to the right of
the primary of mass m
2
.
3.2 Motion around the Collinear Libration Points
Let L be any of the collinear libration points
L
j
, j=1, 2, 3. If a new coordinate system is defined
with L as origin and x, y and z its axes, parallel to Ox,
Oy and Oz respectively, the transformation
between the two systems is given by the relations:
Then the Equations of motion are transformed
through (2) in the L
xyz
coordinate system as,
Putting values of various derivative in Eq. (3), we
get
2 2 2 2
1 3 2 3
1 2 1 2 2 2
2 2 2 2
1 3 2 3
1 2 1 2 2 2
( )
, , , 1,
5 5
( )
, , , 1,
5 5
a a a a
R R
a a a a
R R

= = <

= = <
2
1 2 1 2
3 3
1 (2 ) (2 ).
2 2
n = + +
0, 0, 0.
x y z
= = =
0
X
>
( , 1),( 1, ),( , )

,( 1) 0 0,
,( 1) 0 0.
X
X
Also as x or
and as x or

+ +

( 2) 0, (0) 0 < ( 1) 0. and + >
( 2, 1), ( 1, ) ( , 1). +
,
,
.
L
x x x
y y
z z
+
2 ( , , ),
2 ( , , ),
( , , ).
x L
y L
z L
x ny x x y z
y nx x x y z
z x x y z
= +
+ = +
= +

2 2 2
1 2 3 4
1 2
1 2
2 ,
2 ,
.
x ny A x A x A y A z
y nx By B xy
z C z C xz
= + + +
= +
= +

2
1 3 3
2(1 ) 2
| | | 1 |
L L
A n
x x

= + + +
+
13
4 5 5
(1 )( ) ( 1 ) 3
2 | | | 1 |
[
L L
L L
x x
A
x x

+
= + +
+
1 2 1
7 7
5(1 )(2 )( ) 5(1 ) ( )
2| | | |
L L
L L
x x
x x

+ +

1 2 1
7 7
5 (2 )( 1) 5 ( 1)
,
2| 1| | 1|
]
L L
L L
x x
x x

+ +
+
+ +
2 1 2
1 5 3 3
3(1 )(2 ) (1 )
| | | 1 | 2| |
L L L
B n
x x x

=
+
1 2 1 2 1 2
5 5 5
3(1 )( ) 3 (2 ) 3 ( )
| | 2| 1 | | 1 |
L L L
x x x

+ +
2 5 5
3(1 )( ) 3 ( 1 )
| | | 1 |
L L
L L
x x
B
x x

+
= + +
+
2 1 2 1
7 7
15 (2 )( 1) 15 ( )( 1)
,
2| 1| | 1|
L L
L L
x x
x x

+ +
+
+ +
1 2 1
1 5 5 3 3
3(1 )(2 ) 3(1 ) (1 )
| | | 1 | 2| | | |
L L L L
C
x x x x

=
+
1 2 1
5 5
3 (2 ) 3
,
2| |1| | 1|
L L
x x

+ +
2 5 5
3(1 )( ) 3 ( 1 )
| | | 1 |
L L
L L
x x
C
x x

+
= + +
+
1 2 1
7 7
15(1 )(2 )( ) 15(1 ) ( )
2| | | |
L L
L L
x x
x x

+ +

1 2 1
7 7
15 (2 )( 1) 15 ( 1)
2| 1| | 1|
L L
L L
x x
x x

+ +
+
+ +
2
1 2
2
1 2
2
1 2
( ) ( ) ( ) ,
( ) ( ) ( ) ,
( ) ( ) ( ) .
x x x
y y y
z z z

= +
= +
= + (5)
(6)
where
4
1
1
( ) ( ),
i i
i
y d Exp
=
=
(7a)
(7b)
4. Second Order Approximation of Periodic
Solution
We search for periodic solutions in the form of
second order expansions in powers of a parameter
: (0 to 0.009).
In order to erase any secular term in future
analysis and retaining terms of powers in not
greater than two and denoting by dot(.) the -
derivatives and ignoring the terms
2
, 1, 2
i
i = . We
have to solve the system:
(7c)
The general solution of the Eq. (6) is given by;
where , 1, 2,3, 4
i
i = are the characteristic roots of
the system given by the Eqs. (7a) and (7b) and
, 5,6
j
j = are given by Eq. (7c). Periodic orbits can
be obtained if at least one pair of Imaginary roots
exists. By a suitable choice of the coefficients of the
exponential of (7), we may have a special periodic
1 2 1 2
7 7
5 (2 )( 1) 5 ( )( 1)
,
2| 1| | 1|
]
L L
L L
x x
x x

+ +
+
+ +
1 2 1 2
7 7
15(1 )(2 )( ) 15(1 )( )( )
2| | | |
L L
L L
x x
x x

+ +

1
1
1
0
( ) 0
0
x
F D y
z

=

2
1
2
1
2
1
2 0
( ) 2 0
0 0
D A nD
F D nD D B
D C

=

4
1
1
( ) ( ),
i i
i
x c Exp
=
=
6
1
5
( ) ( ).
j j
j
z e Exp
=
=

14
' B

=
(8)
where
g
1
() = K
0
+ K
1
cos 2,
g
2
() =
1
sin 2,
g
2
() =
2
sin 2.
and
1 2
2 1
2 2
( ) cos2 ,
( ) sin2 ,
( ) sin2 .
o
x M M
y N
z N

= +
=
=
Periodic Solution of Eq. (9) is given by
where
1
2
1 1 1 1 1
2
1 1 1 1 1
2
2 2
1
4 2 2
1 1 1
,
1
( 4 4 ),
1
( 4 4 ),
,
( 4 )
16 4(4 ) .
o
o
K
M
A
M K n BK
N k n A
N
C
n A B AB

=
= +
= +
=

= +
2
1
2 *
1
2 '
2
( , ) cos [ cos2 ] ,
( , ) sin sin2 ,
( , ) sin sin2 .
o
x t A t M M t
y t B t N t
z t B t N t

= + +
= +
= +
Period of this solution is,
2
. T

=
( 0.01215) =
2
1
2
* .
( )
nB
A
B

=
+
solution which contains only the frequency .
Equation (7) admit the periodic solution,
where the coefficients A, B, A*, B*, A' and B' are
given by
Without any loss of generality, we put
1
(0) 0, y =
then and consequently,
B=0. This means that and
too. Finally, the above solution becomes,
The second order system is given by
(9)
(10)
Finally, a second order approximation of periodic
solutions around the collinear libration points, as a
function of parameter, is obtained as
5. Numerical Results
Using the formulae (4) we find, a first
approximation, which are close to L
j
, j = 1, 2, 3.
Then, by a linear predictor-corrector algorithm
based on numerical integration of the equations of
1
* *
1
1
( ) cos sin ,
( ) cos sin ,
( ) cos sin ,
x A B
y A B
z A B

= +
= +
= +
2
1
2
* .
nA
B
B

=
+
1
(0) 0 z =
*
0, A = 0 A =
1
(0) 0, x =
1
(0) 0 y
1
(0) 0 z
1
*
1
1
( ) cos ,
( ) sin ,
( ) cos .
x A
y B
z B

=
=
=
2 1
2 2
2 3
( )
( ) ( )
( )
x g
F D y g
z g

=

2 *2 2
2 3 4
2 *2 2
1 2 3 4
*
1 2
2 2
1
[ ],
2
1
[ ],
2
1
[ ],
2
1
[ ].
2
o
K A A A B A B
K A A A B A B
B AB
C AB
= + +
=
=
=
15
Table 1
Cases 1 2 3 4 5
a
1
6400 6400 6400 6400 6400
a
2
6400 6390 6380 6370 6360
a
3
6400 6380 6360 6340 6320
1750 1750 1750 1750 1750
1750 1740 1730 1720 1710
1750 1730 1710 1690 1670
motion we can draw three dimensional periodic
orbits for different values of
1
and
2
. Table 1 gives
the parameter of earth and moon where as Table 2
gives the collinear libration points for various values
of
1
and
2
.
are the semi-axes of the earth
and the moon respectively.
Table 2
Collinear liberation points
Ca 1 2 3 4 5

1
0 9.42x10
-8
1.873x10
-7
2.794 x10
-7
3.703 x10
-7
2
0 4.697x10
-8
9.312x10
-8
1.385 x10
-7
1.83x10
-7
0 3.46x10
-7
6..908x10
-7
1.0345x10
-6
1.377x10
-6
0 1.728x10
-7
3.449x10
-7
5.161x10
-7
6.865x10
-7
L
1
-1.15567991 -1.1556813 -1.1556828 -1.1556843 -1.1556857
L
2
-.836918007 -.83691163 -.83691470 -.83691306 -.83691142
L
3
1.005062401 1.00506213 1.00506186 1.00506161 1.00506136
6. Conclusion
With the help of predictor method, we have
computed the initial conditions by taking different
values of the semi-axeses of the axes-symmetric
bodies. With these initial conditions, we can draw
actual three dimensional periodic orbits.
Acknowledgment
We are thankful to center for Fundamental
Research in Space Dynamics and Celestial Mechanics
(CFRSC) for providing all facilities in the completion
of this work.
References
[1] Anurag, T.P. Singh and Sanjay Jain, Accepted in
GPM Journal of Technology.
[2] V. Szebehely, Theory of Orbits, (Academic,
New York) (1967).
[3] C.L. Goudas, Icarus, 2 (1963) 1.
[4] K.E. Papadakis, Astrophysics and Space Science,
191 (1992) 223.
[5] V.V. Markellos., Celest. Mech and Dyn. Astron.,
9 (1993) 365.
[6] Olle Merce and Pacha R. Joan, Astron. Astrophy.,
351 (1999) 1149.
[7] E.A. Perdios, Astrophysics and Space Science,
278 (2001) 405.
[8] E.A. Perdios, S.S. Kanavos and V.V. Markellos,
Astrophysic and Space Science, 262 (2004) 75-87.
[9] T. Kalvouridis, A. Mavraganis and C. Pangalos,
Astrophysics and Space Science, (2004)255.
1 2 3 1 2 3
, , , a a a and a a a
0.01215, 384400 Earth Mooncase R km = =
16
Estimation of Breakdown Strength of Solid Insulating
Materials in Ambient Medium
A. MASOOD, M.U. ZUBERI and M.M. MOHSIN
Department of Electrical Engineering, Z.H.College of Engineeringand Technology
Aligarh MuslimUniversity, Aligarh - 202 002 (Uttar Pradesh)
Abstract
The objective of this research was to determine if a relationship could be found between dielectric strength and
other properties of electrical insulatingmaterials in ambient mediumon an empirical basis by usingvariables
predicted by basic theory. A simple equation of the formE=A+Blog (
v
/
r
tan ) to predict the dielectric
strength of a solid insulatingmaterial in the ambient mediumhas been proposed usingASTM electrode system.
The constant 'B' has been obtained as a function of thickness 't' of solid insulating materials. The equation
requires the values of volume resistivity ( v), relative permittivity (
r
) and loss tangent (tan), which may be
obtained easily by low voltage non-destructive measurements. The values of electric strength calculated using
this equation for Polyethylene, Fibre-glass, Leatheroid, Mica, Empire cloth, Kraft paper and Polyethylene
coated Leatheroid are quite in agreement with the experimentally measured values. It is expected that the
equations obtained will help the designers as a handy tool for quick estimation of breakdown strength of solid
dielectrics.
Key words : Breakdown strength, loss tangent, volume resistivity, relative permittivity, solid dielectrics,
polyethylene, mica, empire cloth, kraft paper.
1. Introduction
The theory behind dielectric breakdown has
always been to a great extent equal part of
speculation, art and science. The interaction of fields,
particles and atoms on a microscopic level is so
complex that exact quantum mechanical solution to
all but the simplest atomic structure has been
impossible [1,2]. A myriad of factors, which might
influence dielectric strength, could be listed and
evaluated [3-5]. These include intrinsic material
properties, a host of external environmental factors
and assorted test conditions that may exist.
However, if the environmental factors and test
conditions are kept constant the list can be
shortened considerably. If this were the case, then
a list of intrinsic material properties which might
affect the dielectric strength such as relative
permittivity (
r
), loss tangent (tan), ionization
energy (E
i
), sample thickness (t), mobility of charge
carriers (), number of charge carriers (n), free path
among molecules () and free volume of the material
(V
f
) would result [6,7].
Out of the above parameters
r
, tan, and t can
be measured in a relatively straight forward manner.
However, the others cannot be measured readily.
Mobility of charge carriers is very difficult to
define [8]. However, the volume resistivity (
v
)
measurement can be used to determine through
the equation
v
=1/ne, if the number of charge
carriers are known.
The mean free path of a free electron in a material
is dependent upon the free volume of a material and
the molecular agitation within the material. Both of
these are temperature dependent. The increase in
free volume with temperature leads to an increase
in the mean free path. However, the increased
Estimation of Breakdown Strength of Solid Insulating Materials in Ambient Medium
17
molecular agitation at high temperatures tends to
decrease this path. Thus, the measurement and
calculation of this parameter is most difficult.
Furthermore, from the energy considerations,
the kinetic energy which an electron acquires when
subjected to an electric field is dependent upon the
mean free path between collisions. Also, the mean
free path should be equal to the cube root of the
free volume, V
f
.
With these constraints in measuring the above
listed intrinsic properties, Swanson et al [6]
suggested a relationship given by Eq. (1) to correlate
the dielectric strength E with volume resistivity,
relative permittivity and loss tangent.
Dielectric Strength, E=A+Blog (
v
/
r
tan ) (1)
This is based on the assumption of performing
experiments on the test samples of same thickness
in a group, which is again an approximation to
eliminate t from the above equation.
Though Eq. (1) holds good for the evaluation
of dielectric strength of a number of solid insulating
materials, it suffers from the disadvantage that it is
valid for a particular large thickness of 1.397 mm
and cannot be used for dielectrics of smaller
thickness. However it is well established that the
thickness affects the dielectric strength of solid
insulating material.
Using the above approach the breakdown
strength (BDS), relative permittivity (
r
), loss
tangent (tan ) and thickness (t) of different solid
insulating materials in the ambient medium have been
measured and correlated incorporating the thickness
of the samples to estimate the BDS of solid insulants.
2. Experimental Techniques
2.1 Measurement of Relative Permittivity, and
Loss Tangent of Solid Dielectrics
Figure 1 shows the three-electrode system as
described in [9] to measure the relative permittivity
and loss tangent of various dielectrics. Measurements
were made using a LCR data bridge (Forbes Tinsley
Co. Ltd) with an accuracy of 0.1% at 100 Hz.
Measurement of
r
and tan were carried on
Polyethylene, Fibre-glass, Leatheroid, Mica, Empire
cloth, Kraft paper and Polyethylene coated
Leatheroid.
2.2 Breakdown Strength of Solid Dielectrics
The electrode assembly for obtaining the electric
strength is as per IS: 2584-1963[10]. Five samples
of equal thickness were tested with this arrangement.
Taking the ratio of average breakdown voltage to
average thickness of the sample, electric strength
was determined.
2.3 Sample Preparation
No special efforts were made to clean or modify
the test samples i.e. Polyethylene, Fibre-glass,
Leatheroid, Mica, Empire cloth, Kraft paper and
Polyethylene coated Leatheroid in any way since it
was assumed that any contaminants such as ionic
impurities which would influence the dielectric
strength would also influence other properties being
measured. Thus the materials were tested as
received in the laboratory.
The sample thickness was measured at some
randomly distributed 20 points, spread all over the
sheet area with a micrometer having a least count
of 0.01mm. The average of the 20 measurements
was taken as the average thickness of the sample.
3. Results
Volume resitivities of the materials were not
measured practically but noted from the literature
available [11-13].
Collecting all relevant data for different insulating
material samples, log (
v
)/
r
tan was calculated for
each of them. Samples were grouped together
according to thickness and for each group measured
electric strength was plotted against the quantity
log (
v
)/
r
tan.
The plot is as shown in Fig. 2. For thick samples
the slope of straight line is lesser than the slope for
thin samples and this decreases in a regular fashion.
18
Table 1
Material Dielectric Dissipation log( v)/ Thickness Measured Calculated E %
Constant
r
Factor tan
r
tan 't' mm E(kV/mm) (kV/mm) Error
Polyethylene 2.312 0.0035 18.41 0.41 60.02 59.99 0.04
2.401 0.0045 18.28 0.59 50.00 52.32 4.64
2.012 0.0055 18.27 0.82 46.95 44.32 5.60
Fibre-glass 6.321 0.0045 14.20 0.16 46.25 43.56 5.80
6.732 0.0044 14.19 0.34 43.38 44.55 2.69
Leatheroid 4.007 0.0500 10.90 0.15 32.00 33.67 5.21
4.301 0.0610 10.78 0.32 30.46 29.54 3.02
Mica 7.120 0.0050 16.07 0.20 55.00 55.9 1.63
7.128 0.0060 15.99 0.45 50.00 47.96 4.08
7.894 0.0090 15.77 0.88 36.00 34.21 4.90
Empire cloth 2.563 0.0200 15.02 0.15 50.00 52.60 5.20
2.462 0.0250 14.94 0.33 46.06 47.13 2.32
Polyethylene 3.120 0.0050 13.32 0.27 40.00 41.76 4.40
Coated 3.137 0.0060 13.25 0.52 34.57 35.17 1.73
Leatheroid
Kraft paper 2.258 0.4000 8.74 0.41 18.53 19.45 4.90
Estimation of Electric Strength of solid insulating materials with percentage error
Fig. 1. Three-electrode system used to investigate the
relative permittivity and loss tangent
E
1
= 4. 373x - 19.42 (0.1-0. 4 mm)
E
2
= 3. 724x - 17.26 (0. 5-0.7 mm)
E
3
= 3.357x - 17. 15 (0.8-0. 9 mm)
-10
0
10
20
30
40
50
60
70
0 5 10 15 2
x=log(Volume Resi stivity/loss i ndex)
E
=
B
r
e
a
k
d
o
w
n

