CA July08

Editorial Advisory Board
Chairman
Prof. C.S. Venkata Ratnam
Director, International Management Institute
New Delhi
Members
Prof. B. Bhattacharya
Director
Institute for Integrated Learning in
Management
New Delhi
Mr S. S. Chakraborty
Managing Director
Consulting Engineering Services (India)
Pvt. Ltd.
New Delhi
Mr Rajiv Khurana
Management Consultant
The Personnel Lab
New Delhi
Dr. Aneeta Madhok
Vice Chair
The International Council of Management
Consulting Institutes (ICMCI)
Mumbai
Mr Navyug Mohnot
Managing Director
QAI (India) Limited
New Delhi
Mr N. S. Rajan
Partner (Human Capital)
Ernst & Young Pvt. Ltd.
New Delhi
Mr G. Shankar
President, Madras Consultancy Group
Formerly Vice Chairman, ICMCI &
President, IMCI
Chennai
Mr Tanmoy Chakrabarty
Vice President & Head
Global Govt. Industry Group
Tata Consultancy Services,
New Delhi
Mr Brian Ing
Chairman
The International Council of Management
Consulting Institutes (ICMCI)
Cambridge (U.K.)
Mr Arun Kochhar
DGM (Corporate Affairs)
Engineers India Limited,
New Delhi
Dr Bhimaraya A. Metri
Associate Professor (Operations Management)
Management Development Institute
Gurgaon
Dr Kiran Kumar Momaya
Associate Professor (Competitiveness)
Chairperson (Strategic Management Group)
Department of Management Studies
Indian Institute of Technology Delhi
New Delhi
Mr S. R. Rao
Executive Director
Export Import Bank of India
Mumbai
Prof. P. B. Sharma
Vice-Chancellor
Rajiv Gandhi Technical University
Bhopal
CONSULTING AHEAD - VOL. 2 - ISSUE 2
CONSULTING AHEAD - VOL. 2 - ISSUE 2 l1
1. Failure to Define
Failure to define the scope of the project and
deliverables at the outset, sets the project up for
failure from Day 1. Even if the project is still in its
infancy, it is essential that the scope, objectives,
parameters and outcomes of the project are defined.
If necessary, engage a consultant as part of a phased
approach.
For example :
Phase 1 : Define project objectives, scope,
stakeholders, terms of reference, out-
comes, deliverables, budget, timeliness
etc. This can usually be done within 1-2
weeks.
Phase 2 : Implement and deliver project.
Refer to Appendix 1 for key factors to consider when
defining Project Scope and Consultant Brief
document.
By clearly documenting the project scope there is no
confusion even if the common issue of 'scope creep'
comes up. When projects, roles and deliverables are
clearly defined, this ensures that all parties are
working towards the same objectives. If scope creep
While the engagement of consultants is essential to the success of
organisational wide projects, most organisations tend to commit a number of
common mistakes when engaging external consultants. On the flip side to
that, many consultants also make similar mistakes by not assisting the
organisations through this level of preparation.
For more than 10 years of experience as Organisational Development
Consultants and Brokers, aCE talentNET have identified seven (7) common
mistakes that organisations make in engaging consultants, and consultants
make when being engaged by clients, to deliver organisational project
initiatives.
No matter what your project, if you understand and avoid the following
mistakes, you will be assured of success with your delivered project
outcomes
becomes an issue then the initial 'Project Scope'
document is a great place to start to clarify roles and
responsibilities.
2. Failure to Select
Failure to select the right consultant can be the result
of many factors, for example :
lLack of clearly articulated project scope and
brief
lNot matching consultant capabilities with
those required for the project
lLack of time to conduct a thorough selection
process (including short-listing, screening,
interviewing, reference checking, etc.)
lPreference to appoint low cost consultants
lFailure to fully check consultant references,
referees and track record
lFailure to clearly document project
parameters in a contract.
Often the difference in paying an additional $3-$500
per day more can be the difference between
engaging an average consultant to an outstanding
one.
7 Common Mistakes to avoid when engaging a Consultant
Deirdre Gruiters
By all means use existing network of consultants to
approach with opportunities, but do not be afraid to
go to a broader range of suppliers and delegate the
responsibility for short-listing to suitable
candidates. Many clients fall into the trap of
engaging consultants they have used before or
consultants referred by colleagues or (dare we say it)
friends. Often these consultants do not have the
skills to deliver all aspects of the project and
therefore, their appointment is counter-productive
and a waste of valuable funds.
To ensure this doesn't happen, take 30 minutes to
document the desired types of skills, capabilities,
experience, qualifications and background to
undertake the project. Give careful consideration to
the personality and cultural aspects of the
consultant, as these factors are critical to finding,
selecting and appointing the right consultant, and
thus achieving project outcomes in the most
effective way possible.
Refer to Appendix 1 for a template to assist with
avoiding Common Mistake Number 1 and 2
Project Scope and Consultant Brief Template.
3. Failure to Induct
Unfortunately, the sad fact is that failure to invest a
few hours inducting a consultant into the
organisation, department and project can set the
consultant up for failure from the word 'go'. It is
essential that the consultant gain as much
knowledge about the organisation etc. and project as
soon as possible to ensure they are effective in
achieving the project deliverables.
Here are a few tips for an effective consultant
induction :
A. Meet with consultant on Day 1 to achieve the
following :
lBuild rapport
lClarify project scope and deliverables
l
indicators / project deliverables and
milestones / timeliness
lConfirm contract terms, e.g. duration,
rates, hours, compliance issues (e.g.
OHS etc.), administrative (e.g. PC,
workspace, workplace flexibility i.e.
working from home etc.)
lConfirm expectations, reporting lines
and autonomy
lAgree on methods and regularity of
communication and updates
lIdentify a 'buddy' for the consultant to
ensure administrative issues are
managed at the right level (i.e. not by
project leaders)
lEstablish protocols for monitoring
project scope creep; this often happens
within a project and building in
processes to manage this is essential.
B. Introduce consultant to project teammembers
and key stakeholders
Send communication to key stakeholders
confirming appointment of consultant, briefly
outlining consultant background and capability,
their assignment and seek stakeholders' assistance
in working with the consultant to deliver project
objectives. If pushed for time, delegate drafting of
this communication to the consultant as their first
task of the project.
4. Failure to Communicate
Clients have every right to expect that a good
consultant will hit the ground running and very
quickly become a productive and effective member
of the project team (particularly if Mistake 3 is
avoided!).
However, this does not mean that consultants do not
require the same level of communication and
Confirm consultant key performance
2 lCONSULTING AHEAD - VOL. 2 - ISSUE 2
Deirdre Gruiters
updating that regular team members and full-time
employees warrant. Treat consultants as you
yourself would want to be treated and you will be
more than half way there in avoiding this common
mistake.
The more communication a consultant receives the
more effective they will be in delivering project
objectives.
Make time to meet the consultant, at least on a
weekly basis, and set a firm agenda and timeframes
for what needs to be discussed. This does not have to
be a long meeting, say 20 minutes, but it does need to
be regular.
Also provide the consultant with a means of getting
in touch with you (or key stakeholders) in the event
something urgent needs to be discussed.
Many a project has failed due to the lack of
communication between project sponsors, leaders
and members!
5. Failure to Delegate
Assuming the right consultant has been selected,
they will be able to provide valuable assistance,
insight, research, methodologies, innovative ideas
and share experiences relevant to the project. One of
the most common mistakes made by clients is
failure to capitalise on this experience!
Clients must think outside the square, in terms of
viewing the consultant's role, and tap into what is
often a vast number of experiences gained over their
consulting career. Failure to tap into this knowledge
is not smart particularly when it is available.
Consultants often report that the role they were
contracted to fulfil was diluted to a point where
clients could often have on board lower paid
resources to complete instead. Clients must
'delegate, delegate, delegate' wherever possible and
use the capabilities and knowledge of the
consultants to the maximum effect.
There is of course a fine line between maximising
the skill set of the consultant and major project
scope creep, so care is required when expanding the
deliverables/KPIs of the consultant (see Common
Mistake Number 1).
6. Failure to Trust
This is linked with Common Mistake Number 5.
Failure to trust a consultant to do their job often
results in ineffective use of the consultant's skills,
experience and knowledge.
There is no mistaking the challenge and time
involved in developing trust in a consultant.
However it is strongly recommended that once
clients have provided solid direction regarding
expectations, tools, preferred layouts, metho-
dologies, objectives, timeliness and deliverables,
that they have a loose reign on the consultant from
the outset to allow them to showcase the quality of
their work.
Failure to trust in the consultant's skills, experience
and abilities can again, minimise the effectiveness
and value the consultant can provide to the project.
By undertaking the following, you will be able to
provide the right environment in which to quickly
build a sound level of trust with your consultant :
lSet clear boundaries
lSet clear guidelines regarding project scope
lBe clear about communicating organisational/
departmental values
lArticulate any necessary political issues for
careful management
Provide a supportive and communicative
environment
7. Failure to Review
As with all projects it is essential to regularly review
progress. So it follows that it is important to
regularly review the consultant's progress with the
project. Alas, this is often a common mistake made
by clients.
The objective of regular review is two fold :
1. Review Project progress including:
lDeliverables
lMilestones
lTimeliness
lBudget.
2. Give consultant feedback on such issues as:
lQuality of work
lContribution
lTeamwork
lCommunication
lAreas for improvement
And if you are brave, get the consultant to give you
feedback!
Summary
By employing each of the seven key steps, i.e.
Define, Select, I nduct, Communicate, Delegate,
Trust and Review you will avoid the common
mistakes often made when engaging a consultant.
By avoiding these 7 mistakes you will :
lEnsure the role of the consultant is clearly
defined
lMonitor the progress of the consultant towards
defined project deliverables
lHave confidence in your consultant to deliver
on project milestones and deliverables
lEnsure the consultant adds as much value as
possible to both the immediate role and wider
departmental team
lUtilise, to the fullest extent the skills,
knowledge and experiences of the consultant
lDeliver the project on time and within budget.
Deirdre Gruiters
Project Sponsor
Location
Days of Work
(i.e. shifts, weekends)
Start Date
Anticipated Length of
Project
Rate/Payment (i.e. hourly,
daily) GST Inclusive/
Exclusive
Expenses and Allowances
(Additional)
Travel Required
Special Requirements (e.g.
weekend work, drivers
licence, own car)
Project Description
Project Role
Project Deliverables
Project Critical Milestones
Consultant Skills Required
Appendix 1
Project Scope and Consultant Brief Template
Consultant Industry Experience
Consultant Profile
(i.e. personality, style,
experience, etc.)
Culture of Organisation and
Operating Style of Project
Leader
Technical Skills required
(e.g. IT, project management
methodologies, accreditations,
qualifications etc.)
Managing Expectations in Consulting Business
Consulting as a business is not as smooth as it would seemfromthe growing
number of consultants all over the world, across every profession
imaginable. A key reason for such growth is that many professionals are
opting for freelance consultancy as against full time employment, and the
market and acceptance for consultancy is steadily increasing. However this
is not the subject of this article. Although there is a phenomenal growth in the
consulting business, every consultant constantly faces a challenge in
managing expectations of the client. Successful consultants must learn how
to manage client expectations, enhance the client's satisfaction levels as well
as fulfill their goals and aspirations.
Before delving into the subject of expectation, it would be useful to
understand some background of the subject under discussion.
Consultancy Service
With globalization, and industrial growth all over
the world, a business establishment can not survive
only on its core competence. The main reason for
this situation is the fast disappearance of the
technology boundaries of different engineering
sciences. There is a pressure to innovate for survival
and growth, and the basic prerequisite for
innovation is to bring experience of other areas into
one's core technological strength.
Obviously, for a small or medium size business
entity, it is always not possible to hire experts in all
non-core technical areas, as full time employees.
Even if they could afford it, it is not justified to hire
an expert without adequate work for reasonably
long time frames. Also, any organization employing
only one person in a given area of expertise, would
force that person to work in an intellectual vacuum,
thus becoming increasingly isolated from the rest of
the organization. This would lead to frustration and
dissatisfaction among the employees. Therefore, the
obvious choice for the business entity is to look for
freelance consultants and hire their services for
specific purposes. This is also facilitated by a
growing trend of many professionals opting to work
from home or on flexible terms and timings.
One important point emerges from this situation.
Very often, the client has little knowledge of the
field for which the consultant is being hired. This
forms the seed of mismatch of expectations for both
the client and the consultant. Also, the client very
often fails to recognize that the consultant is not in
the pay roll as a full time employee, as also the fact
that the consultant would have other clients to
attend, and must balance responsibilities to do
justice to all clients.
While the situation is very similar in both cases
where the consultant is an individual specialist or a
company, having a group of experts under its
disposal, in most cases the services provided by
consulting companies are better defined and built
around specific, tangible deliverables. Also,
consulting businesses invest a fair amount of
resources, including legal and management
resources, in protecting the interests of their
members or partners. The problem of expectation
mismatch is also less difficult to manage when there
are many competing groups providing a similar
service. Services such as office automation and legal
services fall under this category.
Our concern is with individual, specialist
consultants typically operating in an individual
Sobhan Ghosh