s
t
r
e
n
g
t
h

(
k
V
/
m
m
)
Fig. 2. Estimation of electric strength
Equations (2) to (4) plotted in Fig. 2. are for three
various thickness groups of samples (0.1-
0.4mm,0.5-0.7mm,0.8-.9mm) while Eq. (5) is for a
particular thickness of 1.397 mm given by Swanson [6].
E
1
= -19.42+4.373 log (
v
)/
r
tan
E
2
= -17.26+3.724 log (
v
)/
r
tan
E
3
= -17.15+3.357 log (
v
)/
r
tan
E
4
= -11.75+2.1875 log (
v
)/
r
tan
Thus all the measured data can be put in the
(2)
(3)
(4)
(5)
Estimation of Breakdown Strength of Solid Insulating Materials in Ambient Medium
19
B = -1.896t + 4.878
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
5
0 0.5 1 1.5
B
Sample thickness (mm)
B-t curve
Fig. 3. Constant 'B' vs. thickness't' curve
form of an equation
E= -A+B log (
v
)/
r
tan
Considering the mean value of a particular range
of thickness of samples, it was observed that that
constant 'B' is inversely related to thickness't' of the
sample. Figure 3 shows a plot between 'B' values
versus thickness't' of sample which is again a straight
line and mathematically expressed as;
B= 4.878-1.896t
Thus final Eq. (6) may be expressed as
E = -16.395+ (4.878-1.896t) log (
v
)/
r
tan
here 16.395 is the average of 'A' values of Eqs. (2)-
(5).
The calculated values using eqs. (7) and measured
values of electric strength of various solid insulating
materials mentioned earlier are listed in Table 1.They
are in quite in agreement with the earlier reported results
[7] and error in most of the cases is within 5 %.
4. Conclusion
Empirical formula suggested as given by Eq. (7)
for estimation of electric strength of solid insulating
material is simple and gives accurate results and thus
may be useful provided thickness is small. It is
(5)
(6)
(7)
expected that the equation obtained will help the
designers as a handy tool for quick estimation of
breakdown strength of solid dielectrics.
References
[1] A.K. Joncher, "Dielectric relaxation in solids",
Chelsea Dielectrics Press, London, (1996).
[2] R. Bartnikas and R.M. Eichhorn (eds.),
Engineering Dielectrics, Vol. II A, Electrical
Properties of Solid Insulating Materials: Molecular
Structure and Electrical Behavior, STP 783,
Philadelphia: ASTM, (1983).
[3] Petru V. Notingher, Laurentiu Badicu,
Laurentiu Marius Dumitran, Gabriel Tanasescu
and Dorin Popa, "Dielectric Losses in
Cellulose-Based Insulations" 7
th
International
Conference on Electromechanical and Power
Systems, Lasi, Romania, (2009).
[4] T.K. Saha, "Review of modern diagnostic
techniques for assessing insulation condition
in aged transformers", IEEE Trans. Dielectr. and
Electr. Insul., 10 (2003) 903.
[5] W.S. Zaengl, "Dielectric spectroscopy in time
and frequency domain for HV power
equipment, Part I: theoretical considerations",
IEEE Electrical Insulation Magazine, 19 (2003) 5.
[6] J.W. Swanson and Fredric C. Dall, IEEE Trans.
Electr. Insul, 12 (1977) 142.
[7] E. Husain, M.M. Mohsin and R.S. Nema, IEEE
Electr. Insul. Dielectr. Phenomena (CEIDP),
(1989) 453.
[8] J. Mort, 8
th
Symposium on Electr. Insul., Japan
(1975).
[9] E.W. Golding, Electrical Measurement and
Measuring Instruments, Wheeler Publication,
London, (1980).
[10] IS: 2584, "Method of Test for Electric strength
of solid insulating materials at power
frequencies", (1963).
[11] Hippel, Dielectric Materials and Applications,
The Technology Press of MIT, Wiley (1954).
[12] F.M. Clark, Insulating materials for design and
Engineering Practice, Wiley, (1962).
[13] Bogoroditsky, Pasynkov and Tareev, Electrical
Engineering Materials, MIR Publications,
(1979).
20
Rainfall and Convective Instability
SATISH PRAKASH
1
, R.K. GIRI
2
* and ADESH
1
1
Meerut College,Meerut - 250 004 (Uttar Pradesh)
2
India Meteorological Department, Lodhi Road, New Delhi -110 003
*E-mail: rk.giriccs@gmail.com
Abstract
Convection and rainfall association is very old and sounding of the atmosphere either remote sensing or
conventional methods can help to know the possibility of it. In this article author describes the brief about the
various thermodynamic indices by conventional methods and utility of other tools like T-Phi gramto measure
the convective instability in the atmosphere. The Convective Available Potential Energy (CAPE) and Convective
Inhibition Energy (CINE) of the year 2002 and 2006 obtained fromradiosonde data (0000 and 1200 UTC) for
Delhi and Chennai. The contrasting behavior of the South West Monsoon season with the help of CAPE and
CINE is also highlighted.
Key words : Convective available potential energy, convective inhibition energy, instability, indices
and T-phi gram.
1. Introduction
Convective precipitation is a major source of
latent heat and major forcing for general circulation
of atmosphere. Global circulation is closely
associated with the large scale precipitation
anomalies, Rasmusson and Carpenter, [31]; Horel
and Wallace, [18] and it is very important in
diagnosing the behavior of global climate. Knowledge
of actual precipitation averaged over large area is of
potentially great importance for general circulation
models of climate, Mintz, [28]. The forecasting of
deep convection involves four steps, Convey et al
[7]: (a) Early warning of convection (b) the
forecasting of convection (3) the detecting and
identifying convection and (4) the forecasting of
convective evolution. Hence forecaster assesses the
potential instability in the environment as well as
possibility of the forcing mechanisms. These
mechanisms are important to trigger the
convection. The various stability parameters
discussed in this paper are primarily derived from
upper air sounding data. Numerical weather
prediction (NWP) model output helps in providing
a clue to forecasting in different time and spatial
domain. For synoptic or meso scale weather
systems various stability parameters like convective
available potential energy (CAPE), convective
inhibition energy (CIN), total-total index, humidity
index, deep convective index, K-index, surface lifted
index, upper level trough and short wave trough
need to be assessed for diagnosis. In this connection
various sources of data like satellite derived cloud
top temperature (CTT), satellite imageries in various
spectral bands like Infrared, Visible and Water vapor,
imagery as well as temperature and moisture profile
data from Polar orbiting satellites and radar based
reflectivity, velocity spectrum etc are available.
Upper air sounding thermodynamic diagram like T-
Phi diagram is also operationally utilized daily in
various weather centers /departments. This diagram
is used to see the areas of positive and negative areas
of instability in the atmosphere. If the positive area
is more than negative area then the air will be more
positively buoyant and responsible for the convective
instability or weather over the area. Figure 9 shows
the isopleths lines in tephigram (temperature
entropy diagram) which are very useful in diagnosing
the processes in the atmosphere. Various processes
are also graphically represented by this diagram and
very useful in the diagnosing the convective activity.
The information of thunder activity or icing
phenomena is very dangerous activity for aviation.
Downdraughts, therefore, can result in fatal
21
accidents, particularly for small aircraft (Figs. 10 &
11).
In this series a large number of studies have
been done by various authors, some of them are
listed below.
Multidecadal trends in tropical convective
potential energy (CAPE), Gettelman et al, [17] for
15 tropical radiosonde stations mostly shows
positive trends during the period 1958-1997. In a
moist atmosphere CAPE can be calculated
troposphere to a finite vertical displacement
represents the conditional stability of the
atmosphere, Emanuel et al, [13]. Many climate
model convective schemes use CAPE as a variable
for calculating convective heating Arakawa and
Schubert [2].
Murugavel et al [23] studied trends of
Convective Available Potential Energy over the Indian
region and its effect on rainfall using 32 stations over
Indian region data from 1984 -2008. They found
that the seasonal variations show that the CAPE is
higher during the monsoon compared to pre-
monsoon or post-monsoon seasons and it suggests
that thermodynamic conditions favourable for high
CAPE together with large-scale dynamics are
necessary for organized monsoon convections over
this region. In comparison with a large increase in
the all-India average of CAPE during monsoon season,
which is about 38 J Kg
-1
year
-1
, the all-India summer
monsoon rainfall increases about 1.3 mm year
-1
. The
systematic increasing trend in Cape May be
compensating for weakening of monsoon circulation
and, thus, maintaining the monsoon rainfall over the
Indian region. Campe et al [8] made a global
climatology of CAPE and CIN is presented in terms
of seasonal means, variances, and trends based on
44 years (1958-2001) of six-hourly ERA-40
reanalysis (European Centre for Medium-Range
Weather Forecast ECMWF, T106 resolution). They
have found that CAPE shows large values and high
variability in the tropics with maxima over the
continents; the seasonal changes are dominated by
specific humidity. CIN shows large means and
variability in the subtropics.
Campe et al [9] found that the memory of
convective precipitation is estimated via the analysis
of the convective parameters convective available
potential energy (CAPE) and convective inhibition
(CIN). Regional and global memory in CAPE and CIN
is compared between observations (ECMWF re-
analysis, in 1979-2001) and simulated data
(ECHAM5/MPIOM, 20C simulation, in 1900-2001).
Both datasets agree on the memory pattern in CAPE
and CIN with highest values of the Hurst exponent
along the equatorial Pacific which decrease towards
higher latitudes; however, longest memory up to
decades is found in CAPE south-east of Greenland.
CAPE denotes the potential energy available to form
cumulus convection which leads to convective
precipitation. The energy is characterised by a
positive virtual temperature difference between an
idealised rising air parcel and its environment. On
the other hand, CIN denotes the energy needed by
the parcel to overcome the boundary layer to reach
the CAPE above. Therefore, high values of CAPE
do not necessarily lead to convection, if the ascent
of air is prevented by a stable boundary layer
indicated by also high values of CIN.
CAPE and CIN have been used for severe
weather analysis and forecasting, Colby, [10];
Rasmussen and Blanchard, [32], Craven et al [11];
Markowski et al [24], Mukhopadhyay [25] Brooks
et al [3, 4], Doswell and Evans [12]. CAPE is also
used in cumulus parameterisation in general
circulation models, Moncrieff and Miller, [26],
Ye et al [40]; Washington and Parkinson, [41], Schulz, [35].
High values of CAPE do not necessarily lead to
strong convection, as the simulated air parcel needs
to overcome a usually stable layer between the
surface (SFC) and LFC. The intensity of this stable
layer is defined by CIN. The temperature difference
between the same rising air parcels as in CAPE is
calculated between SFC and LFC, Williams and
Renno [42].
( )
ln( )
LFC
d ve vp
SFC
CIN R T T d p =
CAPE is defined as the positive temperature

difference between an idealized rising air parcel T
vp
and its environment T
ve
within two specific height
levels multiplied with the gas constant of dry air Rd
Emanuel [15].
( )
ln( )
LNB
d vp ve
LFC
CAPE R T T d p =
As moisture is taken into account the virtual