any mismatch. As for example if the consultant is
expected to improve the efficiency of a production
unit, he should reasonably expect that the client
shares all the information related to the current
practice without any hesitation. The best time for
resolving expectation mismatch is in the beginning
of the relationship, or if possible during a courtship
period or pre-engagement cycle. Post mortem after
the job is completed has no merit, never leads to
acceptable solutions and ends in strained
relationships.
A successful management of client's expectations is
the key parameter for success in consulting
business. While it is incumbent on the consultant to
try to come up to the expectations of the client, it
should be understood that in this process the
consultant should not run out of resources and end in
a loss, and under no circumstances should the
consultant entertain any non-ethical expectations of
the client. Both of these, particularly the second one
will certainly lead to ruin of consultants credibility,
reputation and eventually business.
It is true that quantification of all the components of
expectations are not possible in the beginning, yet
efforts should be made by both the parties to
understand each other's viewpoints and
expectations, limitations and perceptions. While a
good legal document or MOU is necessary before
undertaking a service, it does not guarantee the
successful management of expectations. Such
documents are only useful when both the parties
decide to terminate the relationship due to mounting
dissatisfaction. Since the objective is not to reach
this stage, we should focus our attention in defining
expectations and agree only on those aspects and
deliverables which could be reasonably delivered by
each of the parties.
During the course of the relationship also, a planned
and structured periodic analysis is invaluable: if the
consultant feels that there is a potential of failing to
come up to the expectations of the client, it should
immediately be brought to the notice of the client
capacity and providing a consulting service as
intellectual input to the client. In such cases almost
invariably it is difficult to establish the quantum of
work required of, and carried out by the consultant,
as also to quantify the value of the service provided
by the consultant. Very often it is also difficult or
even impossible to define the deliverables package
at the time of engaging the consultant. Neither the
consultant nor the client has a clear idea of the end
product at the time of initial engagement. Both the
parties join together under a contract which clearly
defines financial implications without any proper
definitions of deliverables or rigid time frame or
methodology of delivery of services. The
perceptions of both the client and the consultant are
the only parameters to determine the level of
satisfaction of both the parties. These perceptions
drive the expectations. Since the consultant is in the
receiving end of direct financial benefits, he has to
ensure that the expectations of the client fall within a
reasonable scope of activities, as envisaged by the
consultant. Therefore, considerable efforts are
needed on the part of the consultant to moderate the
perception of the client at the initial relationship
building stage and before drawing up a contract
document for the service.
Let us now define what we mean by expectation.
Client's Expectation
Any relationship, as we know, invariably builds
upon some expectations from both the parties. If
such expectations are fulfilled for both the partners
of the relationship, we can consider that it is a win
win situation. This is the most desirable outcome
for any long lasting happy relationship. If this
objective is not met, it leads to frustration for one or
both the parties and eventually ends in termination
of the relationship, with a bitter taste in the mouth.
While dealing with the expectations of the client, the
consultant must try to understand the client's view
point and also express his expectations for a
meaningful interaction, and work towards resolving
with the reason for this likely failure, suggesting
corrective measures and seeking the client's
acceptance through mutual interaction.
In the subsequent sections we shall focus on a few
areas where the expectation of the client deserves
early attention, and how such expectations could be
moderated by the consultant for a smooth long
lasting relationship.
Typical Expectation Conflict Areas
1. Availability of the consultant round the clock
2. Tangible financial return from the service
rendered by the consultant
3. Disclosure of confidential information of
clients competitors, if in possession of the
consultant
4. Consultant to directly assist in securing
business using personal influence
5. Projection of client's name to impress
potential customers
6. Consultant not to accept similar assignments
from the client's competitors
7. Consultant to not disclose any secret
information received from client, to others.
8. Consul tant to generate i mpressi ve
documentation of the service provided
9. Consultant to oblige client through informal
continued support for areas beyond the scope
of contract assignment during the assignment
tenure or even after the termination of the
contract period.
10. Consultant to hold the cost and time line even
if the scope of service is changed during the
course of progress of the project
11. Client to enjoy all intellectual property rights
even if created by the consultant's own efforts
independent of, or prior to the engagement
12. Consultant to provide indemnity to the client
for any possible damage to client's business
arising out of the service provided by the
consultant
13. Consultant's invisible expenses and terms of
billing of these to the client
14. Consultant to guarantee expected outcome/
performance of services rendered.
15. Consultant to provide service even after the
tenure of the project
16. In case of dispute, the client's decision to be
binding on the consultant.
We can see from the long list that many of these
expectations are quite justified from the point of
view of the client, but some of them almost cross
ethi cal or moral boundari es. Under no
circumstances it is desirable that either party should
agree to any non-ethical terms of engagement.
We have listed only the expectations of the client;
while making an effort to satisfy the client, the
consultant also has to align aspirations and
expectations to reach a mutually acceptable
solution. It would be understood that the most
important aspirations for the consultant are survival
and growth of the consulting business, increasing
ongoing client list, and developing long lasting
relationships with the clients. All these are possible
if the client is fully satisfied with the quality and cost
of the service provided. However, the consultant has
to balance his own resources and firmly avoid going
out of the way to satisfy the client, without
consideration of financial and capacity impacts.
After the most important aspiration listed above,
another key aspiration of the consultant is to
enhance his knowledge base through association
with different clients. This may not have direct
impact on the financial balance sheet of the
consultant but it significantly helps in increasing the
business arena, which eventually leads to more
business. This aspect should also be kept in mind
while dealing with the clients expectations.
Sobhan Ghosh
In subsequent sections, we shall discuss these
client's expectations and their possible implications
from the consultants view point, and how a
consultant could address these issues. As a general
practice, it is desirable to generate a good document
for the assignment agreement, before commencing
any activity, and attempt to anticipate, document
and moderate most of the expectations to the mutual
satisfaction of both the parties. In case it is not
possible to anticipate a given expectation at the
beginning, the consultant should initiate dialogue as
soon as he realizes that a certain expectation of the
client is a point of concern. This is a much better
strategy than to raise the issue at a later stage.
Dealing with the Expectations
Availability of consultant
A consultant has some obligation to help the client in
case the requirement is directly related to the service
provided by him, even after the termination of the
contract agreement, for at least a reasonable period
of time. This clause could be suitably incorporated
in the contract document. However, this should
definitely not be unlimited and open ended, and all
direct cost (travel/time) incurred by the consultant
should be indicated and charged.
During the contract period, very often the client
expects the consultant to be available at the client's
disposal at any arbitrary time and date. This concern
should be highlighted in the contract document and
a specific notice period could be required to be given
by the client, in case the availability of the
consultant is not required for fixed dates during the
contract period. Generally the client appreciates that
the consultant has other clients to attend and there is
no difficulty if addressed at the time of contract
document preparation. But this rigour may be
difficult to bring in at a later stage.
In other cases, where by virtue of the association of
the consultant with the client, the client may try to
exploit the consultant even after the contract period
is over, in some pretext or other, such as continuing
to project the consultant as a part of the client's team
to the outside world, such requests should be
politely declined at the outset, rather than wait till
later when the frequency of such exploitation tends
to increase.
Tangible financial return
This is perfectly reasonable and logical from the
client's viewpoint since the consultant is typically
being hired with the objective of enhancing profits.
However, this is a very difficult area for the
consultant to commit to. This is especially true when
the service is of non-routine nature and highly
specialized, without any precedence. As an
example, for services such as office automation the
client has prior knowledge of benefits and there are
competing consultants. Therefore in such cases the
cost competitiveness of the consultant could be
easily established.
On the other hand, for non standard services such as
development of a new product jointly with the
consultant using the expertise of the consultant, it is
really difficult for the consultant to establish the
worth and merit of the service rendered. In such
situation it is advisable that the consultant should
constantly make an effort in driving the right
perception for the client from the beginning. The
consultant's reputation from past activities and
proper projection helps to build the client's
perception, but the consultant can never guarantee
or even ensure that the client's business proposition
itself is sound, or that the client's execution of the
proposition will be effective.
Disclosure of Competitor's Secret I nformation
This expectation directly conflicts with business
ethics and under no circumstances should the
consultant yield to such expectation. In many cases
this itself is the hidden agenda of the client while
hiring a consultant who has previously worked with
competitors in a similar area. In case the consultant
suspects or even envisages such a possibility he
should clearly express inability to divulge such
information, well before the assignment is
undertaken. Admittedly, some consultants indulge
in such ethically unacceptable practices to gain
business, with the consequence that the same client
will never hire the consultant in the future for fear of
divulgence of valuable information to competitors.
However, by virtue of working with the clients
competitors, the consultant might have gained some
experience and the benefit of this must be fully
passed on to the new client. In fact this aspect is a
very important asset in consulting businesses. It
should be clearly understood that conceptual
knowledge is the sole property of the consultant
whereas the client is the rightful owner of
confidential business information.
Business using personal influence
Use of personal contacts or influence for the gain of
the client does not really fall in the scope of services
provided by a professional consultant. Therefore,
though some persons specializing in such fixing
or facilitation as a line of work questionably call
themselves consultants, this type of engagement
does not merit discussion in the present article.
Nevertheless, a consultant must understand this
issue and stay away from such clients who are
considering an engagement for such purpose. In
cases where in addition to using the consultant's
professional skill/expertise, there is a possibility
that the client may also be interested in using the
consultant's contacts or influence, it is necessary
that the consultant clearly indicate at the time of
contracting, that such services will not be provided
by them. It is not simple to incorporate such a clause
in a contract document, but it could be
communicated in clear terms. This will help in
moderating the expectations of the client at the early
stage itself and future disappointments would be
avoided.
Projection of client's name to impress potential
customers
Very often the client expects to gain mileage by
using the name and reputation of the consultant,
whom he has engaged. Prima facie, there is nothing
wrong in such expectation. In fact this is one of the
things that sell consulting as a service. However,
before agreeing to publicize the association on a
certain activity, the consultant must ensure that the
projection is not distorted. This means he should not
render himself vulnerable if he is not fully
responsible for the success or failure of the specific
activity.
The consultant should never permit the client to use
his name for business gain, unless directly related to
the engagement itself and the use of the consultant's
expertise in the specific context projected.
Consultant not to accept similar assignment from
client's competitors
It is always the expectation of the client that the
consultant should not work with his competitors.
The obvious reasons are possible leakage of secret
information and preventing competitor from
availing the consultant's service. However this is
non-ideal for the consultant because it severely
restricts consulting business growth. To handle this
issue we will identify two distinct types of
consulting activities and deal with them separately.
For commodity services such as office automation,
development of computer networks etc. such
restrictions should never be agreed to by the
consultant. Also most clients do not consider this as
a prime concern. For such services the industry
standard is that most consultants work with multiple
clients who could well be competitors.
On the other hand, for specialty areas where the
consultant is working on a unique project in close
association with the client and may have access to
sensitive information of the client, such a demand
may be fully justified on the part of the client. Since
such services are not classified as a commodity
service, consultant may agree to such terms.
However, this condition severely reduces the
consultant's window of opportunity and in some
Sobhan Ghosh
cases the consultant should explicitly seek to
compensate this by enhancing the service charges,
with the reasons clearly stated to the client. While
the consultant may agree to refrain from working
with competitors during the association with the
current client, he may demand to reserve the right to
take up such assignments in the future or, at best
after a lapse of specific period.
The non-compete period itself should be
proportionately compensated in the contract as far
as possible, such that the client compensates the
consultant suitably for as long as the non-compete
clause is causing the consultant a loss of business
opportunity. Such clauses are routinely incorporated
in the contract document by consulting companies,
and there is no reason this should not be done by an
individual consultant.
Non disclosure of client's secret information
This is the most reasonable expectation of any
client. The only point of concern here is the
definition of secret information. Public domain
knowledge and consultants own knowledge
acquired by virtue of experience and expertise,
would never be covered under this. There are
standard drafts available with most organizations,
and typically these drafts are drawn to be acceptable
by both the parties. It is advantageous for the
consultant to incorporate this clause in the contract
rather than no clause at all. Misunderstanding and
disputes could result if the contract document is
silent on this clause.
Documentation by the consultant
The consultant is often expected to produce
impressive documentation for the services provided
even if the service could be equally effective without
elaborate documentation. However it is a good
practice on behalf of the consultant to produce
proper documentation and keep provision for such
activity in the cost of the service, with a stated cost of
effort for it, even if the client does not explicitly
express this requirement at the time of contracting. A
common, yet easily overlooked effort is the
maintenance and submission of timesheets by a
consultant: The client may expect this effort to be
free, unless explicitly notified of it.
Such documents are very necessary for large
corporate clients, while for small clients there could
be some scope for reducing the level of
documentation with corresponding reduction in
service fees.
It should be kept in mind that a good documentation
of the service rendered goes long way in impressing
the client as well as in acquiring future business.
Supports for areas beyond the scope of contract
assignment
This is a common problem with consulting and has
to be handled carefully. Very often the client will try
to stretch the boundary of the scope of activity and
expect the consultant to support it. This is more
complicated when it is not possible to precisely
define the scope of the consultant's service due to the
very nature of the particular service area.
Specifically when the consultant is operating in an
individual capacity, there is a general tendency of
the client to consider him as a full time employee
and expect his services to be available as and when
he requires.
Since it is not always possible to turn down such
requests to avoid strained relationship, the
consultant should oblige the client to a reasonable
extent with a mention to the client that he is
providing the service as a friendly gesture rather
than against the prevailing arrangement. Clearly,
though, it must be ensured that such services do not
demand too much of the consultant's resources.
In cases where the consultant is entitled to charge on
per diem or per hour basis, he should bring to the
notice of the client immediately after the service
rendered that the activity was beyond the initial
estimate and scope of the activity as per the contract.
This will help in avoiding any future misunder-
standing or dissatisfaction of the client.
Time and cost overrun
For a well defined service the client invariably
assigns responsibility to the consultant, even if a
delay is due to the client, due to external
circumstances or the scope is enlarged as per client's