temperature TV is used. The air parcel rises dry
22
adiabatically from the surface to the lifting
condensation level (LCL). Above the LCL the parcel
rises pseudo adiabatically which means that
condensate moisture will immediately fall out of the
parcel as rain. CAPE is calculated between the level
of free convection (LFC) and the level of neutral
buoyancy (LNB) referred to as bottom and top of
the cloud. Surface based CAPE is calculated pseudo
adiabatically from temperature (T) and relative
humidity (RH) fields on 13 vertical pressure levels
between 1000 hPa and 100 hPa. These parameters
are derived globally from ERA-40 datasets Kllberg
et al., [20]. Salvati and Berlusconi [36] show that
thunderstorm occurrence is still a difficult task for
both NWP models and weather forecasters due to
the small spatial and temporal scales involved. The
low predictability of convective phenomena still
justifies the operational practice of using empirically
developed stability indexes to evaluate the
atmospheric potential for storm development. To
be used effectively indexes and reference thresholds
should be verified and tuned using local storm
climatology.
Over Indian scenario various authors, Srinivasan
et al [37]; Ravi et al [33]; Patra et al [29]; Singh and
Giri [38] studied the thermodynamic indices to
study the convection over the area. The calculation
of the indices of instability Total-Totals and Showalter
index is useful for convective analysis. The
assessment of profiles of potential temperature (),
equivalent potential (
e
) and saturation equivalent
potential (
es
) provided the thermodynamic
behavior of the structure and dynamics of the
atmosphere.
The weather has a direct influence on our daily
lives, the more are the wild weather conditions, the
greater the impact in various activities that we
undertake daily. The most impressive meteorological
phenomena that are severe storms with gusts of
wind, hail, and prolonged droughts, heat waves over
or extreme cold, flooding and/or flooding. The
economic and social damage caused by severe
storms can reach large areas such as agriculture,
livestock, and enrooting houses, break windows,
cars, damage to power lines, traffic jams, falling trees
and advertising board.
2. Aims and Objectives
Convection and its evaluation is very
comprehensive task and depends in-situ as well as
remote sensing measurements. These measure-
ments access it based on the atmosphere under-
standing and algorithms or formulas. As the
convective potential is the prime base of weather
activity its assessment in a proper way can improve
the forecasting as well as understanding of the
complex understanding of the land, ocean and
atmosphere. In this present paper, author's tries to
explain the various thermodynamic parameters used
to access the stabilities or instabilities in the
atmosphere through upper air sounding data. The
use of CAPE and CINE for the contrasting monsoon
year 2002, 2006 is explained. This upper air
sounding for the atmosphere is operationally done
at 0000 and 1200 UTC daily all over the globe. India
Meteorological Department (IMD) has a network
of 39 upper air observations over Indian region. The
information received from upper air soundings is
very useful in validating the remotely sensed data as
well as to know the vertical structure or convection
in the atmosphere surrounded by the station.
3. Database and Methodology
The upper air sounding data used for the study
is taken from the global web link: http://
weather.uwyo.edu/upperair/sounding.html). The
Indian Summer Monsoon Rainfall (ISMR) data is taken
from India Meteorological Department, Lodi Road,
New Delhi. The methodology adopted here is based
on the assessment of convection using upper air
sounding data. The CAPE shows the connective
potential of the different layers of the atmosphere
and CINE is the inhibition threshold. There should
be optimum balance for rainfall and persistent
convective activity. These energies (CAPE or CINE)
are region specific and have different threshold for
different regions of the country or globe. This is
because the tropical and extra tropical convection
have different characteristics. The upper data
derived CAPE, CINE thermodynamic indices for
contrasting monsoons helps to understand the
anomalous behavior of summer monsoon.
Comparison of CAPE and CINE with ISMR (2002 &
2006) is also brought out to signify the importance
of the above said indices.
4. Results and Discussion
The results or discussions of this article are
based on the role of different parameters or
subgroups used in assessing the convection.
23
4.1 CAPE and CINE
The CAPE and CINE values are closely
associated with the convective activity or instability
in the atmosphere. Instabilities in the atmosphere
can be monitored or calculated by various
Thermodynamic diagrams like one T-Phi gram
which is widely used for assessing the instabilities in
the atmosphere by measuring the positive area over
the region around the station from quite old times.
Similarly several indices derived from radiosonde
data is another way of assessing the convection and
the range of these parameter will be different from
region to region. As the availability of the moisture
in tropics is inhomogeneous in both time and space
which in turn decides the variability of convection.
In this paper an effort has been made to bring out
the CAPE and CINE values for two contrasting years
(2002 and 2006) which are monsoon deficient and
normal rainfall years for the country as a whole. For
Delhi the departure for monsoon season for 2002
and 2006 is -39% and -24% respectively which lies
in monsoon deficient regime. Similarly for Chennai
2002 seems to be drought year and 2006 is normal
for SW monsoon season. Figures (1-8) represent
the CINE and CAPE values for Chennai and Delhi
(2002 & 2006) respectively. In the Figures Morning
values represents 0000 UTC and Evening 1200 UTC
respectively. It has been seen from the Figs. (2 & 4)
that there is a 38% increase of CAPE in the year
2006 as compared to the year 2002 for Chennai.
Delhi Radiosonde data after June 2006 was not
available so indices could not be derived. It is clear
Fig. 1. CINE of Chennai for the year 2002, 0000 UTC and
1200 UTC observations
Fig. 2. CAPE of Chennai for the year 2002, 0000 UTC and
Fig. 3. CINE of Chennai for the year 2006, 0000 UTC and
Fig . 4. CAPE of Chennai for the year 2006, 0000 UTC
and 1200 UTC observations
24
( )
=
2
2
N
Ri
dU
dz
from the Figs. (6-8) that the value of CAPE for the
contrasting year 2002 & 2006 is more than 42%
which will be the indication of more convection
generated especially in 1200 UTC more prominent.
In the same time the value of convective inhibition
also plays an important role in obstructing the
triggering the convection energy. This capping type
of inversion obstructs the precipitation. It is brought
out from the study that for Delhi the morning time
the average value of CAPE at 0000 UTC was more
than 1200 UTC and on the same time the value of
the CINE is also higher. It is seen that although CAPE
value is supported the possibility of thunder but
CINE inhibit its action and in some cases even low
value of CAPE and higher value of CINE results
thunder and precipitation. So, the convection
instability in the atmosphere also changes with the
local environments and sources of moisture
transport, direction and persistency of meso as well
as synoptic scale weather systems. The day to day
variability of the CAPE and CINE suggests the surges
or phases of the available moisture during monsoon
season. Some times continuous two to three days
we have sufficient energy in the atmosphere for
persistent moisture availability or convective
instability. The degree of thunderstorm days are
more in the June month of the year 2006 as
compared to the year 2002 for Delhi. This may be
due to the less value of CINE and capping inversion.
For Chennai the June and July month of the year
2002 do not have the sufficient convection energy
which results very less amount of precipitation, Figs.
(2 & 4) and Table 1. Chennai area normally comes in
rain shadow region for South West monsoon season.
The possibility of rainfall in the month of October is
again prominent as the Easterly wave brings the
moisture during North East monsoon season. This
is clearly seen the increase values of CAPE for both
the years (2002 & 2006). The average values of
CAPE and CINE are higher for the year 2006 as
compared to the year 2002. The values of CAPE in
the evening time are generally higher as compared
to the morning (0000 UTC). Year 2002, Chennai
June and September month shows negative linear
trend of CAPE from the beginning to ending of the
month whereas the July and august months CAPE
shows positive linear trend for both 0000 and 1200
UTC. Similarly, for the year 2006 of Chennai the
June and July month for both 0000 and 1200 UTC
shows positive linear trend in CAPE values whereas
August and September months shows negative linear
trend of CAPE. June and August month of Delhi for
the year 2002 shows monotonically increasing linear
trend of CAPE whereas July and September shows
almost constant linear trend for both 0000 and 1200
UTC. Almost the same trend for both Delhi and
Chennai CINE values shows for both the years 2002
and 2006. The June month of Delhi for the year
2006 shows positive linear trend of CAPE and CINE
values.
4.2 Convective vertical Current and Turbulence
Table 2 shows the vertical currents due to
convection and associated turbulence based on
World Meteorological Organization (WMO)
convection. Table 3 shows the brief description of
commonly used thermodynamic indices to measure
the convection in the atmosphere. The convection
potential like weak, moderate or severe is based on
the local conditions, geography or topography over
the area. The convection and associated weather is
reshaped or modified by the hilly or valley, plain or
coastal areas. In this way, the impact associated by
the mesoscale or synoptic scale weather is also
different in different areas.
4.3 Richardson Number
Kelvin-Helmholtz instability can be evaluated via
reference to the Richardson number Ri which itself
is the ratio of the turbulence production by static
instability to the one by shear
where, N being the Brunt-Vaisala frequency.
In the above equations U is the wind speed, g
the gravitational acceleration (about 9.8 m/sec),
the potential temperature, and z height. Note that
even in the stratosphere where static stability is
high, turbulence and breaking waves can still be
generated if the wind shear is of sufficient magnitude.