desire. It is most important that the consultant
projects an accurate cost and time line, based on
previous experience, resources and ability to handle
the assignment, as well as any prior knowledge of
the client's behavior patterns. The consultant is
obviously responsible for any lapse on his part and is
expected to absorb the penalty.
However the contract document must clearly
indicate what is expected from the client for holding
the cost and time line defined by the consultant. This
significantly reduces any future dispute or
dissatisfaction of the client.
However, for specialised non commodity services,
where the expertise of the consultant is being
utilized by the client for developing a new product
etc., it is often very difficult or impossible to
estimate the cost and time frame accurately. This is
more so when the field of specialisation of the client
and the consultant are different. In such cases it is
desirable to keep provision in the contract to review
resource requirements, project plans, dependencies
and timelines periodically as the project progresses
and introduce gates or milestones, on reaching
which, the time and cost frame could be revised or
both the parties would be at liberty to terminate the
contract.
Ownership of the intellectual property rights
In almost every case where some intellectual
properties (IP) are developed and patent obtained,
the client expects to reserve the sole right of such
properties. The reaction of the consultant on this
expectation is different for different situations and
the consultant must carefully examine the
implication for the specific case before agreeing or
disagreeing to allow such rights to the client, and
this clause must be incorporated in the contract, if
there is a possibility of creation of intellectual
property through the service.
The consultant must evaluate if the IP is created
solely by his own efforts and it has future bearing on
his business or, has good potential for wealth
generation through its exploitation; in such cases he
may not agree to forego the full rights of the IP. It
must be noted that the consultant is not an employee
of the company; therefore he need not give away his
rights on the IP. A joint ownership could be
negotiated at the time of contracting.
In situations where the key of the IP is generated by
the client and the consultant's services were only
used in peripheral activities such as developing
prototypes etc., he ought to agree to the clients sole
ownership, if he fails to convince the client for joint
ownership of the IP. In all cases of IP ownership it is
also possible to negotiate a price the consultant
could receive for granting total right to the client, if
this suits the best interests of both parties.
I ndemnity
This is a very reasonable expectation by the client,
that he should not be held responsible for third party
confidential information (including patent
infringement by the consultant) if received and
utilised by him. It is consultant's responsibility to
ensure that he is not divulging any third party
confidential information or, advising certain
practice to the client the IP of which is protected by
others.
However the gray area is that client may expect the
consultant to be responsible for any damage to his
customers or, own employees while using the
solution provided by the consultant as developed
through the consulting service. Under no
circumstances should a consultant agree to this. In
case where such eventuality is possible, this point
Sobhan Ghosh
should be clearly addressed in the contract
document.
I nvisible efforts by the consultant
In general the client does not have any difficulty in
understanding the cost of the service provided by the
consultant when the consultant is physically present
at the client's place of business or in meetings. The
difficulty arises when part or all of the work is
carried out by the consultant away from client's sight
or time is spent by the consultant in travel in
connection to the clients work.
As far as possible unplanned travel time and cost
should be included in the direct service charge,
although this may be at a different rate from the rate
for the time spent by the consultant for the core
service provision and the normal travel
requirements. This is particularly true when the
charges are billed by the consultant on a per diem or
per hour basis.
A classic case is when a consultant is expected to
travel a couple of hours each time, to attend an hour's
meeting, and the client expects to be billed only for
the meeting time. A somewhat more difficult case is
when a meeting is scheduled, the consultant keeps
the time free, and then the meeting is cancelled or
postponed at the last moment.
The golden rule for billing as per time basis is that
the consultant should not take undue advantage of
this arrangement. The consultant also may specify
the lower and upper limit of the service cost where
the service provided is for blanket coverage and
could not be precisely defined at the beginning.
Mutual trust is developed only when the consultant
demonstrate his integrity over the period of
association. Once this mutual trust is built up, the
problem is virtually eliminated and the client will
not have any dissatisfaction regarding the billing for
the services provided.
In some situations the consultant should be prepared
to absorb some of this invisible cost to keep the
client happy, for which the consultant could keep a
margin while negotiating the service charges and
rates.
Provision of Guarantee by the consultant
When the deliverables are in the form of a product,
developed jointly with the client or, solely by the
consultant, the general expectation of the client is
that performance of the product should be
guaranteed by the consultant. Before agreeing to
this clause, the consultant must ensure that he is
certain about its performance and has reasonable
control on its usage. For products which are not
proven earlier and consultant is not 100% confident
about performance, it is advisable not to accept this
clause.
Efforts are required on the part of the consultant to
convince the potential client about the performance
of the product by highlighting his track record and
expertise, to win the confidence of the client and
eventually the contract, but agreeing to any
guarantee and compensation could be hazardous, in
case of non performance of the product.
Extended service by the consultant
Once the contract period is over, the client may
occasionally require the service of the consultant for
any trouble shooting of the product or process
developed with the help of the consultant earlier. As
a goodwill gesture, the consultant should extend this
support within reasonable limits; however the client
should be billed for the reimbursement for the direct
cost towards travel etc.
At times the client may also seek some help from the
consultant in areas other than the earlier job
executed by the consultant. This generally happens
when the client appreciates the consultant's
knowledge base and ability to provide a good
solution for the client's problems. This is a good sign
and often leads to financially beneficial long term
business association with the client. To some extent
the consultant should extend such support, without
over-extending his own resources, but must be
careful no to be exploited by the client.
Dispute resolution
Almost invariably the client desires that his decision
should be final and binding on the consultant, in case
of any disputes. This is a serious issue for the
consultant. The consultant should not agree to this
point and insist on a mutually agreed third party for
resolving any dispute. It is desirable that this clause
is incorporated in the contract document, rather than
keeping silent about this eventuality.
Summary
Evidently, this article is not all-encompassing and
definitive, and the implications and importance of
individual expectations are case specific. The
objective as put forward above is to converge the
expectations of both parties and create a win-win
situation, so that long range healthy and mutually
rewarding relationship is developed between the
client and consultant.
Survival and growth are of course the prime
expectations of any consultant, but these are more
difficult for an individual consultant to achieve. For
an individual expert consultant providing
specialised service to a large commercial entity, it is
always a challenge for the consultant to manage the
expectation of the client, with limited resources.
However, careful evaluation of the consequence of
such expectations at the negotiation stage is
extremely useful to develop a successful working
relationship.
While a properly drafted contract document is
helpful in avoiding or limiting any misunderstand-
ing during the course of the interaction, the objective
is not to escalate to a reference to the contract
document unless it is absolutely necessary. The
consultant should make a constant effort to
understand the clients view point and expectations
and try to satisfy these as far as possible, and
especially try to moderate these expectations
through constant dialogue. Under no circumstances
should the consultant cross ethical boundaries, to
meet unfair expectations of the client, even if it is at
the cost of business.
A successful consultant must understand and even
predict the client's view point and expectations and
be able to manage these expectations through
suitable allocation of his own resources.
The author is grateful to Anindo Ghosh, a freelance consultant and professional photographer, for his
support during conceptualisation and preparation of the manuscript.
Sobhan Ghosh
Framework for Implementing Knowledge Management
The economies of nations and companies are thriving on
innovation and knowledge management; the objective being
survival, growth and strategy execution. The article explores
various changes (cultural, organizational, process, people and
technological) required to enable a knowledge sharing and
learning organization that continuously comes up with new
products, processes and systems.
The key aspects covered in the article are:
I dentifying the Knowledge required : The strategic roles that
deliver on the strategy are identified and key knowledge areas for
each of these roles are finalized. The organisation's knowledge
readiness is determined through a knowledge assessment exercise.
Creating a Culture of Learning and sharing: It is important to
create a learning culture to ensure that employees gain and create
new knowledge for the firm. It is part of employees' key
performance indicators to learn and share knowledge.
Processes and Technologies to support Knowledge Management:
A KM process is defined using techniques such as Communities of
Practice, Tacit knowledge externalization and Learning styles
definition. Key technologies such as portals, eLearning and
Business intelligence systems are also identified.
Assigning Responsibilities: The article recommends establishing
a Chief Knowledge Officer (CKO) as the owner of the entire
Knowledge Management process, who will act as the driving force.
Minoo Dastur Ravi Teja
Knowledge Management will and should answer
the following questions :
1) Why manage knowledge?
2) How does it positively affect our Business
Performance?
3) How do we know What Knowledge is required?
4) How do we create a culture of Learning?
5) How do we ensure that employees do Share
Knowledge?
6) What Processes can we provide to enable KM?
7) What Technologies can we provide to enable
KM?
8) Who is Responsible for KM?
Why Manage KNOWLEDGE? To
Continuously Create VALUE
Value creation in the present era needs to be
understood from the perspective of a knowledge
economy. Continents, nations, industries,
companies, institutes, groups and human beings are
global entities for which value needs to be created.
1
As per the Living Systems Theory, the primary
purpose and goal of these entities is to SURVIVE
and GROW. And to achieve this goal, they need to
have the capability to adapt themselves to the
changing needs of the environment. They need to
interact with the environment, take feedback from it
and continuously learn, innovate and adapt
themselves. In short, they need to be sensitive to the
environment. The environment consists of people
(citizens, customers, suppliers/vendors, employees,
competitors, investors, etc.), nature (forests, water,
air, land, animals, etc.) and much more.
Value in the agricultural economy was about land,
resources and labour. Individuals were the key focus
area and they could produce value almost single-
handedly. In the industrial economy, the assets were
focused towards money and machines and the
concept of workgroups was introduced. But in
today's knowledge economy, the assets that create
value are the intangibles such as experience,
intuition, idea generation, innovation, collaboration
and capability enhancement. Value creation
happens through networks, boundary less entities,
and through high levels of collaboration and sharing
between these entities. In fact, the share of value
generated by intangibles in today's economy is a
staggering 85% vis--vis the share of tangibles that
is only 15%. This is the reason why all great
companies worldwide have their market value far
greater than their book value. Global statistics say
that the rate of return on intangibles is 10.7% and in
comparison the rate of return on tangibles is 7% and
that of financials is 4.5%.
2
Peter F Drucker in Managing for Results said,
Tangible resources, money or physical equipment,
do not confer any distinction. What does make a
business distinct and what is its peculiar resource is
its ability to use knowledge of all kinds from
scientific and technical knowledge to social,
economic, and managerial knowledge. It is only in
respect to knowledge that a business can be distinct,
can therefore produce something that has a value in
the market place.
The knowledge economy has provided the under-
developed nations, developing nations, under-
performing industries and companies to leapfrog
and take advantage of new knowledge through
boundary-less collaboration and sharing. Charles
Darwin said, It is not the strongest of the species
that survives, nor the most intelligent, it is the one
that is most adaptable to change. India is a good
example that is taking advantage of the knowledge
economy and has also shown the willingness to
learn, innovate, adapt and change. Darwin's theory
throws open a number of challenges for these
entities. Nations, companies, human beings and
others have to continuously experiment and
innovate to come up with a number of alternative
ways of achieving their respective goals. One of the
fittest of these ideas would succeed out of the many
that were experimented and that FITTEST and
SUCCESSFUL idea would ensure that the company
succeeds and creates value and survives and grows.
So, a culture of continuous and purposeful
innovation is extremely critical and Peter Drucker
has seconded this theory. Innovation and
improvements should not be by accident but by
choice and design.
To summarize, the changing needs of the
environment around us has necessitated a need to
learn, share and collaborate with each other.
Customers' needs change, they have newer desires
and even higher aspirations. Most times, they are
unable to express their desires and aspirations in
words. A traditional customer satisfaction survey
will never reveal the desires and aspirations of the
customers. Based on their present needs, the
customers would consider themselves extremely
satisfied with their present vendors and service
providers; but as soon as competition comes up with
newer products and newer services that cater to their
enhanced needs and desires, they would not blink an
eye to switch to a new vendor.
Similarly, investors have changing needs depending
upon the phase in which the company is at a
particular point in time. In the initial and start-up
phase of the company, they are happy to have funded
a perceivably good business proposition; they
would then expect it to be stable, and then grow and
fund itself. They would expect higher returns over a
period of time. Some investors have a long-term
interest in their companies and some want to make a
quick buck and quit (a la the investors and
shareholders on the stock exchange). Worldwide
statistics prove that the investors churn at the biggest
rate in any industry.
Minoo Dastur, Ravi Teja
Employee needs also change over a period of time.
In the knowledge economy, no longer they are
content with doing the tasks that result in the
successful running of the company; they would also
like to be involved in strategy formulation and
execution with high levels of empowerment. They
would expect their employer to utilize their brains
and intellectual ability rather than just their hands.
Organisations need to keep track of the changing
needs of their employees so that they are able to
retain their best talent and ensure that their
employee goals would eventually lead to the
organisation goals.
Suppliers today don't just want to be seen as vendors
providing raw material, but would like to be seen as
critical entities that create value in the whole value
chain. Eli Goldratt, a famous management
consultant says, No one in the value chain has sold
until the final consumer has bought the finished
good in the market place. Suppliers would like to
see themselves as partners or an extended company
since their success depends not just on their sale to
their customer; but also their customer's sale to the
final consumer. In today's economy, the competition
is not between companies, but is between
Networks. A Network is a group of companies that
are part of the value chain. The most successful
example of a network is the Chaebol in South
Korea. Thus, tracking the changing needs of the
suppliers is critical to a company's success.
Tracking competition is critical too. Competition
would have learnt faster about the changing needs of
the environment around them. They say, Better late
than never. To quickly copy what competition does
also is a great skill to possess and keeps the company
always in line with the latest that is happening in its
own industry. Benchmarking one's products,
services, processes and your policies with other
companies in or outside of one's industry will help
since success is always a relative term.
How does Knowledge Management positively
affect our Business Performance?
Survival and growth of the entities means
sustainable development and performance of these
entities that could only be achieved through
continuous value creation (see Figure 1).
Leveraging and implementing best practices
leading to continuous improvement would lead to
value creation. Unfortunately, continuous
improvement can't happen without innovation in
all areas. Innovation demands a strong urge for
learning, knowledge exploitation, knowledge
creation and knowledge acquisition. Learning
requires content (both structured and un-structured
content) that could be delivered through books,
face-to-face contacts, interactions, IT applications
(such as the Internet); and it also requires the right
intent to share and collaborate. All these happen in
the context of the business purpose of each of the
entities.
The business purpose is extremely critical for each
entity and needs to be communicated to each
stakeholder in the entity. In the case of some sample