=
2
g
N
d
dz
25
Fig. 7. CINE of Delhi for the year 2006, 0000 UTC and
Fig.9. The isopleths on a tephigram (source: http://
cirrus.unbc.ca/408/lab3/index.html)
Fig. 10. Winds hear. How a downdraught would affect the
flight path of an aircraft if the pilot failed to correct for the
gain and loss of lift (Source: WMO aviation hazard manual,
ETR 20, page 3)
Fig. 6. CAPE of Delhi for the year 2002, 0000 UTC and
Fig. 5. CINE of Delhi for the year 2002, 0000 UTC and
Fig. 8. CAPE of Delhi for the year 2006, 0000 UTC and
26
Values of Ri less than 0.25 will allow the production
of 'breaking waves'. Values of between 0.25 and 1.0
Fig. 11. Maritime Convective Cell patterns, and related surface wind speed. From Pearson and Stogaitis, 1998.
2002 (Chennai) SW Monsoon June July August September
% departure % departure % departure % departure % departure
-19 -59 - 37 -9 4
2006 (Chennai) SW Monsoon June July August September
% departure % departure % departure % departure % departure
-2 3 -10 -7 7
2002 (Delhi) SW Monsoon June July August September
Season (2002) % departure % departure % departure % departure % departure
-39 -9 -92 -42 51
2006 (Delhi) SW Monsoon June July August September
Season (2006) % departure % departure % departure % departure
-24 54 -16 -64 -1
Rainfall Departure of SW monsoon season (2002 & 2006) for Chennai and Delhi
Source: India Meteorological Department, New Delhi
Table 1
with day to day or seasons depending on the type
of weather system approaches or affected. In this
paper authors is not carried out any such study but
only brief description has been given for the
completeness of the article on convective instability.
4.5Verification Matrix
Table 4 shows the verification of convective
activity based on the skill scores of the event
captured well or not or its occurrence or absent.
This verification is a also not done in the paper but
for completeness of the article this table is enclosed.
will allow the persistence of turbulence, whereas
values greater that 1.0 will tend to cause any existing
turbulence to subside (Source: WMO aviation hazard
manual, ETR 20, page 16).
4.4 Thermodynamic Indices and Convection
Table 3 shows the various thermodynamic
indices and associated weather of possible mode of
intensity (weak, moderate or severe) of convection.
These parameters are locally modified and variable
27
Table 3
Thermodynamic indices
Index Reference Formula used Comments
K George (1960) (T+Td)850-T500-(T700-Td700) T and Td are dry bulb and dew
point temperature
Total -Total Index (TTI) Miller (1967) 2( T850-T500)-(T850-Td850) Notations same as above
Surface lifted Index (SLI) Means (1952) T500-Tsfc500 T is the environmental
temperature (C) at 500 hPa. Tsfc500
is the temperatureof the parcel at 500
hPa after it is lifted dry adiabatically
from surface (sfc) to its condensation
level.
Humidity Index Litynska et al (1976) (T-Td) 850+ (T-Td)700+ Notations as above
(T-Td) 500
Deep Convective Index Barlow (1993) (T+Td)850-SLI Notations as above
(DCI)
Showalter Index (SI) Showalter, 1953 T500-Tp500 Tp500 is the 500 hPa temperature if a
parcel will achieve if its lifted dry
adiabatically from 850 hPa to LCL and
then Moist adiabatically to 500 hPa
Table 2
Typical vertical currents due to convection
Regime Vertical velocity Turbulence
(m/s) ~kt ~ft/min
Small/medium Cumulus 1-3 2-6 200-600 Light
Towering cumulus 3-10 6-20 600-2000 Moderate
Cumulonimbus 10-25 20-50 2000-5000 Severe
Severe storms (eg in USA) 20-65 40-130 4000-13000 Extreme
Dry thermals 1-5 2-10 200-1000 Light/Moderate
Downdraughts 3-15 6-30 600-3000 Moderate/Severe
Downdraughts up to -25 up to 50 up to 5000 Extreme
Source: WMO aviation hazard manual, ETR 20, page 5
28
Showalter Index (SI) Activity
SI +3 Indicative of showers and possible thunderstorm activity
SI -3 Indicative of severe convective activity
Index {K Index (K)} Activity
K<15 Indicates very weak potential of thunder activity
15<K< 20 (20 %) Indicates weak potential of thunder activity
21<K<25 (20-40 %) Indicates some potential of thunder activity
26<K<30 (40 -60 %) Indicates good potential of thunder activity
31<K>35 (60 -80 %) Indicates very good potential of thunder activity
36<K<40 (80-90 %) Indicates strong potential of thunder activity
K>40 (~ 100 %) Indicates very strong potential of thunder activity
Total -Total Index(TT) Activity
44>TT<50 Indicates possibility of thunder at isolated places or few places
50<TT55 Indicates the possibility of moderate thunder activity at widespread places
TT>55 Indicates the possibility of severe thunder activity at fairly widespread places
Lifted Index (LI) Activity
LI~0 Indicates very weak possibility of thunderstorms
0<LI<-3 Indicates possibility of weak to moderate thunder activity
-3<LI<-6 Indicates the possibility of moderate to severe thunder events
-6<LI <-9 Indicates the possibility severe thunder events
LI<-9 Indicates the possibility of very severe thunder events
Deep Convective Index (DCI) Activity
DCI<30 Indicated very weak potential of thunder activity
30<DCI or higher Indicates strong thunder activity
Convective Available Potential Activity
Energy (CAPE) (J/kg)
CAPE < 0 Indicates stable atmosphere with no possibility of thunder events
0 <CAPE <1000 Indicates marginally stable atmosphere with the possibility of thunder at isolated or few
places
1000 < CAPE < 2500 Indicated moderately unstable atmosphere and possibility of thunder at few places
2500 < CAPE <3500 Indicates very unstable atmosphere and the possibility of thunder at few of fairly widespread
places
CAPE >3000-4000 Indicated extremely unstable atmosphere and the possibility of thunder at most places
Convective Inhibition Energy Activity
(CIN) (J/kg)
It will be zero to negative values. CIN represents the amount of negative buoyant energy available to inhibit or suppress
High CIN values in the presence upward vertical acceleration. It is basically is the opposite of CAPE and represents the
of little or no lift can cap or suppress negative area in sounding.
convective development, despite
possibly high CAPE values.
Surface based lifted index (SLI) Activity
More prominent during afternoon Parcel is lifted from the surface using surface-based moisture and temperature values,
hours where surface characteristics as well as assigned environmental temperatures at 500 mb. More instability resides above
are similar to those in the lowest the surface, and parcels may be lifted to form thunderstorms from the top of the inversion.
29
50 to 100 mb layer.
Bulk Richardson's Number (BRN) Activity
BRN <10 Strong vertical wind shear and weak CAPE. The thunder activity may develop.
10 <BRN <15 It indicates with the weak to moderate thunder events at isolated to few.
BRN >50 Relatively weak vertical wind shear and high CAPE and possibility of moderate to severe
thunder activity at fairly widespread places.
Source: http://www.teachingboxes.org/avc/content/Severe_Weather_Indices.htm
Table 4
Thermodynamic indices
A (Hits) B (Misses)
C (False alarms) D (Non -event hits)
POD (Donaldson et al. 1975) A/(A+B) 0 POD 1
FAR (Donaldson et al. 1975) C/(A+C) 0 FAR 1
CSI ((Donaldson et al. 1975) A/(A+B+C) 0 CSI 1
TSS (Hansen and Kuippers 1965) (A/ (A+B) -(C/(C+D) -1 TSS 1
HSS (Brier and Allen 1952) 2(AD-BC)/(A+B)(C+D)+(A+C)(C+D) -1 HSS 1
Source: Brier, G.W. and R.A. Allen, 1952
5. Conclusion
The rainfall and convection are associated
mutually and upper air sounding and derived
parameters play an important role in assessing the
convective instability in the atmosphere. The
present article focuses on various thermodynamic
indices by conventional methods and utility of other
tools like T-Phi gram to measure the convective
instability in the atmosphere. The Convective
Available Potential Energy (CAPE) and Convective
Inhibition Energy (CINE) of the year 2002 and 2006
obtained from radiosonde data (0000 and 1200
UTC) for Delhi and Chennai have been analyzed and
found in close association with the rainfall as seen
the graphs given for Delhi and Chennai. The local
factors like Chennai come in rain shadow region for
ISMR but Delhi is in plain area. The triggering
mechanisms will also be different and the type of
approaching or affecting system duration and
intensity, persistency and movement will be different.
This viewpoint is clearly seen in the graphs like
CINE, because even higher value of CINE and low
value of CAPE can produce good rain. This indicated
that the mutual association of these parameters is
very complex and can not be understood fully by
CAPE, CINE or few thermodynamic parameters.
The other sources like satellite radiance or Doppler
Weather Radar or Automatic weather observations
and numerical model outputs products will be
essential to understand the weather activity
dynamics or structure.
Acknowledgement
The authors are grateful to the Director General
of India Meteorological Department, Lodi Road,
New Delhi and University of Wyoming [39] for the
data used in the study. Some of the terminology
and figures used from WMO documents in the study
are duly acknowledge.
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Mohammad Danish
32
Optimized Private Searching in World of Web
MOHAMMAD DANISH
Al-Falah School of Engineering& Technology, Dhauj, Faridabad (Haryana)
E-mail: mohammaddanish85@gmail.com
Abstract
Encrypted search - performingqueries on protected data - has been explored in the past; however, its inherent
inefficiency has raised questions of practicality. Here, we focus on improvingthe performance and extending
its functionality enough to make it practical. We do this by optimizingthe system, and by steppingback fromthe
goal of achieving maximal privacy guarantees in an encrypted search scenario and consider efficiency and
functionality as priorities.
We design and analyze the privacy implications of two practical extensions applicable to any keyword-based
private search system. We evaluate their efficiency by buildingthemon top of a private search system, called
SADS [1, 2]. Additionally, we improve SADS performance, privacy guaranties and functionality. The extended
SADS systemoffers improved efficiency parameters that meet practical usability requirements in a relaxed
adversarial model. We present the experimental results and evaluate the performance of the system. We also
demonstrate analytically that our scheme can meet the basic needs of a major hospital complex's admission's
records. Overall, we achieve performance comparable to a simply configured MySQL database system.
Key words: SADS , query router, search.
1. Introduction
Encrypted search - querying of protected data
has come into the foreground with growing concerns
about security and privacy. There are many variants
of the problem that protect different things: the
searchable data, queries, participant identities, etc.
Existing schemes also differ in their expected
operational environment. The majority of encrypted
search mechanisms are concerned with data
outsourcing and to a lesser degree in data sharing.
Data outsourcing [4] concerns the case where one
party wants to store its encrypted data on an
untrusted server and be able to search it later. Data
sharing involves one party who provides limited
search access to its database to another. These
two settings require different privacy guarantees of
an encrypted search system; data outsourcing is
not concerned with protecting the data from the
queried, since he is the owner. Furthermore, specific
implementations may return different things (e.g.,
number of matches, document identifiers, related
content, etc.) or may differ in numbers of
participants, trust assumptions, anonymity
requirements [7], revocation of search capability and
other areas. All of these factors affect performance.
Choosing a different definition of "sufficient" privacy
can greatly affect inherent cost. Making the right
choice, in accordance with the actual, rather than
theoretical, threat model can lead to a very
functional system, rather than one that is
theoretically perfect but unusably costly in practice.
In this paper we step back from absolute privacy
guarantees in favor of efficiency and real-world
requirements. These requirements include not just
what may leak, but to whom; depending on the
particular practical setting there may be parties who
are at least partially trusted. Our goal is to describe
and build systems that meet the privacy guarantees
33
matching the actual goals for a given scenario, so
that we may improve efficiency. Towards this end,
we present a set of generic extensions, applicable
to any keyword- based private search system [5,
6]. We discuss the importance of each of these, the
challenges for their secure implementation and
analyze their privacy implications in terms of leakage.
To evaluate their efficiency, we developed them on
top of SADS, an efficient private search system that
uses Bloom filters. In addition, we describe and
implement a number of new features in SADS that
improve its performance, privacy guarantees and
functionality. Finally, we describe and analyze the
performance of the extended SADS system in a real-
world scenario, using health records [9].
2. Secure Anonymous Database Search
The secure anonymous database search (SADS)
scheme [27] provides the following search
capability: it allows a search client (C) with a
keyword to identify the documents of a database
owner/server (S) containing the keyword without
learning anything more or revealing his query. For
this purpose the architecture of the system involves
two semi-trusted parties: index server (IS) and query
router (QR), which facilitate the search. In summary
the scheme works as follows: the database owner
computes search structures for his database - a
Bloom filter (BF) per document built from the
encryptions of all words of the document. Each
authorized client receives keys that he uses to
submit queries and decrypt the results; the QR
receives corresponding transformation keys for the
queries of that client. To submit a query, C
computes an encryption of his query and sends it to
QR. QR verifies that the client is authorized,
re-encrypts the query with the corresponding
transformation key, computes and sends the BF
indices obtained from the encryption to IS. IS
performs search across the BFs it stores, encrypts
the identifiers of the matching documents and sends
them to the QR; QR transforms the encryptions
and de- livers them to the client, who decrypts them
to obtain his search results.
The original implementation of SADS also
includes a couple of optimizations/features enabled
by the use of BFs. First, storing the BFs in
transposed order - called slicing optimization
minimizes the number of bits that need to be read
during search. That is because only bit slices
corresponding to specific indices are read during a
query and not all the BFs. This approach has two
main benefits. First, it has better cache behavior
[9-11] because it fetches each slice once and uses it
for all the result vectors; second, in some cases it
avoids reading several slice portions if the
corresponding bits of all the result vectors have been
zeroed out. In addition, SADS also supports Boolean
queries. One naive way to do this is to search for
each term separately and union or intersect the
results. However, BFs can more efficiently handle
ANDs by combining indices into a superset, and
ORs are handled in parallel by the slicing
optimization.
Fig. 1. Optimization methodology
3. Document Retrieval
There exist many systems for searching
databases to privately identify items of interest. An
extension of obvious use is a system to then retrieve
those items privately. One way to do this is with
private information retrieval techniques; however
these are very ex-pensive and can be even more
expensive when fetching large numbers of records,
or records of individually great size. We present a
system that is much more efficient, at the cost of
requiring a trusted third party, and can be modularly
implemented to extend any private search system
that returns handles representing matches.
Systems both with and without document
retrieval have practical use. For example, a user may
Mohammad Danish
34
simply wish to establish that a server does have
documents of interest to him, or may wish to
determine how many are of interest, or learn about
certain qualities concerning the data held there
(subject to the search permissions granted by the
server). Furthermore, even in systems that include
document retrieval, separating this functionality from
query is worthwhile. For example, the server may
be running a paid service, and allow the user to
operate in an initial stage wherein he determines
what he wants, and a bargaining stage wherein they
negotiate pricing, before purchasing the actual
content.
Document retrieval [12-14] poses its own
challenge, especially when the data is not owned by
the party retrieving it. In this scenario, returning
additional data is a privacy leak for the data owner;
at the same time, revealing the matching documents
to the owner is a privacy leak for the retriever.
Thus, the strongest security we would want to aim
for would require us to touch the contents of the
entire database [9]. This is a prohibitively expensive
cost for applications that aim to work in "real time"
over a large data set. One way to avoid this cost is
to relax our security definition and allow leak-age of
the retrieval pattern (i.e. whether separate retrieval
attempts touched the same documents). In the case
of data outsourcing, this amount of privacy leakage
easily suffices, since the untrusted server just
searches for and returns the encrypted files that he
stores to the owner who has the corresponding
decryption keys [4, 8, and 13]. This approach,
however, is not applicable to the case of data sharing,