Content

Intent

BusinessPurpose

Learning

Innovation
Sustainable Development & Performance
Leveraging Best Practices

Value Creation

Figure 1
Framework for implementing Knowledge Management
nation (country), the business purpose could be To
be a fast growing economy in the world by
exploiting its natural resources, strengths and
competencies. Any learning, sharing and
knowledge creation has to happen within the context
of the above business purpose for this sample nation.
This theory is similar to Porter's theory of
Competitive Advantage of Nations. In the case of
companies, it is similar to the theory of Core
3
competencies by C K Prahlad where he talks about
creating value in a company by taking advantage of
its core competencies and continuously building on
its core competencies so that it is difficult for
competitors to imitate.
To summarize, learning in any organisation would
lead to improvement in business processes that
creates new products and services and that sell to
and serve the customers. The process improvement
would lead to customer acquisition, retention,
satisfaction and loyalty ultimately leading to
financial revenue, growth, productivity and
profitability.
How do we know what knowledge is required?
What content is critical for the organisation?
Adopted from Strategy Maps by Robert Kaplan
4
and David Norton
The knowledge that is required by an organisation
depends upon the strategy and the focus of the
organisation at any point of time.
An organisation can have a Financial strategy that is
focused either on Growth or Productivity or both.
The Growth strategy would lead to increase in
market share and expansion or customers. The
Productivity strategy would lead to decrease in
costs, better utilization of organisation assets and
lower cost to serve the customers.

Long-Term
Shareholder value
Broaden Revenue
Mix
Improve Operating
Efficiency
Financial Advisor Price / Quality
Operational Excellence

Customer Management

Innovation

ResponsibleCitizen

Customer Value
Proposition
Financial
Performance
Process
Innovation

Product and
Service
Innovation
Strategic
Roles
Productivity strategy
Growth strategy
Trusted
Brand
Integrated
Offering
Minimise
Problems
Provide
Rapid Response
Shift to
Appropriate
Channel
Cross-sell the
Product Line
Understand
Customer
Segments
Develop
New Products
Diverse
Workforce
Quality
Managers
Call Center
Reps
Community
Recruiters
J oint Venture
Managers
Consumer
Marketer
Financial Planners
Tele-
marketers
Solution Selling
Relationship management
Product-lineknowledge
Professional certification

Financial self-planning model
Customer profitability system
Integrated customer file
Web-enabled access

Customer partnership
Aligned with strategy
Best-practicesharing

Organisation
Capital
Information
Capital
Knowledgeand
Competencies
Capital

Figure 2
Depending upon the financial strategy chosen, the
customer value proposition could be either based on
Price, Quality, Functionality, Service, Accessibility,
Brand, Customer relationship or Delivery. The
company could choose to be the Lowest cost
producer, or Solution seller (one-stop shop for all
products) or Innovator (the first in the market in the
chosen areas) or a Stable platform provider with a
lock-in strategy.
Depending on the customer value proposition
chosen, the critical business processes of the
organisation have to be optimized and improved.
These processes could be categorized as
Operational Efficiency, Customer intimacy,
Innovation / R&D and Regulatory. The key process
focus areas will deliver on the customer value
proposition of the organisation leading to financial
growth.
For each of the process objectives, the strategic job
families need to be identified to deliver optimally on
the processes. Key competencies, values and
knowledge that are required by these jobs have to be
assessed and the gaps need to be bridged by creating
a culture of Learning, Knowledge sharing and
Collaboration. Strategic IT portfolio that would help
in automating the critical business processes are also
prioritized and delivered. Thus, a clear agenda on
what knowledge, competencies, values and IT
systems need to be acquired is finalized to deliver on
the business strategy.
How do we create a culture of Learning? The
Intent to Learn
Learning happens in communities. Competencies
such as team-work and collaboration are very
important. The intent to learn in organisations
cannot be institutionalized without a culture of
collaboration. Ontology has an answer to this
problem. Ontology is a science of Being and
Existence. In the context of an organisation, it
defines what it wants to be in its Vision and Mission
statements. If communicated well, these statements
would automatically define what each employee
should be. E.g. The mission of the company is To
be the most customer-centric and innovative
company in its chosen areas of business and
markets. Thus, each employee can re-define
himself/herself as Customer centricity and
Innovation. People should be able to see both
these values in each and every employee and their
respective actions. Like they say, There is a
difference between 'Saying Customer-centric and
Being Customer-centric. In layman terms, it is the
difference between Saying sorry and Being sorry.
Being dictates Doing in individuals.
Employees as human beings can redefine
themselves in organisations. The question that needs
to be asked is whether an employee is being an
individual, or being a group or being an
organisation. Let's take an example. If the objective
is To be on time for a particular meeting, then let's
take the following scenarios:
If one is being an Individual, then it is okay for him
to be on time. He has fulfilled the objective
completely. If one is being a group, then it is not
okay for him to be on time, but the whole group
needs to be on time. The actions that would be
triggered by being a group are that all individuals
will collaborate and ensure that each and everyone is
on time. By being a group, it is ensured that
everyone is on time and not just a few people.
The intent to learn can happen only when each
individual is being a group and not just being an
individual. Creating such Intent is a MUST for
learning and sharing.
How do we ensure that employees do share
knowledge?
What gets measured gets done. Learning and
sharing need to be part of the Scorecards and KPIs of
each employee. Employees will no longer be
measured just on financial and customer objectives.
They will also be measured on their contribution to
process improvement and their contribution to
organizational knowledge creation and competency
enhancement. Thus, a typical scorecard of a
salesman in any organisation would include the
following:
l objective To increase revenue in a
particular geography
lCustomer objective To ensure 100%
customer satisfaction
lProcess objective To improve the sales
process by increasing the hit rate on proposals
lLearning obj ecti ve To i mprove
communication and presentation skills, to
increase collaboration with the pre-sales team
and to contribute new ideas for market
expansion
The above scorecard ensures that the salesman is not
just measured on financial objective that give an
indication of past performance since they are lag
indicators. The salesman is also measured on
customer satisfaction; proposal hit rate
improvement; and competency development,
knowledge sharing and innovation. The Learning
objectives are the lead indicators and give you a
view of future performance.
Similar scorecards can be created at the Corporate
and Functional levels in the organisation with
balanced objectives and measures at all levels.
To encourage collaboration and team performance,
the performance management model needs to be
revamped and should include weightages to
corporate, group and individual performance. The
overall performance of an individual can be
calculated as follows:
lCorporate performance 50% weightage
lDivision performance 30% weightage
lIndividual performance 20% weightage
The above would ensure that collaboration and
teamwork are encouraged and rewarded.
What processes can we provide to enable KM?
Processes and methodologies that would enable
knowledge management should be in place. The five
points above ensure that the right metrics, intent and
Financial
content is in place for employees to collaborate. To
ensure continuous creation of new knowledge and
exploitation of existing knowledge, there is a need to
introduce new processes and methodologies that
would enable knowledge management. Processes
should be in place for the following scenarios:
lExperience gained on practices while
performing day-to-day operations and tasks
lExperience gained on practices while
performing on projects
lExperience gained while interacting with
customers
lLessons learnt on successes and failures
lNew ideas on products, services, best
practices, customer needs, competition, and
market analysis through structured informal
communities known as Communities of
Practice
lTacit knowledge externalization using
techniques such as Role playing, Critiquing,
Story telling, etc. This process ensures that
knowledge shared is both explicit and tacit.
What technologies can we provide to enable
KM?
Enterprises today use the motto of ancient
Olympians. They want to be FASTER, as they strive
for real-time capabilities that remove latency from
processes in support of more-connected business
models, which demand accurate and timely
information. They demand HIGHER return on
investment and earnings per share via cost cutting,
modified business models and a renewed focus on
core competencies. They show BRAVERY in the
form of collaboration, customer and supplier
portals, marketplaces and fundamentally more-open
business models and application architectures. The
impact of the above is to apply substantial changes
to IT products to serve virtual and real-time
enterprises.
Verna Allee, a well-known Knowledge Manage-
ment guru in the USA, said, The really big return on
knowledge-based IT products is building capability
for the future. That requires different measures for
ROI. Capabilities are the precursors to sustainable
performance. Capabilities represent the link
between strategies and performance. Capabilities
that generate other capabilities are Collaborating
and Learning. Thus, IT products of today need to
support both collaboration and learning that would
lead to knowledge exploitation and knowledge
creation which in turn would lead to creation and
leverage of best practices. The IT products need to
specifically cater to the following:
lAccelerate the generation of capabilities.
Shape a boundary-less culture for greater
synergy
lConnect people into a network for greater
speed. Promote i nnovati on through
collaboration and problem-solving situated in
work
lPrevent knowledge loss from the organization
through exchange of cross-generational
expertise
The key functionality and features of these IT
products are Collaboration, Learning, Knowledge
creation and exploitation, Discussion, Real-time
messaging, Structured and non-structured
knowledge, Document management, Analytics, and
Integration to transaction applications. Some of the
key IT products that have contributed to a country's
success are the Internet, Government portals,
Kiosks, Electronic commerce, eGovernance, and
Citizen self-service. Some of the key IT products
that have contributed to an organization's success
are Enterprise business applications, Enterprise
integration, Workflow and Process automation,
Electronic commerce, eLearning, Intranet/extranet/
groupware, Document management and Imaging,
Customer relationship management, Supply chain
management, Analytics and Business intelligence,
Customer self-service, and Contact centres.
Thus, IT products in the knowledge age support
collaboration and analytics. They have triggered
convergence of computers, communication and
content; in comparison, IT products in the industrial
age were restricted to automation of transactions.
IT products serve purposes at three main levels;
namely operational, tactical and strategic. The IT
products at an operational level help in codifying
routine information to connect knowledge to people
that need it. At an operational level, all the products
that have been mentioned above are relevant. The IT
products at a tactical level would support creation,
usage and application of knowledge by connecting
people to share good ideas. They would support
Communities of practice, Story telling,
Collaborative tools, Virtual team tools, After action
reviews and project histories, Group processes and
knowledge maps, and Sharing best practices. The IT
products at a strategic level create value by
leveraging knowledge in the business model and in
relationships. They would support Intangibles
scorecards, Value networks, Business modelling,
Scenario building, Dialogue and planning tools, and
Systems mapping.
Who should be responsible for KM?
Financial measures are the responsibility of the
Chief Financial Officer
Customer measures are the responsibility of the
Chief Marketing Officer
Process measures are the responsibility of the Chief
Quality Officer
People measures are the responsibility of the Chief
HR Officer
IT measures are the responsibility of the Chief
Technology Officer / Chief Information Officer
Learning measures are the responsibility of the
Chief Knowledge Officer
lHe is responsible for the growth of the
Intellectual capital of the organisation
lHe is also responsible for the growth of the
Innovation capital of the organisation
Imagine the following scenario:
The star performer of the company quits. CHO is
responsible for employee retention and would be
measured on it. But more important is the retention
of the knowledge of this star employee, which is the
responsibility of the CKO.
Summary
Managing knowledge is key in any organisation (be
it a nation, industry, company, group or human
being). KM is not about implementation of IT
systems and technologies. It has a lot to do with
people attitudes, KM processes and techniques, a
change in culture to enable collaboration and
transformation. The above would then ensure that
true transformation happens in the organisation.
Transformation is not the same as Change.
Someone said, The more you try to change a
person, the more he will resist. For any
organisation to successfully achieve transformation
to realize the above objectives, a shift in mind-set
needs to happen at the leadership level, corporate
level and most importantly at the level of each
individual. This process is painful, time taking,
difficult but not impossible. The trick is not in
enforcing it on its people (since it would face with
resistance); but the key is in enrolling and
involving the organization in the whole process.
We believe that if all the above 8 points were taken
care in an integrated manner, the possibility of
successfully managing such a knowledge-enabled
transformation in an organisation would be
smoother and effective. Empowerment, Change in
mindset, Professionalism, Continuous improve-
ment and Excellence in all areas will become part of
the organisation's DNA. Extra-ordinary results in
this organisation would then be an obvious outcome
and it could become a case study in itself for others
to follow.
References
1. Miller, J ames Crier, 1978 , Living systems, McGraw Hill (New York)
2. Drucker, Peter F, 1964, Managing For Results, Collins
3. Prahlad, C K and Hamel, Gary 1996, Competing for the Future, Harvard Business School Press
4. Kaplan, Robert and Norton, David, 2003 Strategy Maps , Harvard Business Scholl Press
Innovative Structural System for
Large Column Free Area of an Indoor Stadium
Rajkot Municipal Corporation built an indoor stadium, having a play court
that complies standards for international sports events. The stadiumis
having a column free area of 40 mx 40 m, which gives an unobstructed view
of the play court fromanywhere in the stadium. This large area was to be
covered by adopting such a structural system, which can achieve predefined
objectives of appealing appearance, cost effectiveness, and ease of
construction while using locally available materials, skills and equipments.
An innovative structural systemwas conceived to attain these objectives. The
paper discusses evolution process of the system, along with key features of its
analysis, design and construction.
Racecourse, located in the heart of Rajkot, has gradually emerged as a hub
for various sports activities. It was already having a cricket stadium, a
swimming pool, and fields for various other sports. Rajkot Municipal
Corporation enhanced it, with the addition of a multipurpose indoor
stadium. Fig. 1.
Figure 1 : Indoor Stadium, Racecourse, Rajkot
J ayant Lakhlani
Adjacent to the walkway are viewer's gallery on all
the four sides of the court. The play court, along with
the walkway and viewer's gallery on the east and the
west, make the column free area of 40 m x 40 m.
Four corner towers accommodate toilet units and
machine rooms for future provision of air-cooling
plants.
Structural System
The structural system's geometrical form and
material had to play a vital role in derivation of
architectural character of the stadium. After
finalization of basic architectural plans for the two
floor levels, the structural system's geometry and
materials were decided. The system was derived,
first for the roof, and then for the roof supporting
structure.
The Stadium
The stadium is having total area of approximately
2
3250 mwith viewers capacity of 1500. It is having
floors at two major levels. Fig 2, Fig 3 and Fig 4
The lower level entry is from a south side main
entrance, which opens into a grand entrance foyer
with adjoining office, canteen and pantry facilities.
Central portion of the lower level is earth filling,
below the upper level play court. A passage around
the earth filled portion leads to various utility areas
like, a practice hall, a gymnasium, a squash court,
rooms for player's stay and a store. On the east and
the west, there are two side entrances.
Six stairs, two in the front, two near the side
entrances, and two on the rear, lead to the upper
level. The upper level is having a play court of the
size 34 m x 21.25 m, with a peripheral walkway.
Figure 2 : Lower level plan
J ayant Lakhlani
Figure 3 : Upper level plan
Figure 4 : Section 'A-A'
I nnovative Structural System for Large Column free area of an I ndoor Stadium
points, where the same was not required. An
immediate implication of the vault roof was to
tackle the tremendous outward horizontal thrust at
the springing points due to the vault's large span of
40 m.
(3) Vault roof with ties at springing level, Fig 5(c)
A tied vault was also considered to take advantage of
the geometrical form of a vault, while the ties at
springing point level taking the outward thrust as
direct tension. It would have resulted in a very
economical structural solution, but again, the height
constraint above the court did not permit the ties at
springing point level, and option (2) was finalized
for the roof with the inevitable outward thrust at the
springing points.
Next, material for the roof was finalized. Reinforced
concrete and structural steel were the options
considered.
Calculation of life costing for the two options
(including initial and maintenance cost), with
specified design life of 60 years, was carried out.
According to which, the steel roof was proving
cheaper than the concrete roof. Secondly, in view of
the fact that the construction was to be carried out in
a time bound schedule while adopting locally
available materials, skills and equipments, steel roof
had advantages over the concrete roof in terms of
construction time period and ease of construction.
Considering all these, it was decided to adopt
structural steel for the roof with coated metallic
sheets as roof cladding.
For the roof vault in steel, braced barrel vault was
adopted due to its aesthetics and economy in
material consumption. For ease of fabrication and
erection, the vault was idealized as a series of two
hinged arches, laterally braced by horizontal and
diagonal bracings, Fig 6 and Fig 7
A braced barrel vault can be constructed in a single
1
layer or double layers. Preliminary analysis for the
single layer vault show that the deflections were
System for the Roof
The geometrical forms considered for the roof were,
(1) Flat roof, Fig 5(a)
As per the international standards, minimum clear
height required above the play court was 14.00 m.
Bottom of the flat roof at that level was resulting in a
structure that was too high with large volume of
unused space above the viewer's gallery. The option
was rejected, for the same reason.
(2) Vault (curved) roof, Fig 5(b)
The vault form was ideal in context of the height, as
it was giving the required height above the play
court and gradually reducing height at the springing
Figure 5 : Geometrical forms for the roof
J ayant Lakhlani
F
i
g
u
r
e