where leaking the matching documents to the owner
reveals more than the result pattern: he also knows
the content of the documents, from which he can
infer information about the query.
4. Database Updates
So far we have assumed that the server's
database does not change. It is preprocessed once
in the beginning and from that point on the same
data is used to answer all queries from the clients.
However, in many practical situations the data of
the server changes dynamically, which should be
reflected correspondingly in the query results
returned. The naive solution [18] to run the pre-
processing preparation of the database each time it
changes brings prohibitive efficiency cost. We would
like to avoid processing each record in the database
for updates that affect a small fraction of it. From a
different point of view, though, the updates of the
database can be considered private information of
the server and thus the information about what
records have been changed is a privacy leakage
[19, 24 and 25] to any other party (in our case to
the IS who holds the Bloom filter search structures).
This type of leakage comes inherent with the
efficiency requirement we posed above-if the update
processing does not touch a record, clearly it has
not been modified. Therefore, we accept the update
pattern leakage as a necessary privacy trade-off for
usable cost of the updates.
Now we look at the specific information that
changes at the IS in the SADS scheme, and consider
whether it has leakage beyond the update pattern
of the documents:
Bloomfilters: As we discussed before, if we use the
same hash function for the Bloom filters of all
documents, then the search structures reveal the
similarities between documents. In the case of an
update this would be indicative to what fraction of
the content of the document has been changed. If,
however, each BF has a different set if hash functions,
the update of a document would also include a
selection of a new set of hash functions for its BF as
well. The only information that the IS could derive
from the update will be the change of the length of
the document based on the number of 1's in the BF.
However, this information can be obtained also from
the length of the encrypted document that the IS is
storing. In both cases, we can eliminate this leakage
by padding the documents.
5. Optimizations
During the preprocessing stage, for each
database document a Bloom filter containing its
keywords is generated. In the SADS scheme, adding
a keyword to the BF of a document involves
encrypting the keyword under the server's key.
Thus, preprocessing documents containing the same
35
keyword incurs repeated effort. In order to avoid
this unnecessary preprocessing cost, we can cache
the BF indices for keywords. This avoids some
re-computation, but requires additional storage
space. Whether to do this, and how much to cache,
depends on the nature of the documents and
repeat frequency. This is also applicable in the case
when multiple hash functions are used where the
preprocessing of a keyword is not identical but shares
a common and expensive intermediary result that
can be reused. The caching capability we implement
uses LRU removal policy [14, 17].
In addition, SADS preprocesses each item of
the dataset independently (i.e., computes the BF
search structure for it), and furthermore, it handles
the elements of each item separately (each word/
value is inserted into the Bloom filer after a
cryptographic transformation). This computational
independence makes for simple and robust
parallelization. The search phase, especially when
using multiple hash functions, also permits
parallelization of the computation of the search
indices for a query. We used the open source
Threading Building Blocks library [21] to implement
the parallelization optimization. It is easy to use and
well-integrated with C++. After analyzing the
source code we found out that there is just one
integer counter that we need to synchronize among
the different threads: the Bloom filters counter.
It took roughly 10 lines of code to parallelize the
entire preprocessing phase - similar for the search
phase too.
6. Evaluation
To evaluate the practicality of our proposed
extensions we implemented them in SADS (roughly
4 Klocs of C++ code in total) and we performed a
number of measurements using realistic datasets:
(i) the email dataset that was made public after the
Enron scan- dal [31] and (ii) a synthetic dataset with
personal information for 100K persons. The Enron
dataset consists of about half a million emails with
an average size of 900 bytes after stemming. During
the preprocessing phase of SADS, a distinct Bloom
filter for each email was created. Then, each of the
email files was tokenized and the tokens where
stored in the corresponding Bloom filter, after they
were properly encrypted. The format of the second
dataset is more close to a database than a collection
of documents. Its schema consists of a single table
with 51 attributes of three types: strings (first name,
last name, etc.), numbers (height, SSN, etc.) and
file links (fingerprint, private key, security image, etc.)
and it is stored in a flat CSV (Comma Separated
Value) file. The total size of that dataset, along with
the files pointed in the records, is 51GB and the
average size for a record is 512KB. During the
preprocessing phase we created a distinct Bloom
filter for each record and each of the attribute values
where inserted after it was prefixed with the
attribute name ("name_value") and properly
encrypted. In both cases, we configured the BF
parameters so as the false positive rate would be
less than 10
-6
.
7. Search Performance
The introduction of the multiple hash functions
feature in SADS poses a trade-off between efficiency
and privacy. Not only because of the higher
computation overhead has it added but also because
it is in- compatible with the slicing optimization. In
this section we explore in detail the effects of the
multiple hash function scheme and also how parallel
search could help amortize some of the
performance penalty.
The search time reported in this figure is the
total time elapsed from the point when the client
issues the query to the QR until it receives the set
of matching document IDs if any no document
retrieval. As expected, the average query time grows
linearly using the original SADS configuration, as the
actual search is done linearly over all the Bloom filters.
Next, we can see that the slicing optimization greatly
reduces search time to a point that it seems almost
constant across different dataset sizes.
8. Document Retrieval
We implemented document retrieval using PH-
SAEP and standard RSA signatures to sign query
results. Using PH-SAEP puts a (likely over-
restrictive) limit on the length of plaintext values.
Mohammad Danish
36
To handle this, we encrypt larger files using AES
private key encryption, and store the key encrypted
with PH-SAEP as a header in the encrypted file. The
files can thus be read by decrypting the header with
the appropriate PH-SAEP key and using the result
to decrypt the content of the file.
9. Related Work
Most of the existing constructions providing
encrypted search capabilities aim to solve the case
of database outsourcing [4-6, 8, 13]. In this setting
a party outsources the storage of his database to an
untrusted server and wants to enable the server to
execute searches on his behalf without learning
information about either the data or the query.
Unlike the data sharing scenario that we consider,
this setting does not impose privacy requirements
for the data with respect to the querier. A common
technique in encrypted search schemes [4, 13] is
to use trapdoors derived from query terms that
enable the server to determine if a cipher text
matches the specific term. This implies the search
complexity will be at best linear in the number of
searchable tokens. A different approach in the
setting of database outsourcing is to use inverted
indices, where the search structures directly map
all possible search terms to matches [8, 13]. Search
then consists of finding the appropriate entry in the
search structure for a given query's trapdoor. Such
solutions leak the search pattern across a sequence
of queries and are not easily extendable to allow
more complicated queries beyond exact match
when we need to preserve the privacy of the
database from the querier.
Protecting the search pattern imposes efficiency
costs. Bellare et al. [22] showed that in order to
achieve sublinearity of the search complexity over
encrypted ciphertexts, deterministic encryption is
required, which leaks the search pattern. The works
of [24] and [17] combine the idea of using
deterministic encryption with Bloom filters [3] as
search structures. However, the Bloom filter search
structures constructed in these works leak the
similarity of the underlying documents to the party
who uses them for search. The work of [12] offers
a scheme that exchanges search pattern leakage for
efficiency improvement. While the suggested
approach achieves sub linearity of the search
complexity in terms of the number of searchable
records, using preprocessing that transforms
searchable tokens occurring in multiple records
with unique tokens per record, it still requires time
linear in the number of all searchable tokens
contained in the matching records. Thus this solution
is appropriate for scenarios with small numbers of
searchable tokens per record; its efficiency
improvements do not suffice in the case of long
documents that contain many searchable keywords.
10. Conclusion
When we consider the question of secure
search in practical settings, the privacy guarantees
of a scheme are no longer the only relevant issue: a
perfectly secure scheme that no one can use
provides no actual privacy. The efficiency of an
approach becomes a major factor in determining
its usability given the available resources.
We adopted the relaxed security model of the
SADS scheme; we extended its functionality by
constructing a document retrieval protocol that runs
in time proportional to the size of the returned set
of documents and by providing range queries over
integer data at a cost comparable to simple keyword
queries in the average case. Both extensions take
no advantage of any specific feature of SADS, making
them applicable to any keyword-based private
search sys-tem. Additionally, we improved SADS
by: (i) providing a protocol that facilitates database
updates without requiring processing of the whole
database, (ii) using different hash functions for
different BFs which provide better privacy
guarantees and (iii) developing two implementation
level optimizations, parallelization and caching.
The experimental results for the extended SADS
system demonstrate its practicality: we achieve
search and document retrieval time which is on the
order of the time of ssh transfer and much better
than the results from the most recent PIR
implementation presented in [28] (note that the PIR
protocol actually has weaker privacy guarantees than
37
what we need since it does not provide database
privacy), while we provide better privacy guarantees
than the original SADS. In other words, we have
provided strong- enough security and privacy, and
at an acceptable cost.
References
[1] William Aiello, Yuval Ishai and Omer Reingold,
Priced oblivious transfer: How to sell digital
goods. In Proceedings of EUROCRYPT'01,
London, UK, (2001).
[2] John Bethencourt, Amit Sahai and Brent
Waters, Ciphertext-policy attribute-based
encryption. In: Proceedings of S & P'07,
Washington, DC, USA, (2007).
[3] Burton H. Bloom, Space/time trade-offs in
hash coding with allowable errors.
Communications of the ACM, 13 (1970) 422.
[4] Dan Boneh, Giovanni Di Crescenzo, Rafail
Ostrovsky and Giuseppe Persiano, Public key
encryption with keyword search. In:
Proceedings of EUROCRYPT'04, (2004).
[5] Dan Boneh, Eyal Kushilevitz, Rafail Ostrovsky
and William E. Skeith III, Public key encryption
that allows PIR queries. In: Proceedings of
CRYPTO'07, (2007).
[6] Dan Boneh and Brent Waters, Conjunctive,
subset, and range queries on encrypted data.
In Proceedings of TCC. Springer, (2006).
[7] Ran Canetti, Security and composition of
multiparty cryptographic protocols. Journal of
Cryptology, 13 (2000).
[8] Yan cheng Chang and Michael Mitzenmacher,
Privacy preserving keyword searches on
remote encrypted data. In: Proceedings of
ACNS, 3531 (2005).
[9] Benny Chor, Niv Gilboa and Moni Naor,
Private information retrieval by keywords.
Technical Report TR-CS0917, Dept. of
Computer Science, (1997).
[10] Benny Chor, Oded Goldreich, Eyal Kushilevitz
and Madhu Sudan, Private information
retrieval. J. ACM, 45 (1998) 965.
[11] Giovanni Di Crescenzo, Tal Malkin and Rafail
Ostrovsky, Single database private information
retrieval implies oblivious transfer. In:
Eurocrypt (2000) 122.
[12] Emiliano De Cristofaro, Yanbin Lu and Gene
Tsudik, Efficient techniques for privacy-
preserving sharing of sensitive information. In:
Trust, (2011).
[13] Reza Curtmola, Juan Garay, Seny Kamara and
Rafail Ostrovsky, Searchable symmetric
encryption: improved definitions and efficient
constructions. In: Proceedings of CCS'06, ACM,
(2006).
[14] Emiliano De Cristofaro, Stanislaw Jarecki, Jihye
Kim and Gene Tsudik. Privacy-preserving
policy-based information transfer. In:
Proceedings of PETS, (2009).
[15] Craig Gentry and Zulfikar Ramzan, Single-
database private information retrieval with
constant communication rate. In: Proceedings
of the 32
nd
International Colloquium on
Automata, Languages and Programming, (2005).
[16] Y. Gertner, Y. Ishai, E. Kushilevitz and T. Malkin,
Protecting data privacy in private information
retrieval schemes. Journal of Computer and
SystemSciences, 60 (2000) 592.
[17] Eu-Jin Goh, Secure indexes. Cryptology ePrint
Archive, Report 2003/216, (2004).
[18] Ian Goldberg, Improving the robustness of
private information retrieval. In: Proceedings
of the IEEE Symposiumon Security and Privacy,
(2007).
[19] Vipul Goyal, Abhishek Jain, Omkant Pandey
and Amit Sahai, Bounded ciphertext policy
attribute based encryption. In: Proceedings of
ICALP '08, Berlin, Heidelberg, 2008.
[20] F. Allan Hubbell, Elizabeth B. Frye, Barbara V.
Akin and Lloyd Rucker, Routine admission
laboratory testing forgeneral medical patients.
Medical Care, 26 (1988).
[21] Intel, Threading building blocks 2.2. http://
www.threadingbuildingblocks.org/, (2009).
[22] J. Katz, A. Sahai and B. Waters, Predicate
encryption supporting disjunctions, polynomial
equations, and inner products. In: Proceedings
of Eurocrypt. Springer, (2008).
[23] Brian W. Kernighan and Rob Pike, The Practice
of Programming. Addison-Wesley, (1999).
[24] Brian W. Kernighan and P.J. Plauger, The
Elements of ProgrammingStyle. McGraw-Hill, (1974).
Mohammad Danish
38
[25] A. Boldyareva, M. Bellare and A. O'Neill,
Deterministic and efficiently searchable
encryption. In: Proceedings of Crypto'07, (2007).
[26] Michael Mitzenmacher and Salil Vadhan, Why
simple hash functions work: Exploiting the
entropy in a data stream. In: Proceedings of
the ACM-SIAM Symposium on Discrete
Algorithms, (2008) 746.
[27] Moni Naor and Benny Pinkas, Efficient
oblivious transfer protocols. In Proceedings
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Algorithms, Philadelphia, PA, USA, 448
(2001).
[28] Femi Olumofin and Ian Goldberg, Privacy-
preserving queries over relational databases.
In: Proceedings of PETS, 100.
The Relation between CMMI and Lean Software Development
39
The Relation between CMMI and Lean Software
Development
JYOTI YADAV* and AMAN JATAIN
IT Department, ITM University, Gurgaon
*E-mail: yadav_jy_86@yahoo.com
Abstract
Agile software development is a method of improving the effectiveness and performance of work processes.
Everyone is practicingagile methodologies. Alongwith these, most of the organizations rely on process maturity
models to assess and improve their own processes, since it has been gettingclear that most project failures are
due to undisciplined processes. Many organizations demand cmmi compliance of projects where agile methods
are employed. This paper analyzes the interrelations and mutual restrictions between lean software development
and approaches for software process analysis and improvement.
Key words : Agile, CMMI, lean, lean software development, process areas, maturity levels.
1. Introduction
In large organizations there are policies which
enforce that all parts of organization have to achieve
certain maturity levels ( like those of CMMI). At the
same time, Lean software development is making
its way from manufacturing to software community.
New approaches are offered by Lean software
development to the existing challenges in software
development. In this paper we would investigate
the relation between CMMI model and Lean
software development.
2. Lean and Agile
Agile Work has borrowed heavily from Lean
thinking and practices [2]. The best definition is
given by National Institute of Standards and
Technology in the United States which defines lean
as "a systematic approach to identifying and
eliminating wastes (non-value added activities)
through continuous improvement by flowing the
product only when the customer needs it(called
"pull") in pursuit of perfection."
The term, "lean", was first coined by John Krafcik.
3. Lean Software Development [1]
Bob Charette, the originator, writes that the
measurable goal of Lean development is to build
software with one-third the human effort, one-third
the development hour and one-third the investment
as compared to what SEI CMM Level 3 organization
Fig. I. Steps of lean software development
40
would achieve. Figure I shows the general
methodology to be followed in developing a project
using lean thinking.
3.1Value
The only thing that adds value in Software
Development is transformation of information and
code into what customer wants. It is very important
for software team to know how does it create value
for customers. Or simply, decrypt the formula:
Customer (needs) 'Cash (delivered software)
3.2Software Development Value Stream
Problems, needs and ideas are translated into
units of development - functionality, user experience
(interface, interactions, usability) and system qualities
(performance, reliability, security, etc). A Software
Development team transforms these pieces of
requirements into a computer system using value-
added and many not-so-value-added actions.
3.3Creating Flow
3.3.1One-piece flow
The most effective flow is one-piece flow-
customer need is immediately converted into a
delivered software solution.
3.4Establish Pull
3.4.1Pull system (Kanban)
Kanban is a signaling system to trigger action. It
adds to flow small buffers pulled by customer
demand. Kanban allows optimal use of people and
natural breaks in processes.
What Kanbans Are:
Kanban is Japanese term for sign or designated
place. It is used in manufacturing to mean a visual
signal that tells when it is time to get or make more
of something.
What Kanbans Do:
Controls the amounts of raw material amounts
and of material in Work In Process
Smooths out flow, if sized properly
Tells when and where there is a problem in the
process.
Assures there is always just enough material on
hand to make what is needed.
4. Roots of Lean Software Development
Lean operating system or lean principles has
been implemented in countless manufacturing
companies and also adapted for industries as diverse
as insurance and healthcare. Lean principles were
developed as Toyota production system by Toyota
motor company earlier known as Toyoda. The
concept behind lean principles is to produce goods
using less of everything compared to mass
production: less human effort, less manufacturing
space, less investment in tools, and less engineering
time to develop a new product. Wipro an Indian
software company introduced lean principles in
software development in Indian IT industry.
Wipro designed their LEAN initiative with 4 rules
in mind [3]
Rule 1: All work shall be highly specified as to
content, sequence, timing, and outcome.
Rule 2: Every customer-supplier connection must
be direct, and there must be an unambiguous yes
or no way to send requests and receive responses.
Rule 3: The pathway for every product and service
must be simple and direct.
Rule 4: Any improvement must be made in
accordance with the scientific method, under the
guidance of a teacher, at the lowest possible level in
the organization.
Wipro first launched its lean initiative in 2004
with a core team of managers. By the end of 2006,
Wipro had 603 lean projects completed.
5. Principles of Lean Thinking
41
Principle 1. Eliminate Waste
Principle 2. Increase Learning/ Feedback
Principle 3. Make Decisions as Late as Possible/ Delay
commitment
Principle 4. Deliver as Quickly as Possible/ Deliver fast
Principle 5. Empower the Team
Principle 6. Building Integrity In
Principle 7. See the "Big Picture"/ See the Whole
6. CMMI
According to the Software Engineering Institute
(SEI, 2008), CMMI helps "integrate traditionally
separate organizational functions, set process
improvement goals and priorities, provide guidance
for quality processes, and provide a point of
reference for appraising current processes" [4].
7. Roots of CMMI
CMMI was developed by the CMMI project,
which aimed to improve the usability of maturity
models by integrating many different models into
one framework. It consisted of a group of experts
from industry, government, and the Software
Engineering Institute (SEI) and the Carnegie Mellon
Software Engineering Institute (SEI). The main
sponsors included the Office of the Secretary of
Defense (OSD) and the National Defense Industrial
Association.
CMMI is the successor of the capability maturity
model (CMM) or Software CMM. The CMM was
developed from 1987 until 1997. Table I shows the
various versions of CMMI released so far along with
the year of their release:
Table I
Versions of CMMI
Version 1.1 2002
Version 1.2 August 2006
Version 1.3 November 2010
8. CMMI: Continuous and Staged [4]
CMMI exists in two representations: continuous
and staged. The continuous representation is
designed to allow the user to focus on the specific
processes that are considered important for the
organization's immediate business objectives, or
those to which the organization assigns a high degree
of risks. The staged representation is designed to
provide a standard sequence of improvements, and
can serve as a basis for comparing the maturity of
different projects and organizations.
9. CMMI Process Areas
Process areas are the areas that will be covered
by the organization's processes. The process areas
have been listed below:
i. Project Planning
ii. Project Monitoring and Control
iii. Supplier Agreement Management
iv. Integrated Project Management
v. Risk Management
vi. Quantitative Project Management
vii. Requirements Management
viii. Requirements Development
ix. Technical Solution
x. Product Integration
xi. Verification
xii. Validation
xiii. Measurement and Analysis
xiv. Process and Product Quality Assurance
xv. Configuration Management
xvi. Decision Analysis and Resolution
xvii. Causal Analysis and Resolution
xviii. Organizational Process Focus
xix. Organizational Process Definition
xx. Organizational Training
xxi. Organizational Process Performance
xxii. Organizational Innovation and Deployment
10. Maturity Levels in CMMI
There are five maturity levels. However,
42
maturity level ratings are awarded for levels 2
through 5. The following Table 2 depicts the five
maturity levels and their characteristics:
Table 2
CMMI maturity levels and their
characteristics [4]
Maturity level Characteristics
5 (Optimizing) Focus on process improvement
4 (Quantitatively Process Measured and controlled
managed)
3 (Defined) Process characterized for the organization
and is proactive
2 (Managed) Process characterized for projects and is
often reactive
1 (Initial) Process unpredictable, poorly controlled and
reactive.
Table 3
Process areas and maturity levels
11. The Mapping of Process Areas and Maturity
Levels
The process areas can be divided into four main
categories, i.e., Process management, Project
management, Engineering and Engineering support.
Table III shows the mapping between these main
categories of process areas, the process areas
mentioned in section 9 and the maturity levels [5]:
12. Generic Goals and Practices of CMMI
Generic goals and practices are a part of every
process area [7].
GG 1 Achieve Specific Goals
GP 1.1 Perform Specific Practices
GG 2 Institutionalize a Managed Process
GP 2.1 Establish an Organizational Policy
GP 2.2 Plan the Process
GP 2.3 Provide Resources
GP 2.4 Assign Responsibility
GP 2.5 Train People
GP 2.6 Control Work Products
GP 2.7 Identify and Involve Relevant Stakeholders
GP 2.8 Monitor and Control the Process
GP 2.9 Objectively Evaluate Adherence
GP 2.10Review Status with Higher Level
Management
GG 3 Institutionalize a Defined Process
GP 3.1 Establish a Defined Process
GP 3.2 Collect Process Related Experiences
13. Specific Goals and Practices of CMMI [7]
Each process area is defined by a set of goals
and practices. These goals and practices appear only
in that process area.
For example consider Causal Analysis and
Resolution (CAR) which is a support process area
at Maturity Level 5. The purpose of Causal Analysis
and Resolution (CAR) is to identify causes of selected
outcomes and take action to improve process
performance.
Process areas Process management Project management Engineering Engineering support
Maturity levels
Maturity Level 5 OID CAR
Maturity Level 4 OPP QPM
Maturity Level 3 OPF, OPD, OT IPM, RSKM RD, TS, PI, DAR
Ver, Val
Maturity Level 2 PP, PMC, SAM REQM M&A, PPQA, CM
43
CMMI implies Lean implies
Procedural Iterative
Extensive planning Quick decisions
Hierarchical governance Flat hierarchy/team governance
Careful changes Rapid changes
Budget grows to meet Scope shrinks to meet deadlines
scope
Heavy documentation Light documentation
Rework is avoided Low level of Rework is expected
through planning and
monitoring
Requirements are not Flexibility in changing
requirements
Process controlled Equal participation of teams
Management, Team and individual driven
committees driven
Rules are monitored Teams are trusted to follow rules
Table 4
Differences between CMMI and Lean
Specific Practices by Goal
SG 1 Determine Causes of Selected Outcomes
sSP 1.1 Select Outcomes for Analysis
SP 1.2 Analyze Causes
SG 2 Address Causes of Selected Outcomes
SP 2.1 Implement Action Proposals
SP 2.2 Evaluate the Effect of Implemented Actions
SP 2.3 Record Causal Analysis Data
14. CMMI and Lean: Commonalities
After discussing what CMMI and Lean are about,
it would be easy to compare both of these. The
following Table 4 are the commonalities:
i. Focus on eliminating defects and rework
ii. Reliance on measurement and statistical methods
iii. Emphasis on understanding and reducing
variability
iv. Adaptation necessary to transition approaches
beyond manufacturing
v. Trend towards over-simplification and "window
dressing" with popularization
15. CMMI and Lean: Differences [6]
16. Conclusion
CMMI and lean software development are
approaches to continuous improvement. This paper
concludes that CMMI tends to reduce risk in lean
software development. These practices make good
sense, and you could argue that it has always
inherently been expected as part of your agile
method. In general the CMMI model provides a
good understanding what practices to consider -
but you will have to adopt it to your context, and
find lean implementations for the practices.
References
[1] M. Poppendieck and T. Poppendieck, Lean
Software Development: An Implementation
Guide: Addison-Wesley, (2006).
[2] Mishkin Berteig, Agile Work Uses Lean
Thinking.
[3] Julia Hanna, Bringing 'Lean' Principles to Service
Industries, (2007).
[4] ht t p: / / en. wi ki pedi a. or g/ wi ki /
File:Characteristics_of_Capability_Maturity_Model.svg
[5] Jeffery L. Dutton and Richard S. McCabe,
Agile/ Lean Development and CMMI (2006).
[6] Jeff Dalton, President and Broadsword, Agile
CMMI, Process Innovation at the Speed of
Life.
[7] ht t p: / / en. wi ki pedi a. or g/ wi ki /
Capability_Maturity_Model_Integration.
S.M. Mustafa , N.U.K. Sherwani and Mini Walia
44
Women Empowerment and Entrepreneurship
S.M. MUSTAFA*, N.U.K. SHERWANI and MINI WALIA
Department of Commerce and Business Studies
Jamia Millia Islamia, New Delhi - 110 025
*E-mail: prof.smm@rediffmail.com
Abstract
Entrepreneurship has been indispensable factor contributingfor development of many countries. It is dearth of
entrepreneurship, which has been foremost factor for backwardness of developingcountries. Entrepreneurship
has potential not only to increase the rate of growth but also solve many social, political problems and improve
standard of living. India also suffers frommany such problems: like low growth rate, unemployment regional
imbalances, illiteracy, worseningsocial economic condition of women. Women constitutes almost 50% of total
population of India. They suffer on various accounts socially, economically and politically. Entrepreneurship can
become a powerful instrument to improve the condition of women. The paper attempts to analyze
Entrepreneurship as an instrument of economic empowerment of women. The main objective is to understand
concept of Entrepreneurship relevant to the issue, economic empowerment through Entrepreneurship, problems
and impediments in women Entrepreneurship and measures to remove them, role of government in
empowerment of women, policy suggestions for the development of women entrepreneurship.
Key words: Women empowerment, entrepreneurship, income generation.
1. Introduction
It is noticeable that Entrepreneurship
development and empowerment are
complementary to each other. Women
empowerment depends on taking part in various
development activities. In other words, the
involvement of women in various entrepreneurial
activities has empowered them in social, economic
and cultural fields.
When we speak about the term "Women
Entrepreneurship" we mean, an act of business
ownership and business creation that empowers
women economically, increases their economic
strength as well as position in the society.
2. Entrepreneurship and Entrepreneur
The term entrepreneurship concept has evolved
over a period of time. There are competiting
theories for it. Table 1 condenses all such important
approaches.
For our purposes we define entrepreneurship:
as a process of creating something different with
value by devoting necessary time effort; assuming
the accompanying financial psychological and social
risk and receiving the resulting rewards and
monetary satisfaction.
2.1Characteristics of Entrepreneurship
This definition stresses four basic aspects of
entrepreneurship regardless of the field.
2.1.1 Entrepreneurship involves the creation
process (creating something new of value)
The creation has to have value to the
entrepreneur and value to the audience for which it
is developed. This audience can be: (a) the market
of a buyers in the case of a business innovation; (b)
the hospital's administration in the case of a new
admitting procedure and software; (c) prospective
students in the case of a new course or even college
Presently HOD, Department of Commerce and Business
Studies, Al-Falah School of Engineering & Technology, Dhauj,
Faridabad (Haryana).
45
of Entrepreneurship; or (d) the constituency for a
new service provided by a non-profit agency.
2.1.2 Entrepreneurship requires the devotion
of the necessary time and effort
Only those going through the Entrepreneurial
process appreciate the significant amount of time
and effort it takes to create something new and make
it operational.
2.13 Assuming the necessary risks
This is the third aspect of Entrepreneurship.
These risks take a variety of forms, depending on
the field of effort of the Entrepreneur, but usually
center around financial, psychological and social areas.
2.1.4 Reward of being entrepreneur
The Rewards of being Entrepreneur include
monetary independence and personal satisfaction,
for some of these entrepreneur money becomes
indicator of the success for some independence and
personal satisfaction are the most important.
According to Schumpeter "Entrepreneur is a
innovator who introduces new things in economy"
Alferd Marshall defines Entrepreneur as indispensable
factor of production and assembler of resources.
The exact definition of entrepreneur depends upon
degree of development In underdeveloped and
developing counties the "innovators" in Schumpeter
sense are rare, what is primarily needed in these
countries is not innovators perse but adaptors and
imitators who forsee the business opportunities and
capable of organizing and exploiting business
opportunities by establishing the business venture.
Thus in Indian context entrepreneur is more
adaptor, imitator and exploiter of business through
organizing various factor of production and
assumption of risk associated with the venture. Thus,
he is more marshall's organizer of productive factor
rather than a true innovator.
Source: Robert D. Hisrich, Entrepreneurship and Intrapereneurship: Methods for Creating New Companies That have an impact
on the Economic Renaissance of an Area, IN Entrepreneurship Intrapreneurship and Venture Capital ed. Robert D. Hisrich
(Lexington MA: Lexington Books, 1986) P.96.
Period and Personality Their Opinion on Entrepreneur
17
th
Century-Gen. Concept Person bearing risks of profits (loss) in a fixed price contract with government.
1725: Richard Cantillon Person bearing risks is different from one supplying capital.
1797: Beaudeau Person bearing risks, planning, supervising, organizing and owning.
1803: Jean Baptiste Say Separated profits of entrepreneur from profits of capital.
1876: Francis Walker Distinguished between those who supplied funds and received interest and those who received
profit from managerial capabilities.
1934: Joseph Schumpeter An entrepreneur is an innovator and develops untried technology.
1958: Haggen An entrepreneur is an economic man who tries to maximize his profits by innovations.
1961: David McClelland Entrepreneur is an energetic moderate risk taker.
1964: Peter Drucker Entrepreneur maximizes opportunities through systematic innovations.
1975: Albert Shapero Entrepreneur takes initiative, organizes some socio-economic mechanisms, and accepts risk
of failure.
1980: Karl Vesper Entrepreneur seen differently by economists, psychologists, business persons, and politicians.
1983: Gifford Pinchot Intrapreneur is an entrepreneur within an already established organization.
1985: Robert Hisrich Entrepreneur is the process of creating something different with value by devoting the necessary
time and effort, assuming the accompanying financial, psychological, and social risks and receiving
the results rewards of monetary and personal satisfaction.
Development of Competing theories of Entrepreneurship.
Stems from French: means "between-taker" or "go-between".
Table 1
46
3. Empowerment
The World Bank defines empowerment as
"The process of increasing the capacity of
individuals or groups to make choices and to
transform those choices into desired actions and
outcomes. Central to this process are actions which
both build individual and collective assets and
improve the efficiency and fairness of the
organizational and institutional context which govern
the use of these assets."
Reflective Models
Model No. 01
Model No. 02
Model No. 03
Model No. 04
Inherited Legacy
Women Entrepreneur