6

:

R
o
o
f

b
r
a
c
i
n
g

s
y
s
t
e
m

i
n

p
l
a
n
excessive; hence a double layer vault was
considered for final design, Fig. 4 and Fig. 7
Table 1 : Geometrical properties of the vault
Geometrical property Dimension
Span of the vault 39.25 m
Central rise 6.50 m
Radius 32.88 m
Semi central angle 36.65
Thickness of the double layer vault 0.75 m
No. of segments along the
circumference of the vault 24 m
Spacing of two hinged arches 3.19 m
System for the Roof Supporting Structure
For this, the prime requirement was an efficient path
to transmit the thrust from the roof to the ground.
Three geometrical forms were considered.
(1) Direct Force System, Fig 8(a)
In this system, thrust from the roof shall be directly
transferred to the ground through the curved
members, which shall be carrying axial force as the
predominant design force. This would have been a
very cost effective solution from material utilization
point of view.
But it could not be viable, as it demanded large
additional spaces on the east and west sides of the
stadium. Surroundings of the proposed site did not
permit provision of these large spaces on the sides.
To reduce the requirement of spaces on the sides, an
option of lowering the stadium into the ground, by
making the lower floor under ground, was also
considered. But the excavation cost (due to very
hard, rocky strata), and the cost of making the whole
lower level watertight, did not permit to adopt the
option.
(2) Flexural System, Fig 8(b)
In this system, the column, which supports the roof
arch, behaves as a vertical cantilever, carrying the
thrust from the roof at its top. This system transfers
the thrust, to the ground, by behaving as a flexural
system.
Figure. 7 : Double layered braced barrel vault
Figure 8 : Geometrical forms for the roof supporting structure
J ayant Lakhlani
In depth analysis was carried out for this system.
The analysis results show that the magnitude of
moment in various elements was very high. The
element dimensions required for such large
moments were neither practicable nor in proportion
to other architectural elements. As the material
utilization was not proving to be the optimum, this
option was also ruled out.
(3) Tripod System, Fig 8(c) , Fig 9 and Fig 10
From the above two options, it was clear that a
judicious combination of the two was required to get
the system, which will eliminate disadvantages of
both the options.
An innovative tripod system was conceived by
introducing a column between the two roof
supporting columns, at a clear distance of 2.4 m on
the outward side, forming a triangle in plan. The
system of an inclined triangle of elements at top, and
horizontal triangles at two different levels, joining
the three columns, transmit the thrust to the ground
by acting as a tripod shaped space frame. Each frame
supports two roof arches. Analysis of the system
show that all the elements were having moderate
magnitude of direct and bending forces. Thus,
material strength utilization was proving to be the
optimum for this system.
Reinforced concrete was decided to be used for the
system. The complicated geometry of the system
and the ease of constructing the same using concrete
was the factor in favor of concrete.
Analysis
Due to very low ratio of mass to area for the roof, out
of wind and earthquake forces, the wind forces
governed the design. Design wind speed considered
was 200 Kmph. In the analysis, wind effects were
considered in addition to the gravitational forces.
Figure 9 : 3D View of the tripod shaped space frame
Figure 10 : External View of the tripod system
Figure 11 : Hinged connection at junction of the roof and the supporting structure
Different cases of wind loads, as per IS : 875, were
considered in combination with the gravitational
3
loads.
Thermal stresses in the steel roof structure were
taken care of by allowing free expansion and
contraction of the arched roof. This was achieved by
providing a specifically conceived, designed and
detailed, perfect hinge connection between the roof
and the supporting structure. Fig 11
For preliminary analysis, to finalize dimensions for
the structural elements, the roof vault was analyzed
independently, with hinge supports. The support
reactions were applied as loads to the supporting
system and a separate analysis was carried out for
the same.
Final analysis was carried out for the complete space
structure. This consisted of the roof vault in steel and
the roof supporting system in concrete, with an
internal hinge connection at the junction of the two.
The system was analyzed as a rigid jointed space
structure. The arches were idealized as composed of
24 equal segments along the circumference.
Analysis was carried out by an in house developed
computer program STASS and the results were
2
proof checked using STAAD.
The analysis results are shown in table - 2.
Table 2 : Analysis results and member dimensions
(a) Maximum Displacement
Displacement point Value
Maximum vertical deflection
at vault crown 65 mm
Maximum horizontal deflection
at hinged connection 23 mm
Design
Design of steel sections for the roof was carried out
5
as per IS : 800 for service loads. Standard MS rolled
channel and angle sections were used. As shown in
Table-2, shear force governs the design of the pin for
hinge connection. The pin was designed to bear this
J ayant Lakhlani
(b) Roof design forces and member sections
Member
Max. Axial force, kN
Bending
Moment
kN-m
Shear
Force
kN
Compression
Tension
Section
Arch top and bottom chord
289.50 41.39 2.66 6.08 ISMC 250
Arch Radial and
diagonal members
62.00 32.81
ISA
50x50x6
Horizontal and
diagonal bracings
16.15 21.58
ISA
50x50x6
Pin for hinged connection
3.10 165.40 60 Dia.

(c) Roof supporting structure design forces and member dimensions (Fig 9)
Member
Axial
compressive
force, kN
Moment, kN-m
Muy
Muz
Shear, kN
Dimensions,
mm x mm
Circular column, C1 1351.00 20.64 530.00 166.40 675 Dia.
Roof supporting column, C2
246.64 8.63 258.34 94.92 300 x 750
Internal column, C3 44.58 23.17 337.32 152.90 300 x 600
Beams for sitting gallery, B1
291.67 12.48 379.08 197.91 300 x 600
Sloping beams connecting
C1 & C2
490.94 75.39 121.08 40.55 260 x 600
Beams connecting C1 & C2.
at level +6500
157.19 3.24 172.39 80.63 260 x 600
Beams connecting C2 & C3
at level +300
133.81 2.22 246.90 70.33 300 x 600
Beams connecting C1 & C2.
at level +300
7.11 286.62 146.13 260 x 600