Small Enterprise

Middle Enterprise

Large Enterprise

Giant Enterprise
(MNCs / TNCs etc.)
3.1Characteristics of Empowerment
(i) Empowerment is multidimensional and refers to
the expansion of freedom of choice and action
in all spheres (social, economic and political) to
shape one's life.
(ii) It also implies control over resources and
decisions. For women such freedom is often
severally curtailed due to gender inequality in
the household as well as in the society. Thus,
for empowerment women require a set of assets
and capabilities at the individual level (such as
health, education, and employment) and at the
collective level for (instance the ability to
organize and mobilize to take action to solve
their problems).
3.2Need for Empowerment of Women
(i) Our constitution in its Fundamental Rights, has
provision for equality, social justice and
protection of women. These goals are yet to
be realized. Women continue to be
discriminated, exploited and exposed to
inequalities at various levels.
(ii) By empowerment women would be able to
develop self-esteem and confidence, realize their
Factor leading to Women's growth
Women's growth
Women's Role (in the society)
47
potential and enhance their collective bargaining
power.
(iii) Women empowerment can be viewed as a
contribution of several inter-related and mutually
reinforcing components.
(iv) Awareness building about women's situations,
discrimination, rights and opportunities will act
as a step towards gender equality.
(v) Capacity building and skill development,
especially the ability to plan, make decisions,
organize, manage and execute will enable to deal
with people and institutions in the course of
business.
(vi) Participation and greater control and decision-
making power in the home, community and
society will develop leadership qualities.
(vii)Action is needed at all levels to bring about
greater quality between men and women.
Thus empowerment is a process of awareness
and capacity building, leading to greater participation,
greater decision-making power and control of the
transformative action. The empowerment of women
covers both individual and collective transformation.
It strengthens their initiative ability through acquiring
knowledge, power and experience.
3.3Factors Affecting Empowerment of Women
Low status of women in society indicated by
unfavourable sex ratio and low literacy level.
Strong preference for male child.
Gender discrimination
Low level of education.
Food nutritional status.
Violence against women
Poor health and lack of access to health care.
The most important factor that effects the
empowerment is the poverty.
3.3.1 Kinds of empowerment
There are three kinds of empowerments.
(i) Social: It is a long different process and requires
a change in mind set of the people. This calls
for attitudinal change.
(ii) Political Empowerment: This calls for increasing
the participation of women in political decision
making.
(iii) Economic Empowerment: That calls for increasing
income of women to their disposal and
ownership over asset.
Economic Empowerment is a key to social and
political empowerment. As the income of women
and their participation in income generating activities
increase it not only increase their family income but
also brings economic independence among women
in household. This helps them to participate more
effectively in intra-household decision-making and
better access to information. The female work
participation to ensure alone cannot ensure economic
empowerment as ownership still be in hands of male
members. Therefore, there is need to ensure
autonomy and over resources. If this happens, this
will elevate their status in family and society. Elevation
of social and political status will elevate their
participation in political decision making also.
Economic Empowerment t hrough Entre-
preneurship: Entrepreneurship women are
economically more powerful than mere worker as
ownership of entrepreneur confers control over
assets but also give her freedom to take decisions.
3.4Benefits of Women Entrepreneurship
(i) It makes women more powerful than merely
working. Entrepreneur women are economically
more powerful than mere worker as ownership
of entrepreneur confers control over assets but
also give her freedom to take decisions.
(ii) Upliftment of social status significantly: Ownership
of resources and participation as controller of
enterprise not only generates income but also
brings economic independence. This helps them
to participate more effective in household
decision making this elevates their position in
family and society.
48
(iii) Reduction in poverty: The generation of income
through multiplier effect will result in poverty
alleviation.
(iv) Entrepreneurship is likely to emerge as only viable
alternative of income generation in changed
circumstances. Various changes like shrinkage of
government sector jobs, population growth is
likely to push more women into
entrepreneurship.
(v) Entrepreneurship helps to overcome constraints
related to female employment. Self-employment
of entrepreneurship will help women to
circumvent various institutional and cultural
constraints with respect to female employment.
(vi) Entrepreneurship can ultilize skills and practices
of women which are unsuitable to big organized
sector.
(vii)It turns to job seekers into job creators: Through
entrepreneurship a women will not only generate
income for herself, but also employment for
other women in locality. Thus helping to solve
their problem of unemployment.
Thus, it is evident that entrepreneurship is an
instrument for empowerment for women.
4. Women Entrepreneurs
Women Entrepreneurs may be defended as
women or group of women, who initiate, organize
and operate a business enterprise.
According to the Government of India, "a
women entrepreneur is defined as 'an enterprise
owned and controlled by women having a minimum
financial interest of 51% of capital and giving at least
50% of employment generated in enterprise to
women'. This definition was revised in August 1991,
by dispensing with the employment criterion for
women workers.
4.1Trends in Women Entrepreneurship in India
(i) Small percentage of women Entrepreneurship
as compare to men; women entrepreneurship
constitute a negligible proportion of the total
entrepreneurs attitudinal constraints social
traditions, kenship system inhibit the
entrepreneur.
(ii) Different kinds of women entrepreneurs; The
Women Entrepreneurs can be classified into
following categories:
(a) women who take to entrepreneurship
because they have dire economic needs.
(b) women who take to entrepreneurship
because they had the family background
tradition or skill or trade, hence they would
like to have extra money for themselves and
their families.
(c) women who take it up because they have
certain personality characteristics such as
need for achievement, need for power and
influence etc.
(d) women who take it up as a leisure time
activity, and
(e) on official advice and guidance.
(iii) Less Diversified Area of Women
Entrepreneurship:
The typical women enterprise all the extension
of kitchen activities. The 3 Ps Viz pickles, powder
(masala) pappad, or the traditional cottage industries
of basket making handicarfts etc. But as the
education is spreading and growing awareness
among women, women entrepreneurs are entering
into engineering electronics energy, and many other
industries. Although the number of such units is small
women all putting up units to manufacture solar
cookers T.V. capacitors, electronic ancillaries and
small foundries.
In recent survey business women in Delhi and
surrounding areas it was estimated that 40% of
these entrepreneurs have ventured into non-
traditional areas such as electronics, engineering
consultancy etc.
(iv) In India very few women entrepreneurs are in
big enterprise. They all mainly concentrated in
small scale.
49
4.2Problem Faced by Women Entrepreneurs
It is important to know that impediments to the
growth of women entrepreneurship. The main
impediments are:
Shortage of Finance.
Inefficient arrangement for marketing and sale.
Change of role.
Time management
Lack of required education and skills.
Lack of exposure to business environment.
Less mobility of women.
Low risk taking capability.
Lack of access to credit due lack of information
about schemes, collateral security.
Lack of inefficient arrangement market and sale.
Family responsibilities.
Social attitudes discriminating against women.
To overcome these impediments steps have to
be taken on the following fronts.
5. Remedies to Solve the Problems of Women
Entrepreneurs
The following measure may be adopted to solve
the problems faced by women entrepreneurs in
India.
Finance Cells: In various public financial institutions
and banks special cells may be opened for providing
easy finance to women an entrepreneurs. These cells
should be manned by women officers and clerks.
Efforts should be make to provide finance at the
local level. Finance to women entrepreneurs may
be provided at concessional rates of interest and on
easy repayment basis.
Marketing Cooperatives: Encouragement and
assistance should be provided to women
entrepreneurs for setting up cooperatives. These
cooperatives will pool the inputs of women
enterprises and sell them on remunerative prices.
Such cooperative will help to eliminate the
middlemen. Central and State Government should
give priority to women entrepreneurs while
purchasing for their requirement.
Supply of Raw Materials: Scarce and imported raw
materials may be made available to women
entrepreneurs on priority basis. A subsidy may also
be given to make the products manufactured by
women entrepreneurs cost competitive.
Education and Awareness: It is necessary to change
negative social attitudes towards women. Elders,
particularly, mother - in- law, need to be made aware
of the potential of girls and their due role in society.
Unless the social attitudes are made positive not
much progress can be made by women
entrepreneurs.
Training Facilities: Training all skills are essential for
the development of entrepreneurship. Training
schemes should be so designed that women can
take full advantage. Family members do not like
women to go away to far off places for training.
Therefore, mobile training centers should be
arranged. Similarly, part time training facilities,
especially during afternoons will attract more women
to acquire skills. Additional facilities like stipend, good
hygienic crches, transport facilities etc should be
offered to attract more and more women to the
training centers.
In solving these problems NGO's (like SEWA)
and associations of women (like NAYE Indian Counsel
of Women Entrepreneurs IICCI, National
Commission on Self-Employed in information
sector) are played an important role.
Role of Government in Empowerment of Women
(with emphasis on 10
th
five year plan)
Women received attention of the government
right from the beginning of Indian Planning. However,
the shift from "Welfare" to "development" of women
took place in Sixth Five Year Plan (1980-85). The
Eighth plan (1992-97) promised to ensure that
benefits of development from different sectors do
not bypass women. The Rashtriya Mahila Kosh was
set up in 1993 to meet the credit needs of poor
and assetless women. The Ninth Plan (1997-2002)
made two significant changes in the strategy of
50
planning for women. Firstly, "empowerment of
women" became a primary objective and secondly
the Plan attempted "convergence of existing services"
available in both women-specific and women related
sectors.
The Tenth Plan (2002-2007) has made a major
commitment towards "empowering women as the
agent of socio-economic change and development".
Based on the recommendation of National Policy
for Empowerment of Women, the Tenth Plan
suggests a three-fold strategy for empowering
women, though social empowerment economic,
empowerment and gender justice.
(i) Social Empowerment: To create an enabling
environment through various affirmative
developmental policies and programmes fro
development of women besides providing them
easy and equal access to all the basic minimum
services so as to enable them to realize their
full potentials.
(ii) Economic Empowerment: to ensure provision
of training employment and income generation
activities with both forward and backward
linkages with the ultimate objective of making
all potential women economically independent
and self-reliant. And
Gender Justice: To eliminate all forms of gender
discrimination and thus, allow women to enjoy not
only the de jure but also de facto rights and
fundamental freedom at par in all the sphere, Viz.
political, economic social, civil, cultural etc.
The Government is taking the following measures
for empowering women.
(i) To adopt a special strategy of "women's
Component Plan" to ensure that less than 30%
of funds / benefits flow to women from other
development sectors.
(ii) To organize women into Self-Help Group and
equip them with services of awareness
generation and income generation through
training, employment, credit and marketing
linkages to small entrepreneurs etc. progra-
mmes like Indira Mahila Yojana (IMY) now recast
as Integrated Women's Empowerment Project,
(IWEP), and Rural Women's Empowerment and
Development (RWEDEP) have been launched.
Of the total Ninth Plan target of 50000 more
than 37000 groups wee set up benefiting about
a lakhs women.
(iii) To equip women with necessary skills in the
modern upcoming trade which would keep
them gainfully engaged besides making them
economically independent and self-reliant and
(iv) To increase access to credit through setting up
of a development "Bank for Women
Entrepreneurs" in small and tiny sectors. The
corpus of Rashtriya Mahila Kosh is being
enhanced for this purpose.
5.1Income Generation
The Support of Training and Employment
Programme (STEP) provides a comprehensive
package of up gradation of skills through training,
extension inputs, market linkages, etc. in the
traditional sectors like agriculture, handicrafts etc.
Setting up of an Employment and Income
Generation Training -cum-Production Centre for
Women (NORAD) extends training for the poor
and needy women in the age group of 18-45
years in the upcoming non-traditional trades.
The Socio Economic Programme (SEP) provides
work and wages to the needy women and
The Condensed Courses of Education and
Vocational Training (CCEVT) provide new vistas
of employment through continuing education
and vocational training for school dropouts.
5.2Other Activities
In India, a large number of training and
promotional activities are being organized to
develop entrepreneurial skill among women. Some
of these programmes are exclusively for the women,
while others take women alongwith the male
participants. The institutions undertaking such
activities can be divided into three broad categories
viz (i) specialized institutions, which are responsible
for training and entrepreneurship development
mainly among small and medium enterprises (SMEs)
51
(ii) banks/ financial institutions (iii) government
departments / agencies. The first category includes
institutions like the Indian Institute of
Entrepreneurship (IIE) Guwahati, National Institute
of Small Industry Extension Training (NISIET)
Hyderabad and the National Institute of
Entrepreneurship and Small Business (NISBUD),
Ministry of MSME, Govt. of India, N. Delhi. Women
Entrepreneurs wing of NAYE Indian Council of
Women Entrepreneurs, FICCI Ladies Organisation
(FLO). Almost all public sector banks and the leading
financial institutions e.g. Small Industries
Development Bank of India (SIDBI) NABARD etc.
conduct a number of training courses for women
entrepreneurs. Besides, various Ministries /
Departments in the Union and State Governments
also organize from time to time various training
programmes for skill upgradation and income
generation of the women.
In this era of post-economic reforms
empowerment of women is vital for eliminating
poverty and overall development of the economy.
Since social empowerment is a long-term
phenomenon, emphasis needs to be given economic
empowerment of women. Once women are
economically independent they will be able to
overcome their dependency on the household as
well as the society. Entrepreneurship development
or income generating business activities is a feasible
solution for empowering women.
5.3Suggestions for Women Entrepreneurship
Development
Keeping in few the constraints faced by women
entrepreneurs following point are suggested for
women entrepreneurship development.
Women entrepreneurship need to "start small
but think big". Once the initial hurdles are crossed
they will be more confident to face challenges and
take risk. Later it is possible to expand the horizon
of their business.
Should have some prior knowledge or skill
before starting the enterprises.
Undertaking feasibility study and risk assessment
before starting.
Better to have some start up capital.
Use easily available resources (both physical and
human)
Initially it is always better to work as a frachisee/
supplier to a reputed company.
Marketing of the products can be given to
specialized agencies. Collaboration with an
already existing company is always better for a
start up.
Women can also form, self-help groups
(SHG'sGHs) or cooperatives if starting an
individual enterprise is not viable.
References
[1] S.K. Damaje, Women Entrepreneurs.
Opportunities performance and Problems;
Deep & Deep Publishers New Dehli, (2002).
[2] Deegam S. Rasia and Sargnadharam, Women
Entrepreneurship: Institutional support and
Problems; New Publishing House, Edition,
(1995).
[3] S. Ganeshan, Status of Women Entrepreneur-
ship in India; New Delhi, Tanishakar Publishers.
New Delhi.
[4] Vadhera Randeep, editor Sasi Kumar Write
view of Enterprise and Empowerment of
Women Review, Vikas Publishing House, New
Delhi.
[5] Natha Bhola and Kumar Uppal, Issues on
Empowerment of Women; An Indian
Experience, Mohil Publishers, (2004).
[6] Robert D. Hisrich "Entrepreneurship and
Intrapreneurship: Methods for Creating New
Companies that have an impact on the
economic Renaissance of an Area, Lexington:
Lexington Books (1986) 86.
[7] Peters P. Michael and Hisrich D. Roberts,
Entrepreneurship Tata MC. Graw Hill Edition,
Edition (2002).
[8] C.B. Gupta and Srinivasan, Entrepreneurship
development in India (Text and Cases) Sultan
Chand & Sons, New Delhi.
[9] Drucker Peter, Innovation and
Entrepreneurship Practice and Principles;
William Heinemann Ltd. Great Britain, (1985).
52
[10] S.C. Poornima, Kumar Anil and K. Jayshree.
[11] Entrepreneurship Development; New Age
International Pvt. Ltd., Publishers, New Delhi.
[12] Mishra Dutt Bhaskar, Journals: Small
Enterprise: An Introduction to the Study of
population; South Asian Publishers Pvt. Ltd.,
New Delhi.
Journals
1. Journals: SEDME (Small Enterprise
Development Mgt. and Extension Journal).
2. Journal Small Business and Entrepreneurship.
3. Census Report.
4. Yojna.
Evalution of Excimer Lasers : A Review
53
N.R. DAS
Laser Science & Technology Centre, Metcalfe House, Delhi-110 054
E-mail: nrdas2k@yahoo.co.in
Abstract
This paper reveals the latest emergingapplications and trends of Excimer laser in industry. The widely known
areas of applications viz. material processing, engineering, metrology, scientific research, medical diagnostics
tool, communications, holography and of course military applications are emphasized here. The most recent
advances in the application scenario like nano science and engineering are described elaborately. Among all
industrial lasers, Excimer lasers are becomingthe most important and widely accepted tool to carry out various
applications in the industry, specially in micromachining and marking applications. The paper describes a
detailed theoretical case study of a small Excimer laser and its comparison with conventional Excimer laser.
The various latest applications of small Excimer laser are also described here.
Key words : Nanoscience, carbon nanotubes, excimer laser, industrial applications.
1. Introduction
In 1965 the first industrial-laser processing
system was installed by Raytheon Company at the
Buffalo, N.Y plant of Western Electric Co. (now AT
& T). The beam energy from a ruby laser was used
to drill holes in industrial diamonds to produce dies
for fine-wire drawing. From this modest start a vital
dynamic industry, currently producing multi billion
dollars of industrial systems, evolved. The word
'laser' is an acronym for 'Light Amplification by
Stimulated Emission of Radiation'. Laser radiation has
a number of unique properties - high intensity
(power) of electromagnetic energy flux, high
monochromaticity and high spatial and temporal
coherence. Hence, laser radiation differs from other
types of EM radiation in that it travels as a very
narrow focused high intensity beam. It is this
inherent property that is made use in almost all laser
applications.
The applications of lasers [1-6] have multiplied
to such an extent that almost all aspects of our daily
lives are touched upon, albeit indirectly, by lasers.
The widely known areas of applications are material
processing, engineering, metrology, scientific
research, medical diagnostics tool, communications,
holography and of course military applications. It is
clearly impossible to give an exhaustive survey of all
of these applications attempted worldwide. The
emphasis here has been to identify the important
emerging laser applications in novel areas of science
and technology. Attempt has been made to highlight
only the most recent advances in the application
scenario. There are plenty of commercial lasers
available in the market viz. CO
2
laser, Nd: YAG etc.
Excimer lasers are becoming the most important
and widely accepted tool to carry out various
applications in the industry, specially in
micromachining and marking applications.
It is for this reason, a typical case study of small
Excimer Laser application has been brought out.
These are now the state of the art lasers because of
relative ease of design, development, compactness,
ease of operation and most of all efficient today for
N.R. Das
54
all purpose industrial applications. Most of all these
now require reasonably cheaper investments.
2. Latest Trends
2.1Laser Ablation Technique in Nanoscience
Engineering & Technology
Carbon nanotubes (CNT) discovered in the
early 1990s have high tensile strength, Young's