shear force and effectively transmit it to the bearing
plates.
The concrete sections were designed by Limit State
4,6
method as per IS : 456 using SP : 16 . Dimensions
for various structural elements are shown in Table
2. Concrete grade M-20 and HYSD bars of grade Fe-
415 were used.
Footing for the columns C2 and C3 (Fig 9) were
designed to be anchored into the rock below, as
analysis show upward reaction (upliftment) for
these footings.
Construction
The total construction was carried out using locally
available materials, labours and construction
equipments. No specialized construction
machinery, not even a crane, was employed.
The arches and bracings for roof were fabricated on
ground and then erected in place. Erection of the
steel vault needed special care and attention. The
vault was to be erected after total completion of the
concrete work for the viewer's gallery below. Any
accident during the vault erection could have done
heavy damage to the gallery.
Guyed single masts with chain pulley block were
used for erection, Fig 12. The arches were erected in
two equal parts. Each part was lifted and fixed at the
hinged connection by insertion of the pin. The two
halves then lowered to meet at the crown, bolted and
welded at place at the height of 17.50 m.
After completion of the vault fabrication, an
independent agency was assigned the job of
complete onsite inspection for the vault with a report
for each and every joint, for quality of bolting and
welding.
For the roof-supporting frame in concrete, to
achieve its intricate geometry, a full-scale model in
wood was fabricated on the ground and after its
approval, the same was repeated for the formwork of
that particular portion.
Conclusion
The braced barrel vault system gives a pleasant
appearance to the stadium from inside. It also
proved to be a cost effective one with the steel
2
consumption of approximately 45 kg/m.
The unique tripod system made it possible to have
the concrete elements with the dimensions perfectly
matching the scale of the building. This also proved
to be a cost effective system as its configuration
resulted in a harmonious blend of elements, and due
to this, the design forces in all the elements were
such that their optimum material capacity was
utilized. The passage, created on the outer sides due
to the tripod system, gave a distinctive architectural
character to the stadium, and did not become a left
over space.
Figure 12 : Guyed single mast system for vault erection
J ayant Lakhlani
Technical Team(Rajkot Muni. Corp.) : P K Tank,
N H Vaghela, J V Herma, S N Chauhan, and P
Sampat
Contractor : Dhanabhai Rambhai & Co.
Credits
Client : Rajkot Municipal Corporation
Architect : Vinod Makhesana
Proof checking for the system: Ashok Dani
References
1. Makowski, Z. S. Analysis, Design and Construction of braced barrel vaults. Elsevier Applied Science
Publishers, London, 1985
2. Lakhlani, J . P. General purpose computer programfor analysis by stiffness method, ME thesis,
Gujarat University, India, 1991
3. Code of practice for design loads (other than earthquakes) for buildings and structures, IS : 875-1987,
Bureau of Indian Standards, New Delhi, India
4. Plain and reinforced concrete - code of practice, IS : 456-1984, Bureau of Indian Standards, New
Delhi, India
5. Code of practice for general construction in steel, IS : 800-1984, Bureau of Indian Standards, New
Delhi, India
6. Design aids for reinforced concrete to IS : 456-1978, SP : 16 -1980, Bureau of Indian Standards, New
Delhi, India
Evaluation of Low Strain Dynamic Properties using
Geophysical Method: A Case Study
The paper presents a technique for evaluating low strain dynamic
properties of subsurface soil layers for the design of very sensitive
equipment of Human Centrifuge foundation. Subsurface material
properties are generally measured using conventional
geotechnical investigation using drilled borehole, conducting
standard penetration tests (SPT) and collecting undisturbed soil
samples at different depth. In this paper, measurement of shear
wave velocity using Multichannel Analysis of Surface Waves
(MASW) is highlighted, which has been used to evaluate low strain
dynamic properties of soil such as Young's modulus and shear
modulus. Based on this study it is recommended to place the
centrifuge foundation at a depth below 2.5 mfromoriginal ground
level. Further for geotechnical design of the Human Centrifuge
foundation, the liquefaction resistance and site response
parameter of predominant frequency has been evaluated. Fromthe
site response study predominant frequency of site is given as 5 Hz.
Fromthese studies, it has been established that the site is safe
against liquefaction and local site, if the foundation is placed
below 2.5mfromthe ground level.
Keywords : Design parameters, SPT, MASW, Frequency and
Liquefaction
P. Anbazhagan T.G. Sitaram
Introduction
Soil properties generally vary with space and time.
These soil materials are subjected to a variety of
natural processes over space and time and that has
tendency to behave differently based on the loading
type and pattern. Adequate knowledge of ground
conditions is very important for analysis, design and
construction of foundations. A detailed site
investigation is necessary to characterise the soils at
a proposed site for design and construction of safer
foundations. Design of geotechnical engineering
problems requires the dynamic properties of soils to
study soil-structure interaction and settlement
analysis. Proper investigation can help to avoid
project delay, failures and cost overburden during
projects. Several laboratory and field techniques are
available to measure the dynamic properties. Most
of them are employed in measurements at low-strain
level and many are in the large strain levels.
However, the choice of a particular technique
depends on the specific problem to be solved. This
paper presents the evaluation of dynamic properties
using geophysical technique of MASW along with
site characterisation for site response and
liquefaction. The dynamic low strain shear modulus
and young's modulus have been evaluated using the
measured shear wave velocity from MASW and
density from undisturbed soil samples. Liquefaction
and site response analysis has been carried out for
the proposed site.
Site Description
Site is located in south eastern part of Bangalore
Mahanagar Palike (BMP) close to the Institute of
Aerospace Medicine of Hindustan Aeronautical
Limited having a dimension of 37mx52.7m. The
topography of the site is a flat terrain with roads on
34 l CONSULTING AHEAD - VOL. 2 - ISSUE 2
the northern side and western side. On the south side
existing airport staff quarters are present. The
proposed facility along with locations of boreholes
drilled and geophysical investigation is shown in
Figure 1. Geology in this site is comprised of
Gneissic complexes formed before 2700 to 2500
million years, formation identified as Sargur Group
of rocks, which is followed by peninsular gneissic
complex.
Geotechnical Investigations
Five boreholes have been drilled for geotechnical
characterisation i.e to identify ground water level, to
collect undisturbed soil samples and to measure the
SPT- N values. The ground water level has been
measured on next day of borehole drilling
completion to identify free water level in saturated
soil. Undisturbed soil samples are collected at
possible depth of 2.5 to 7.5m at an interval of 2m
using 100mm diameter and 600mm length cylinder.
The 'Standard Penetration Test' (SPT) is carried out
in drilled boreholes, by driving a standard 'split
spoon' sampler using repeated blows with a 63.5kg
hammer falling through 750mm. The bore holes
have been drilled using rotary hydraulic drilling of
150mm diameter up to the rock depth. The hammer
is dropped on the rod head at the top of the borehole,
and the rod head is connected to the split spoon by
rods. The split spoon is lowered to the bottom of the
hole, and is then driven for a depth of 450mm, and
the blows are counted normally for each 150mm of
penetration. The penetration resistance (N) is the
number of blows required to drive the split spoon for
the last 300mm of penetration. The penetration
6.00
12.40
13.30
5.3
7.40
11.30
37
N
2
3
1-1
2-2
6-6 7-7
8-8
9-9
10-10
11-11
5
-
5
4
-
4
3
-
3
BH 1
BH 2
BH 5
BH 4 BH 3
11.30
Figure 1 : Site map with marked testing locations
Evaluation of Low Strain Dynamic Properties using Geophysical Method: A Case Study
resistance during the first 150 mm of penetration is
ignored. The SPT testing was carried out in all five
borehole locations and also with depth in such a way
that they are distributed through out the construction
area and represent the site characteristics (see Figure
1). Five bore holes of 150mm diameter up to the
rock depth has been drilled using rotary hydraulic
drilling. The undisturbed soil samples collected has
been used to evaluate the index and engineering
properties of soil using conventional geotechnical
laboratory tests. Borelog obtained from drilled
borehole shows that the site has the soil profile
consisting of a variable thickness of soil
overburden, which can be classified as filled up soil
extending to a depth of 2m to 2.3m (See Table 1).
The field N value for the filled up soil layer varies
from 8 to 24. In the borehole BH-3 to BH-5 clayey
sand is present below the filled up soil having a
liquid limit of more than 35. Below this layer, a silty
sand layer with clay or without clay is present to a
depth of 9.0m to 16m. The field 'N' value for this
silty sand layer varies from 19 to 75. The
disintegrated weathered rock exists below the silty
sand layer having a refusal strata with N>100. The
thickness of the soil overburden varies from 3.5m to
16.5m from ground level and below which the
disintegrated weathered rock, weathered / hard rock
exists. The core-recovery of the weathered / hard
rock samples (except in BH-5) is reported to be more
than 75%. The rock formation is classified as
granitic gneiss without faults and fissures. Water
table in this area during the investigation is at about
Table 1: comparison of thickness or depth of material layer using SPT and MASW
Thickness/ Bottom of Layer (m)
Soil (sandy silt and
silty sand with clay)
Overburden
Filled up soil
Weathered Rock
surface from
Ground level
Hard Rock surface
from ground level
Location
SPT MASW SPT MASW SPT MASW SPT MASW
BH1 (Line 1-1) 0-2.3 0-3 2.3-12 3-11.6 -12 -11.6 BT at 14.5 36.2
BH2 (Line 2-2) 0-2 0-2.4 2.0-3.5 2.1-4.2 -3.5 -4.2 BT at 7.5 16.8
BH3 (Line 3-3) 0-2.3 0-1.6 2.3-9.0 1.6-8.5 -9 -8.5 BT at 10.5 29.1
BH4 (Line 4-4) 0 0 0-12.0 0-12.5 -12 -12.5 BT at 13.5 NF up to 50
BH5 (Line 5-5) 0-2 0-2.5 2-16.5 2.5-17.0 -16.5 17 BT at 17.0 NF up to 39
SPT - Standard Penetration Test MASW - Multichannel Analysis of Surface Wave
BH - Bore hole Number BT - Bore hole Terminated at a depth
NF - Not found up to depth

BORE LOG
Date of commencement 16.11.2005
BH No HAL-3 Date of completion 18.11.2005
Ground Water Table 1.5m
Depth Thickness Legend SPT
Below of Strata Type Depth N Value
GL(m) (m) (m)
0.0 SPT 1.5 1/1//0
N=2
1.0
UDS 2.5
2.3
SPT 3.0 10/9//10
3.0 N=19
UDS 4.5
4.5
SPT 5.0 12/14/2025
N=39
6.0
SPT 6 30/48/53
N=101
8.0
SPT 7.5 75R for 3cm
Penetration
9.0
SPT 9 75R for
10.0 no Penetration
10.5
Bore hole Terminated at 10.5m Note
CR-Core Recovery SPT Standard Penetration Test
RQD-Rock QualityDesignation UDS Undisturbed Sample
R Rebound
Weathered Rock
1.5
9m to 10.5m
CR=76%,RQD=43%
6
Greyish siltysand/
Sandy silt with mica
Soil Description Details of Sampling
Reddish /Grayish
Clayey sand
Filled Up Soil
2.3
0.7
Figure 2 : Typical borelog for the site
T.G. Sitaram, P. Anbazhagan
1.5m below the ground level in all the boreholes,
typical bore log is shown in Figure 2. The 'N' values
measured in the field using SPT procedure have
been corrected for vari ous correcti ons
recommenced for evaluating the seismic borehole
characteristics of soil (Youd et al., 2001; Cetin et al.,
2004; and Pearce and Baldwin, 2005). First,
corrected 'N' value i.e., (N) are obtained using the
1 60
following equation :
(1)
Then this corrected 'N' values (N) is further
1 60
corrected for fines content based on the revised
boundary curves derived by Idriss and Boulanger
(2004) for cohesionless soils as described below :
(2)
(3)
FC =percent fines content (percent dry weight finer
than 0.074 mm).
A detailed equations and constant with example
calculation has presented in Sitharam et al., (2007)
and a typical N correction calculation table for a
site is shown in Table 2.
Mapping of Subsurface using Geophysical
method
Geophysical methods are nondestructive techniques
that are used to provide information to
characterisation site by mapping of subsurface.
Recent development in geophysical methods helps
to map the subsurface heterogeneity and
undulations with their dynamic properties. A
number of geophysical methods have been proposed
for near-surface characterisation and measurement
of shear wave velocity by using a great variety of
testing configurations, processing techniques, and
inversion algorithms. The most widely-used
techniques are SASW (Spectral Analysis of Surface
Waves) and MASW (Multichannel Analysis of
Surface Waves). The spectral analysis of surface
wave (SASW) method has been used for site
investigation for several decades (e.g., Nazarian et
) ( ) (
60 1 R S B E N
C C C C C N N
1
1
]
1
,
_
+
+
2
60 1
001 . 0
7 . 15
001 . 0
7 . 9
63 . 1 exp ) (
FC FC
N
60 1 60 1 60 1
) ( ) ( ) ( N N N
cs
+
T.S Total Stress
E.S Effective Stress
C Correction for overburden correction
N
( N) Corrected 'N' Value before correction for fines content
1 60
F.C Fines content
D( N) Correction for Fines Content
1 60
D( N) Corrected 'N' Value
1 60cs
Table 2: Typical N correction table for borelog

Borehole 4
Depth
Field
Density
T.S E.S
m N Value
3
kN/m
2
kN/m
Water Table =1.4 m/
19-11-2005
F.C
2
kN/m
C
N
Hammer
Effect
Bore
hole
Dia
Rod
Length
Sample
Method
( N)
1 60
% (N)
1 60cs
(N)
1 60
Corrected
N Value
Correction Factors For
1.50 19 20.00 30.00 30.00 1.47 0.7 1.05 0.75 1 15.36 48 5.613 21
3.50 28 20.00 70.00 50.38 1.29 0.7 1.05 0.8 1 21.26 43 5.597 27
4.50 26 20.00 90.00 60.57 1.22 0.7 1.05 0.85 1 19.79 60 5.602 25
6.00 41 20.00 120.00 75.86 1.12 0.7 1.05 0.85 1 28.77 48 5.613 34
7.50 55 20.00 150.00 91.14 1.04 0.7 1.05 0.95 1 40.02 37 5.541 46
9.00 100 20.00 180.00 106.43 0.97 0.7 1.05 0.95 1 67.84 28 5.270 73
10.50 100 20.00 210.00 121.71 0.91 0.7 1.05 1 1 66.90 28 5.270 72
12.50 100 20.00 250.00 142.09 0.84 0.7 1.05 1 1 61.70 28 5.270 67
al., 1983; Al-Hunaidi, 1992; Stokoe et al., 1994;
Tokimatsu, 1995; Ganji et al., 1997) and uses the
spectral analysis of a surface wave generated by an
impulsive source and recorded by a pair of receivers.
Evaluating and distinguishing signal from noise
with only a pair of receivers by this method is
difficult. Thus to improve inherent difficulties, a
new technique incorporating multichannel analysis
of surface waves using active sources, named as
MASW, was developed (Park et al., 1999; Xia et al.,
1999; Xu et al., 2006). The MASW has been found
to be more efficient method for unraveling the
shallow subsurface properties (Zhang et al., 2004).
MASW is a geophysical method, which generates a
shear-wave velocity (Vs) profile (i.e., Vs versus
depth) by analyzing Raleigh-type surface waves on
a multichannel record. MASW system consisting of
24 channels Geode seismograph with geophones
has been used in this investigation. The seismic
waves are created by impulsive source of 15 pound
(sledge hammer) with 300mmx300mm size
hammer plate with ten shots, these waves are
captured by 24 vertical geophones of 4.5Hz
capacity. The captured Rayleigh wave is further
analyzed using SurfSeis software. SurfSeis is
designed to generate Vs data (either in one
dimensional (1-D) or two dimensional (2-D)
format) using a simple three-step procedure: i)
preparation of a Multichannel record (some times
called a shot gather or a field file), ii) dispersion-
curve analysis, and iii) inversion.
The 1-D MASW tests have been carried out at
locations corresponding to 5 boreholes (BH-1 to
BH-5). The spread length locations are shown in
Figure 1 as survey line 1-1 to 5-5. The multichannel
analysis of surface wave (MASW) spread length
was selected in such a way that the mid point of the
MASW spread length matches with the SPT
borehole points. All tests have been carried out with
geophone interval of 1m. Source has been kept on
both side of the spread and distance to source from
the first and last receiver have been varied from 5m,
10m and 15m to avoid the effects of near-field and
far-field. These source distances were helped to
record a good singles in very soft, soft and hard soils.
Data Analysis and Results
The generation of a dispersion curve is a critical step
in MASW method. A dispersion curve is generally
displayed as a function of phase velocity versus
frequency. Phase velocity can be calculated from the
linear slope of each component on the swept-
frequency record. The lowest analysable frequency
in this dispersion curve is around 4 Hz and highest
frequency of 75Hz has been considered. Typical
Figure 3: Typical seismic waves recorded in
geode seismograph
These values are in conferment with the exploration
services section at the Kansas geological Survey
(KGS) as suggested offset distance by Xu et al.,
(2006). Typical recorded surface wave arrivals
using source to first receiver distance as 5m with
recording length of 1000ms is shown in Figure 3.