modulus and other mechanical properties hold
promise for high strength composites for structural
applications. Some of the potential applications of
CNTs are nanoelectronics, sensors, field emission,
displays, hydrogen storage, batteries, polymer
matrix composites, body armour, reinforcement
material, nanoscale reactors, and electrodes. The
nanotube growth technique involves the arc process
and the recent laser ablation process. It is this
process of laser ablation that is fast emerging as the
most reliable and efficient growth technique
mechanism of CNTs. One of the most recent report
says, NASA is now developing materials using
nanotubes for space applications, where weight
driven cost is the primary concern [7-12].
Companies such as Samsung and NEC have invested
tremendously and demonstrated product quality
devices using CNTs for field - emission displays.
Another important aspect i.e Quantum Dots
may not have attracted nearly as much media
attention as carbon nanotubes, but are the stuff of
future flat-panel displays, lasers and lighting.
A quantum dot is a cluster of atoms that measures
only a few nanometers, which is microscopic.
A human hair is about 80,000 nanometers wide.
A quantum dot has the unique ability to absorb light
and then re-emit it in a different color. Different-
sized quantum dots can emit colors that span the
spectrum, from ultraviolet to infrared. Quantum
dots are used for biological detection in drug
discovery, life science research and medical
diagnostics.
2.2Nanostructured Materials
A surprising number of industries, from
ceramics to cosmetics, metals to paints and coatings,
electronics and cutting tools rely on powdered
materials to produce their products and the
production of these powders is by no means a
mature technology. New, improved laser processing
techniques particularly the laser ablation processes
are being developed for this. Indeed, it is advancing
rapidly and creating new possibilities for
manufacturers.
The goal of nearly all powder-based processing
has always been smaller size and improving the
uniformity of particles. And new methods of powder
production and synthesis are rapidly pushing the limit
lower and lower. Particles of submicron sizes are
now critical to advancements in numerous
applications. Ultrafine powders are essential materials
in the production of catalysts, coatings and films,
conductive pastes, cosmetics, electromagnetic
components, electronic devices, fire retardant
materials, magnetic fluids, sintered and injection
molded metals, ceramic composites, magnetic
storage media, phosphors, pigments, polishing
media, and toners.
2.3 Microelectronics & Opto-Electronics
Manufacturing
Global competitive pressures and the ever-
increasing demand for faster, smaller, less expensive
electronic systems have produced fundamental
changes in processing technologies. Laser
processing of materials, once largely curiosity driven,
is now an established technology for
micromachining, thin-film synthesis, device
prototyping and even nanoscale synthesis [13-17]
and processing of materials. The main driving force
behind these developments is the seemingly limitless
adaptability of lasers in providing unique material
processing solutions, manufacturing of otherwise
unattainable devices, and the implementation of cost-
effective solutions to complex manufacturing
processes. The use of lasers for manufacturing
microelectronic, optoelectronic and MEMS devices
is now becoming an established enabling technology.
2.4Electrochemical Microfabrication
A variety of microelectronic components are
55
manufactured with high-yield, cost-effective
electrochemical processing. Electrochemical micro-
fabrication uses electrochemical methods to create
thin & thick-film-patterned microstructures.
Electrochemical deposition (plating) is the oldest
industrial application of an electrochemical reaction.
Both electroplating and electroless plating processes
deposit pure metals or alloys from metallic ions in
solution.
Electrochemical processing through polymeric
photoresist masks is a primary technique for
microfabrication of high-density patterned
structures. Photolithography is the exposure of
photosensitive resist to ultraviolet light to transfer
an original image. Advances in optical lithography
have continued to meet increasing demands for high-
resolution patterning. Using X-ray lithography, it is
possible to pattern advanced three-dimensional
structures in which high-aspect-ratio profiles with
minimal distortion are required. Storage, packaging,
device fabrication, and several other aspects of
microelectronics have been affected by
electrochemical processing.
Some of the practical applications of lasers in
the manufacturing process of micro and nanoscale
electronic, photonic and hybrid devices being
attempted are
laser modification of materials (annealing, doping,
intermixing, photosensitivity). The process
offers a method of selecting area band-gap
shifting (QW/QD intermixing) for writing of
monolithically integrated (nano) photonic
device. Figure 1 represents IR and UV laser
based rapid thermal annealing. Figure 2
represents Excimer/UV laser controlled
quantum well intermixing. The UV laser QWI
technique offers the ability to control amplitude
of the band-gap shift by monitoring surface
properties of the excimer laser irradiated
material with photoluminescence, Raman
spectroscopy or other non-contact optical
techniques.
laser microwelding, drilling, cutting and etching
laser cleaning, texturing, bending and repair
laser micromachining and rapid prototyping
laser processing across wavelength scales from
VUV to IR
laser manufacture of MEMS and other devices
laser microprocessing of electronic and
optoelectronic materials for advanced devices
laser nano-engineering including nanostructures
and nanomaterials fabrication
diagnostics for laser produced plasmas, including
real-time monitoring techniques
generation and dynamics of laser ablation plumes,
including gas-dynamic effects, charge generation
and charge transfer
modeling of laser-materials and laser-plume
interactions for quantitative prediction of
process parameters
It is widely recognized that further progress in
the photonics and telecommunication industry will
be related to novel concepts of using photons for
increased data transfer, manipulation and storage.
On the device level, the task of increasing the
number of different operations performed by a
photonic device in an ever-shrinking volume will
require nanoscale manufacturing precision. This also
applies to even more technologically challenging
quantum semiconductors, such as quantum dots
(QDs), quantum wires, nanoclusters, and various
nano-composites. In spite of the spectacular
progress in this field, present-day technologies of
semiconductor materials and devices are far from
adequate to meet the challenge of nanoscale
manufacturing precision of photonic devices. Thus,
new enabling technologies and processing schemes
have to be developed to address this issue.
The fundamental technologies in our focus are:
a) Laser-induced quantum well intermixing (QWI),
which is based either on IR/UV laser Rapid
Thermal Annealing, or on UV laser (excimer)
irradiation. In addition to GaAs and InP based
QW microstructures, we also investigate
quantum dot intermixing (InAs-based and other).
b) Excimer laser surface modification and
nanocrystal formation. Both II-VI and III-V
N.R. Das
56
materials are of primarily interest. However, we
have also been involved in crystallization of high-
temperature oxides, such as SrFeyCo1-yO2.5-x.
Fig. 1. IR and UV laser based rapid thermal annealing
Fig. 2. Excimer/UV laser controlled quantum well
intermixing
2.5Micro Electro-Mechanical Systems
Micro electro-mechanical systems (MEMS) are
miniaturized machines that include sensors and
actuators. Micro-fabrication of these components
with silicon employs basic integrated circuit
processes that incorporate special laser etching and
bonding techniques to create three-dimensional
structures with micrometer resolution.
Electrochemical technology, which entered the
electronics industry as a manufacturing process for
low-end printed-circuit boards, is now employed
for advanced processing to fabricate complex
components, such as MEMS, high-end packages and
storage systems, and high-performance chip
interconnections. This has required an understanding
of electrochemical transport, current distribution,
process monitoring and control, as well as the ability
to develop environmentally friendly processes. The
development of nano-processing for further MEMS
miniaturization and fabrication of giant
magnetoresistance materials by lamination of a
sandwich of nanometer-thick electroplated layers
are among the emerging applications of
electrochemical microfabrication that may have an
impact on the performance of future microelectronic
devices. All these are now becoming increasingly
possible because of new laser sources possible to
do fine etching, scribing etc.
2.6Manufacturing Opportunities
Free-electron lasers (FELs) offer substantial cost
and capability advantages -- including advantages for
high-volume materials processing -- over other
manufacturing tools. FELs based on Jefferson Lab's
superconducting electron-accelerating technology
are being developed to process plastics, synthetic
fibers, advanced materials, and metals as well as
components for electronics, microtechnology &
nanotechnology. Prospective products include
durable yet attractive polymer fabrics for clothing
and carpeting; cheap, easily recyclable beverage and
food packaging; corrosion-resistant metals with
increased toughness; mechanical and optical
components with precisely micro-machined
features; micro-circuitry; and electronics for use in
harsh conditions. Consortium members expect
additional applications to evolve along with the
technology itself. It may also be known that these
lasers form one of the most important defence
related applications for US Navy.
2.7Chemical, Oil and Gas Industry
2.7.1Deadly gas leak detection by lasers
A revolutionary new laser device capable of
instantly detecting potentially deadly gas leaks has
been developed by Scottish scientists. The
pioneering machine can create a detailed image of
escaping gas on a video screen within seconds of
safety inspectors arriving at the scene. Gas-detecting
devices currently used by investigators can detect
the presence of gas which is invisible to the naked
57
eye but not the source of the leak. Valuable hours, if
not days, can be lost in the search, with potentially
disastrous results resulting in loss of money and
human lives.
In recent laboratory trials of the prototype the
scientists used it to obtain a picture of a cloud of
methane gas escaping from a hose. It also means
that gas suppliers will be able to more easily and
quickly monitor their many miles of pipelines for
faults and take pre-emptive action before a life-
threatening situation arises. The operator of the new
device, which will also be portable, will be able to
shine a laser beam around a room in which a leak is
suspected. Any gas present will absorb the laser light
and the operator will see a darkened image appear
on a video screen. If gas is present, very little light
will go back to the detector and the operator will
immediately see a dark plume coming from the area
where the leak is located. The new detector can
also be used to locate leaks from main pipes in
streets and in industrial complexes which may have
many miles of piping.
2.8Aerospace Industry
Due to its strict safety requirements, the
aerospace industry has so far made little use of
thermal joining methods. Yet lasers offer immense
potential for reducing costs in this industry, too.
Furthermore, lasers can significantly reduce
production time, and aircraft manufacturers are
beginning to exploit the savings potential by
incorporating lasers in their production processes.
These factors will strongly promote the use of solid-
state lasers in the aerospace industry, which means
that significant growth potential exists in this market
segment, as well. Lasers are finding their first
concrete application in various projects, which is
using them to weld the outer skin of an aircraft tail.
3. Small Excimer Lasers Opening Up New
Industrial Applications
The development of small excimer lasers [3]
with relatively small pulse energies but with the
capability of reaching high repetition rates, coupled
to acceptable gas lifetimes and good beam quality,
has opened up new opportunities for laser
applications in manufacturing. In some niche
applications, such as ophthalmology and
micromachining, these lasers provide comparable
energy density to their much larger counterparts.
With proper overall laser system design, sufficient
target areas can be covered. Such small lasers allow
production engineers to seriously consider using such
lasers systems due to the reduced capital investment
and small footprint.
Significant technical advances in laser design have
contributed to the acceptance of the excimer laser
as one of the three principle laser sources for
manufacturing. This advancement continues in the
escalation of average power (200W) in order to
meet the through put demands of some key micro-
electronic markets. At the other end of the
spectrum, small excimer lasers (<2.0W) are
becoming more popular and are poised to join the
industrial establishment. Below are some critical
issues explored, some of the new applications and
benefits of this technology.
3.1 Whats a Small Excimer Laser?
Small excimer pulsed gas lasers operate in the
deep ultra-violet spectrum (193nm, 248nm) with
an output pulse energy between 5mJ to 10mJ and
with repetition rates up to several hundred Hz.
Typical beam sizes are in the order of 10 mm
2
with
a classic "top hat" profile in one direction and a near
Gaussian distribution in the other direction. Full angle
beam divergences are less than 1mrad in some
models. Pulse to pulse energy variations less than
5%.
3.2 Beam Delivery
Unlike RF-excited excimer lasers whose pulse
energies are measured in terms of micro joules and
utilize a focal point technique to machine materials,
small excimers adopt the similar mask projection
techniques used by conventional excimer laser
sources.
The excimer laser beam illuminates a mask
containing a motif or pattern which is then "imaged"
N.R. Das
58
on to the workpiece. With such a technique, small
complex patterns with relatively high resolution and
sharpness can be etched on to a workpiece. For
repeatable patterns, a positioning table is used in a
"step & repeat" process to make multiple patterns.
Rotary masks can be inserted into the beam path to
allow for a series of different features to be machined
on to the workpiece. By carefully adjusting the
position of the mask and image lens, one can control
the demagnification or "reduction" value which
affects the final image size and energy density.
3.3 Energy Density
For the purposes of discussion, we can define a
conventional 248nm excimer laser working in a
production environment as having a pulse energy of
250mJ with a beam size of approximately 25mm x
10mm. This translates into a raw laser beam fluence
of approximately 100J/cm
2
. Taking into account
transmission losses, the resultant target energy
density with a demagnification of 15 will exceed 20J/
cm
2
. At such levels, the majority of materials
associated with the medical device, micro-electronic
and semiconductor industries can be machined,
including plastics, polymers, ceramics, thin metals
and glass. In fact, most plastics and polymers will
machine very well below 5J/cm
2
.
Using the small excimer laser definition, the raw
laser beam fluence is comparable to a conventional
excimer laser even though the conventional laser
has 25 times more pulse energy. This means that
practical demagnification values can be used to obtain
suitable on target energy density when using a small
excimer laser.
3.4 Target Area of Influence
One of the tradeoffs between using a
Conventional Excimer laser or a Small Excimer is
the illumination area at the target. Although both
lasers are capable of delivering the same energy
density to the target, the illumination area is
proportional to the pulse energies of the laser types.
For example, taking into account transmission losses,
a 250mJ Conventional excimer laser can illuminate a
8mm
2
target with a fluence of 1.5J/cm
2
. At the same
energy density, a small laser can only illuminate
0.25mm
2
area. To put this number into perspective,
0.25mm
2
is equivalent to a 500 micron diameter
hole. Therefore, a small excimer laser has sufficient
photons to drill or etch in many plastics and
polymers with features sizes below 500 microns.
As one increases the target energy density, the
available illumination area will decrease linearly.
Therefore etching ceramics and hard dielectrics will
require typically 10J/cm
2
, equivalent to drilling a 200
micron diameter hole. For thin metal foils such as
stainless steel or nickel with a threshold of 20J/cm
2
,
a hole measuring 150 microns can be drilled with a
small excimer laser.
3.5 Degree of Usage
Due to recent technical advances of conventional
excimer lasers, the gas lifetime can be several
hundreds of millions of shots per gas fill. On the
other hand, small excimer tend to have gas lifetimes
on the order of 1 to 2 million shots. If an industrial
application requires several million shots per day, it
may be impractical to use a small excimer due to
the number of refills required. Also conventional
excimers have been used for medium to heavy
industrial applications for some time with
corresponding effort by manufacturers to improve
component lifetimes while small excimers have been
used predominantly in scientific and ophthalmologic
applications.
3.6 Size and Cost
One clear advantage of small excimers lies in
their initial capital costs, a factor two to four times
less expensive than conventional excimer lasers. As
a result, industrial turnkey systems incorporating
small excimers will also be less expensive. Also the
laser systems will have a smaller footprint which is
particularly important in applications requiring Clean
Rooms.
4. Emerging Applications of Small Excimer
Lasers
4.1 Ophthalmology
59
Small excimer lasers, operating at 193nm, have
been incorporated into corneal refractive surgery
equipment. The laser ablates the corneal tissue to
correct myopic, hyperopic and astigmatic
problems. Using special beam delivery systems to
sculpt the corneas (6 to 8mm in diameter), typical
myoptic corrections of 6 diopter have been
performed in less than 30 seconds. The resulting
surface profile seem to be quite smooth after the
operation.
4.2 X-Ray Camera Apertures
For x-ray generation systems, small apertures
are needed in front of a camera to monitor x-rays.
Small pinholes in thin metal foils must be drilled with
high precision accuracy. Many of these pinholes will
be less than 10 microns in diameter and will be
located on disks less than 1mm in diameter. Small
excimer laser drilling is a viable solution.
4.3 Wire Stripping
Although wire stripping of hard disk drive slider
assemblies has been a favorite conventional excimer
laser application, there exists other market niches
in the medical device and coil actuator markets
where a single wire of a very small length needs to
be stripped. In such cases, small excimers are found
to be more suitable candidate.
4.4 Smart Cards
Smart card technology has flourished in Europe
where microchips are imbedded in credit cards to
allow on board intelligence for phone cards, banking,
shopping etc. Small excimer lasers are used to dice
polycarbonate material by a combination of mask
imaging long lines for fast linear cutting as well as
focal point drilling for complex contours.
5. Conclusion
As discussed in the introduction, the industrial
applications of lasers are numerous, undoubtedly
beyond the scope of this article. In the Indian
industrial environment, the reality is however
different. User here is more comfortable to use such
a sophisticated tool as a brought out item preferably
bearing a foreign label. The reasons are quite genuine.
Big and small time manufacturers do understand that
the quantity vis--vis quality is the key factor. Today,
the high technology areas are being pursued with
the highest level of R&D to cater to high end
products. And some of the products desire highest
level of precision machining with no compromise.
Laser is one of the automatic choice for such
nature of jobs. Many of the Indian industries are into
mass production of high precision products. Investing
in laser as a tool would be worth exploring. In a long
run, it also favours a cost benefit analysis.
Some of the big Govt. of India Institutions and
PSUs are now into the high technology areas of
R&D. With so much of privatization happening,
many avenues are now opening up for possible
collaborations for the product development stage.
This is an opportunity for private industries to
establish the required facility for such work. This
kind of infrastructure development requires both
cost, time and manpower. Big sectors, both Govt
& Pvt. would probably be more willing to share the
cost content, if a smaller partner is able to support
the cause. It saves a lot of hassles for the bigger
partners both in terms of time and procedural delays.
At the end, one of the most important and
critical issue that should be highlighted is the 'pooling
of resources'. Cost would be a major concern to
most of the small scale industry to set up such a
facility. Since these constitute almost 50% of our
industrial output. It would be appropriate if some
of these small industries could join hands and set up
a common central facility in select industrial areas
thereby pooling the financial and manpower
resources.
6. Acknowledgement
The author is grateful to Dr A.K. Maini, Director
LASTEC for his costant encouragement and support.
It is a great pleasure to acknowledge to Sh R.K. Jain,
Divisional Head, GDL Division, Sh A.K. Srivastava
and all resonator group members of GDL division
for all assistance to carry out this work.
N.R. Das
60
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61
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Anurag and Sanjay Jain

CAPE is defined as the positive temperature

As moisture is taken into account the virtual

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