dispersion curve is shown in Figure 4. Each
dispersion curve obtained for corresponding
locations has a very high signal to noise ratio of
about 80 and above. A Vs profile has been calculated
using an iterative inversion process that requires the
dispersion curve developed earlier as input. A least-
squares approach allows automation of the process
(Xia et al., 1999) which is inbuilt in SurfSeis. Shear
wave velocity has been updated after completion of
each iteration with parameters such as Poisson's
ratio, density, and thickness of the model remaining
unchanged. An initial earth model is specified to
begin the iterative inversion process. The earth
model consists of velocity (P-wave and S-wave
velocity), density, and thickness parameters. Typical
1-D Vs profile is shown in Figure 5. The sub-soil
classification was made based on average shear
wave velocity of 30-m depth (Vs 30) of sites using
the National Earthquake Hazards Reduction
Program (NEHRP) (BSSC, 2001) and International
Building Code (IBC, 2006) classification. A layer
with a shear wave velocity of more than 360 m/s is
considered as a weathered rock. The weathered rock
formation has been identified at 11.6m
corresponding to lines 1-1, at 4.2m in line 2-2, at
8.5m in line 3-3, at 12.5m in line 4-4 and at 17.0m in
line 5-5. The subsurface material having shear
wave velocity of above 760 m/s is considered as
hard/engineering bedrock. In this location,
engineering rock identified at 36.2m in line 1-1, at
17.6m in line 2-2 and 29.1m in line 3-3. The hard
rock is not encountered up to 50m in line 4-4 and
even up to 40m in line 5-5. These observations using
1-D Vs profiles compare very well with the borehole
data (see the Table 1). Table 1 shows the thickness of
filled up soil, soil and weathered rock along with
depth of hazard from geotechnical and geophysical
methods.
Figure 4: Typical dispersion curve obtained from MASW

Figure 5: Typical one dimensional shear wave velocity profile
Soil and Rock Layer Mapping
2-D velocity profiling has been carried out to
determine the soil and rock layer thickness spatially
and to locate ground anomaly. To get the 2-D profile,
a multiple number of shot gathers are acquired in a
consecutive manner along the survey line by
moving both source and receiver spread
simultaneously by a fixed amount of distance after
each shot. Each shot gather is then analyzed for 1-D
Vs profile in a manner previously stated. In this way
a multiple number of Vs profiles are generated. The
Vs data are assigned into 2-D (x-z) grid. Various
types of data processing techniques can be applied
to this 2-D Vs data. A countering, a simple
interpolation, data smoothing, or combination of
these may be applied at this stage. When the Vs data
are assigned to the grid, there is ambiguity in the
horizontal coordinate (x) to be assigned because
each Vs profile was obtained from a shot gather that
spanned a distance too large to be considered as a the
single point. It seems reasonable that the centre of
the receiver spread be the most appropriate point
because the analysed Vs profile represents an
average property within the spread length (Park et.
al, 2005). The 2D velocity profile has been used to
find the layer thickness, subsurface anomaly and
rock dipping directions. Typical 2D velocity profile
for the line 7-7 is shown in Figure 6. Figure 6 shows
that there is no considerable ground anomaly
present in the line, however there is a slight
reduction in velocity at mid point of the line.
Reduction in velocity is due to presence of lose silty
sand in borehole location (BH4) and this is
confirmed during excavation of the site for
constructions. The weathered rock velocity ranges
are at shallow depth on left side of the line (Eastern
side) and at deeper depth on right side (Western side)
of line 7-7. The rock dipping observed in MASW
matches well with the borehole observation.
Comparison
The spatial variability of the soil and rock layer, its
thickness has been evaluated using borehole data
and MASW data separately and compared. The
three- dimensional (3-D) surface mapping
technique has been used to map the soil and rock
layers. Mapping has been carried out by using Surfer
8.0, it is a commercial contouring and 3-D surface-
mapping program. Surfer converts data into contour
maps and then surface plots. All aspects of 2-D or 3-
D maps can be customized to produce unique
presentations. The thickness identified from both
experiments is converted as surfer grid file then the
3-D surface map is prepared. Using NEHRP and
IBC velocity ranges for soil type, site soil layers are
classification based on measured shear wave
velocity. To find spatial variability of the thickness
of filled up soil, soil overburden and rock surface
using boreholes and MASW data, the values of
thicknesses of layers are presented in Table 2. The
values are matching very well with variation of
0.5m, which are used to prepare to spatial
variability map of site. Filled up soil thickness
obtained using MASW data are matching well with
the borehole information and slightly higher side,
except location 3-3 where MASW value is lower
than borehole value. Spatial variability of soil
overburden thickness using borehole and MASW
are shown in Figure 7 and 8 respectively.
Overburden thickness obtained from both methods
is matching well. Weathered rock identified using
MASW data matches well with the borehole data
(see Table 1). For identification of hard rock, the
drilled borehole depth is not sufficient because
boreholes are stopped after passing the few meters
from weathered rock surface, in this investigation
bore holes are terminated at 0.5m to 4m after
meeting weathered rock surface (See Table 1).
Hence, MASW 1-D as well as 2-D shear wave
velocity profiles have been used to identify the
depth of the hard rock. From Table 1, the hard rock is
located within 16 to 36 m at south and eastern side of
the site. But for the line number 4-4- and 5-5 up to
50m and 40m no hard rock was identified. From the
above study, it is clear that soil and rock layers
identified using MASW data matches well with the
borehole information. For design purpose, the low
strain dynamic properties (shear modulus and
young's modulus) of subsurface materials are
evaluated using measured soil in-situ density from
Figure 6: 2D Shear wave velocity profile obtained for the location7-7
Figure 7: Soil overburden thickness using SPT data
Figure 8: Soil overburden thickness using MASW data
undisturbed soil samples collected in the boreholes
and shear wave velocity from MASW. For the
calculation of Young's modulus, the Poisson ratio
has been assumed as 0.3 for soil and 0.2 for rocky
layers. Soil and rock layers average dynamic
properties have been estimated for location (1-1 to
5-5) corresponding to borehole locations of (BH1 to
BH5). Typical results are presented in Table 3. Table
3 shows that the top layer of filled up soil and
medium soil has higher value of velocity and
modulus when compared to bottom layer of lose
materials of silty sand with clay, followed by
weathered rock and hard rock, which has larger
velocity and modulus.
Ground Response Analysis
For the soil profiles evaluated using MASW and
boreholes, the ground response of soil column for a
given input ground motion data has been carried out
using 1-D ground response analysis software
SHAKE 2000. SHAKE2000 calculates the expected
ground movement by combining wave propagation
theory with material properties and seismic input
motion. The geotechnical parameters like soil type,
thickness of the layer, unit weight of the material,
shear modulus values of the material and earthquake
acceleration file is provided as input data. The
common parameters of soil type, thickness of the
layer, unit weight of the material have been obtained
from the geotechnical tests and the shear modulus of
the material is assessed using MASW survey. The
synthetic ground motion generated by Sitharam and
Anbazhagan (2007) has been used as earthquake
acceleration file at weathered rock level in each
analysis. The typical synthetic ground motion for
site is shown in Figure 9. Shear modulus and
damping reduction curves are selected based on the
soil properties available form geotechnical data.
Since the overburden soil for all the boreholes
0-3.2 250 121 315
3.2-8.0 150 44 113
8.0-28.5 280 157 408
>28.5 330 218 523
Measured
Density
(g/cc)
Depth
(m)
Shear wave
velocity
(m/s)
Shear
Modulus
2
(MN/m)
Poisson
Ratio
Young's
Modulus
2
(MN/m)
1.94
1.94
2.00
2.00
0.30
0.30
0.30
0.20
Table 3 : Typical dynamic properties

-0.3
-0.2
-0.1
0.0
0.1
0.2
0.3
29 30 31 32 33 34 35
Time (sec)
D
i
s
p
l
a
c
e
m
e
n
t
(
c
m
)

-3
-2
-1
0
1
2
3
29 30 31 32 33 34 35
Time (sec)
V
e
l
o
c
i
t
y
(
c
m
/
s
e
c
)

-90
-60
-30
0
30
60
90
29 30 31 32 33 34 35
Time (sec)
A
c
c
e
l
e
r
a
t
i
o
n
(
c
m
/
s
e
c
2
)
Figure 9: Typical input ground motion used for analysis
0
0.5
1
1.5
2
2.5
0 0.2 0.4 0.6 0.8 1
periods (sec)
S
p
e
c
t
r
a
l
A
c
c
e
l
e
r
a
t
i
o
n
(
g
)
Line 1
Line 2
Line 3
Line 4
Line 5
Figure 11: Response spectrum at surface using shear wave velocity
0
3
6
9
12
0 5 10 15 20 25
Frequency (Hz)
A
m
p
l
i
f
i
c
a
t
i
o
n
R
a
t
i
o
Line 1
Line 2
Line 3
Line 5
Line 4
Figure 12: Amplification ratio using shear wave velocity

-18
-15
-12
-9
-6
-3
0
Peck Acceleration (g)
D
e
p
t
h
(
m
)
0.0 0.1 0.2 0.3 0.4 0.5 0.6
Line 1-1
Line 2-2
Line 3-3
Line 4-4
Line 5-5
Figure 10 : Peak Acceleration with depth using shear wave velocity
almost has similar properties, the curves proposed
by Seed and Idriss (1970) are considered for the silty
sand, similarly for rock the shear modulus and
damping curves proposed by Schnabel (1973) have
been used.
The peak acceleration at ground surface is obtained
as 0.507g for given rock motion having peak
acceleration of 0.156g. The peak acceleration of
each layer for all boreholes is shown in Figure 10.
Figure 10 shows similar amplification factors for all
boreholes except borehole 2, which has a small
overburden thickness and few numbers of layers.
Figure 11 shows spectral acceleration soil of column
for five borehole locations. The spectral
acceleration obtained for the site, matches well with
the shape of the uniform hazard spectrum. Figure 12
shows the amplification spectrum calculated using
the MASW tests, the peaks of the amplification ratio
are identified with in 8 Hz except in line 2. At line 2,
the amplification ratio had not reached peak value
until the frequency of 25 Hz, which may be due to
very high shear wave velocity at the location. The
response study shows that predominant frequency at
center of the site is about 4.62 Hz. Ambient noise
technique (Micro-Tremor study), by recording
ambient micro seismic noise from the passive
source, is used to obtain predominant frequencies of
the site by using the Receiver Function/ Nakamura
Technique (Nakamura, 1989). Micro seismic
signals from passive source have been recorded
from the site for a period of about 10 hours using
seismograph. Spectra analyses software has been
used to obtain H/V (Horizontal/ Vertical) spectral
ratio of recorded seismic signals. The study shows
that predominant natural frequency for the site is
about 4.7 Hz, which is shown in Figure 13. The
predominant frequency obtained from Microtremor
method matches well with the site response study.
Figure 13 : Spectral ratio obtained using Micro tremor study.
Liquefaction Potential
Seismic and other dynamic loading can cause soil to
liquefy, which induce the differential settlement.
Hence it is mandatory to vary the liquefaction
potential of site to design proper foundation. The
borehole show that the site has silty sand layers with
very high field 'N' values (N>19) indicating higher
resistance to liquefaction. However, the top filled up
soil has the field 'N' values less than 12 and presence
of shallow water table, requires evaluating the
liquefaction potential of the site considering SPT
corrected 'N' values and amplified acceleration at
ground surface. Liquefaction potential of the site for
amplified surface peak acceleration has been
estimated in terms of factor of safety. Factor of
Safety against liquefaction of soil layer has been
evaluated based on the simplified procedure by Seed
and Idriss (1971) and subsequent revisions by Seed
et al., (1983), Youd et al., (2001) and Cetin et al.,
(2004). In this study, the earthquake induced loading
is expressed in terms of cyclic shear stress and this is
compared with the liquefaction resistance of the
soil. Liquefaction calculation or estimation requires
two variables for evaluation of liquefaction
resistance of soils. Two variables are defined based
on cyclic stress approach as follows.
1. The seismic demand on a soil layer,
represented by Cyclic Stress Ratio (CSR).This
is cyclic stress ratio required to generate
liquefaction
2. The capacity of soil to resist liquefaction
represented by Cyclic Resistance Ratio
(CRR).
The earthquake loading can be predicted using Seed
and Idriss (1971) simplified approach. The
earthquake is evaluated in terms of uniform cyclic
shear stress amplitude as given below :
Cyclic stress ratio (CSR) =
0.65 = (4)
In this equation 0.65 a represents 65 % of the
peak cyclic shear stress, a is peak acceleration at
max
surface (obtained from site response study), g is the
acceleration of gravity, sand s' are total and
vo vo
effective vertical stresses and r =stress reduction
d
coefficient.
The liquefaction resistance can be calculated based
on laboratories tests and in situ tests. Here our
interest is to find liquefaction resistance using in situ
test of SPT. Cyclic resistance ratio (CRR) is arrived
for the earthquake magnitude of 7.5 using equation
proposed by Idriss and Boulanger (2005) as given
below :
(5)
For the present study, the earthquake moment
magnitude of 5.1 has been considered, hence it is
necessary to apply the Magnitude Scaling Factor
(MSF). The magnitude-scaling factor used in the
present study for magnitude less than 7.5 is given
below (Seed and Idriss, 1982) :
MSF = (6)
Final factor of safety against liquefaction at each
layer is evaluated by developing simple
spreadsheets using Window macros. If cyclic stress
ratio caused by the earthquake is greater than the
cyclic resistance ratio of in situ soil, then
liquefaction could occur during the earthquake. The
factor of safety against liquefaction is defined as
follows :
(7)
Typical liquefaction analysis spread sheet is shown
in Table 4. From Table 4, the top layer up to 3m has
the corrected 'N' value of less than 20, which results
in the factor of safety of less than 1.5. Which look
like the site is not safe against liquefaction, but if
look at the properties of filled up soil, which has
plastic index of more than 12, one can say that site is
'

,
_
+
,
_

,
_
+ 8 . 2
4 . 25
) (
6 . 23
) (
126
) (
1 . 14
) (
exp
4
60 1
3
60 1
2
60 1 60 1 cs cs cs cs
N N N N
CRR
1
]
1
56 . 2
24 . 2
10
W
M
MSF
CSR
CRR
FS
,
_
5 . 7
d
vo
vo
r
g
a

,
_
,
_
'
max
g
a
max

M
a
g
n
i
t
u
d
e
,

M
w

=

5
.
1

P
e
a
k

A
c
c
e
l
e
r
a
t
i
o
n

=

0
.
5
0
7
g

D
e
p
t
h
v
o
v
o
r
d
C
S
R
F
C
L
i
q
u
i
d

L
i
m
i
t
P
l
a
s
t
i
c

l
i
m
i
t

(
m
)

C
o
r
r
e
c
t
e
d

v
a
l
u
e

k
N
/
m
2
k
N
/
m
2

%

%

%

P
l
a
s
t
i
c

I
n
d
e
x

C
R
R

M
S
F

F
S

L
i
q
u
e
f
a
c
t
i
o
n

P
o
s
s
i
b
i
l
i
t
y

1
.
5
0
7
3
0
.
1
5

3
0
.
1
5

0
.
9
8

0
.
3
2

3
1

3
8

2
2

1
6

0
.
1
0

2
.
6
8

0
.
8
2

N
o

3
.
0
0
2
0
6
0
.
3
0

4
5
.
5
9

0
.
9
6

0
.
4
2

4
1

4
0

2
5

1
5

0
.
2
1

2
.
6
8

1
.
3
6

N
o

5
.
0
0
3
4
1
0
0
.
5
0

6
6
.
1
7

0
.
9
3

0
.
4
6

3
5

3
7

2
9

8

0
.
9
6

2
.
6
8

5
.
5
8

N
o

6
.
0
0
7
6
1
2
0
.
6
0

7
6
.
4
6

0
.
9
1

0
.
4
7

2
8

N
P

N
P

N
P

N
P

2
.
6
8

N
L

N
o

7
.
5
0
7
7
1
5
0
.
7
5

9
1
.
8
9

0
.
8
9

0
.
4
8

2
2

N
P

N
P

N
P

N
P

2
.
6
8

N
L

N
o

9
.
0
0
7
2
1
8
0
.
9
0

1
0
7
.
3
3

0
.
8
7

0
.
4
8

2
2

N
P

N
P

N
P

N
P

2
.
6
8

N
L

N
o

-
T
o
t
a
l

S
t
r
e
s
s
'
-
E
f
f
e
c
t
i
v
e

s
t
r
e
s
s
r
-
S
t
r
e
s
s

R
e
d
u
c
t
i
o
n

f
a
c
t
o
r
v
o
v
o
d
C
S
R
-
C
y
c
l
i
c

S
t
r
e
s
s

R
a
t
i
o
F
C
-
F
i
n
e

c
o
n
t
e
n
t
C
R
R
-
C
y
c
l
i
c

R
e
s
i
s
t
a
n
c
e

r
a
t
i
o
M
S
F
-
M
a
g
n
i
t
u
d
e

s
c
a
l
i
n
g

f
a
c
t
o
r
F
S
-
F
a
c
t
o
r

o
f

s
a
f
e
t
y

N
P
-
N
o
t

P
o
s
s
i
b
l
e

t
o

E
v
a
l
u
a
t
e

N
L
-
N
o
n

L
i
q
u
e
f
i
a
b
l
e

T
a
b
l
e

4

:

T
y
p
i
c
a
l

l
i
q
u
e
f
a
c
t
i
o
n

c
a
l
c
u
l
a
t
i
o
n

s
p
r
e
a
d

s
h
e
e
t
D
e
p
t
h

(
m
)
S
h
e
a
r

w
a
v
e

v
e
l
o
c
i
t
y
(
m
/
s
e
c
)
D
e
n
s
i
t
y
(
g
/
c
c
)
S
h
e
a
r

M
o
d
u
l
u
s
2
(
M
M
/
m
)
P
o
i
s
s
o
n

R
a
t
i
o
Y
o
u
n
g
'
s

M
o
d
u
l
u
s

2
(
M
N
/
m
)
0

-

6
1
0
0
1
9
4
9
.
4
6

-

1
5
2
2
0
9
7
2
3
3
1
5
-

2
5
3
0
0
1
8
0
4
3
2
2
5

-

3
5
5
9
0
7
6
6
1
8
3
8
>
3
5
1
0
0
0
2
2
0
0
5
2
8
0
1
.
9
0
2
.
0
0
2
.
0
0
2
.
2
0
2
.
2
0
.
3
0
.
2
0
.
2
0
.
2
0
.
2
0
T
a
b
l
e

5

:

R
e
c
o
m
m
e
n
d
e
d

d
y
n
a
m
i
c

p
r
o
p
e
r
t
i
e
d

f
o
r

d
e
s
i
g
n


0.84
0.86
0.88
0.90
0.92
0.94
0.96
0.98
1.00
0 20 40 60 80 100 120 140
No of Cycles
P
o
r
e
P
r
e
s
s
u
r
e
R
a
t
i
o
safe against liquefaction. However, it is
recommended that place foundation at depth of
2.5m below from original ground surface, so that the
site is safe against liquefaction and its consequent
settlements.
Cyclic Triaxial Experiments on Undisturbed Soil
Samples
Undisturbed samples collected from boreholes 3, 4
and 5 were used to verify the liquefaction potential
of the soil. This is done by conducting cyclic triaxial
test in the laboratory on the undisturbed soil
samples. The test has been carried out as per ASTM:
D 3999 (1991) in strain controlled mode. Cyclic
triaxial tests are carried out with double amplitude
axial strains of 0.5%, 1% and 2% with a frequency of
1Hz. A typical cyclic triaxial test results are
presented in Figures 14 and 15. Figure 14 shows the
variation of deviatoric stress versus strain plot for
more than 120 cycles of loading (axial strain =
0.25%; applied confining pressure 100 KPa, for the
undisturbed sample corresponding to depth 3m
below GL, in-situ density of the soil sample 2.0
gm/cc with in-situ moisture content 15%, at 3.0m
depth). Figure 15 shows the pore pressure ratio
versus number of cycles. From these plots it is clear
that even after 120 cycles, the average pore pressure
ratio is about 0.94 and deviatoric stresses vs. strain
plots have not become flat, indicating no
liquefaction. The calculated factor of safety against
liquefaction results, for this borehole is also very
high indicating no liquefaction. These results match
well with the factor of safety calculated based on the
simplified method.
Summary
The subsurface investigation has been carried out
using conventional standard penetration test at five
locations and Multichannel Analysis of Surface
Wave (MASW) survey at these locations. Five
MASW 1-D survey have been carried out close to
boreholes and 2-D survey carried out from borehole
3 to borehole 5. Subsurface material depth and type
obtained from MASW matches well with the
borehole data. Low strain dynamic properties of
shear modulus and Young's modulus are evaluated
using measured density and shear wave velocity of
soil, which are recommended for the design. Finally
the following recommendations are made for design
of sensitive foundation.
i) For the purpose of convenience and design,
one set of dynamic properties for the site at
different depth are recommended which is
given in Table 5.
ii) It is suggested to take the foundation below the
filled up soil (minimum of 2.5m below ground
level) to avoid loose earth below the proposed
facility.
iii) The amplifications are more for the filled up
soil and it considerably reduced for silty sand
layers. If the foundations are placed below the
filled up soil layers so the probability for
amplification is very less.
iv) The predominant natural frequency for the
overburden in the site is about 5.0 Hz, The

-40
-30
-20
-10
0
10
20
30
40
-0.003 -0.002 -0.001 0 0.001 0.002 0.003
Axial Strain
D
e
v
i
a
t
o
r
i
c
S
t
r
e
s
s
(
k
P
a
)
Figure 14: Typical hysteresis loops from a
cyclic triaxial test
Figure 15: Typical pore pressure ratio plot
with number of cycles
results obtained from shake analyses using borelog
details matches with the actual measurements
from the ambient noise analyses.
v) Liquefaction analysis using Seed and Idriss
simplified approach and cyclic triaxial testing
results clearly indicate that the soils in the
overburden layers are not prone to
liquefaction. This is attributed to their high in-
situ densities in 'SM' materials and presence of
clay material in 'SC' material.
vi) From the MASW survey corresponding to
borehole locations BH-3, BH-4 and BH-5 and
also estimated 2-D profiles of shear wave
velocity close to the centerline of the proposed
human centrifuge facility, no anomalies have
been identified.
From this study, it is very clear that the geophysical
test of MASW can be used together with
conventional technique to measure and map the
subsurface features. In addition, this technique gives
dynamic properties at very low strain level required
for settlement and soil structure analysis.
Special Note
This paper presents the summary of the total work.
More technical and theoretical background can be
obtained by contacting the authors (anbazhagan
@civil.iisc.ernet.in and sitharam@civil.iisc.ernet
.in).
Acknowledgements
Authors thank Mr. M.S. Sudarshan and Dr. P. S.
Narasimha Raju of Civil-Aid Technoclinic Pvt. Ltd,
Bangalore, for providing the borehole data.
References
Al-Hunaidi, M.O. 1992 Difficulties with phase spectrum unwrapping in spectral analysis of surface waves non-
destructive testing of pavements Canadian Geotechnical. J ournal, 29, pp 506511.
ASTM D3999-91, 1991, Standard Test Methods for the Determination of the Modulus and Damping Properties
of Soils Using the Cyclic Triaxial Apparatus, Annual Book of ASTM Standards.
BSSC, 2001, NEHRP recommended provisions for seismic regulations for new buildings and other structures
2000 edition, part 1: Provisions, Report no. FEMA 368, Building seismic safety council for the federal
emergency management agency, Washington, D.C., USA.
Cetin, K.O, Seed, R.B., Kiureghian, A.D., Tokimatsu, K., Harder, L.F. J r., Kayen, R.E., and Moss, R.E.S. 2004
Standard penetration test-based probabilistic and deterministic assessment of seismic soil liquefaction
potential J ournal of Geotechnical and Geoenvironmental Engineering, Vol. 12, pp. 1314-1340.
Ganji, V., Gukunski, N., Maher, A. 1997 Detection of underground obstacles by SASW methodNumerical
aspects J . Geotech. Geoenviron. Eng., 123(3) ASCE, pp 212 219.
IBC, 2006, International Building Code International Code Council: Inc. 5th Edition, Falls Church, VA.
Idriss, I. M., and Boulanger, R. W. 2005 Evaluation of Liquefaction Potential, Consequences and Mitigation.
Invited Expert Lectures Proc. Indian Geotechnical Conference-2005, 17-19 December 2005, Ahmedabad,
INDIA, pp 3-25.
Nakamura, Y. 1989. Earthquake Alarm System for J apan Railways J apanese Railway Engineering , Vol. 28(4),
pp 3-7.
Nazarian, S., Stokoe II, K.H., Hudson, W.R. 1983 Use of spectral analysis of surface waves method for
determination of moduli and thicknesses of pavement systems, Transp. Res. Rec. 930, pp 38 45.
Park, C.B., Miller, R.D., and Xia, J . 1999 Multi-channel analysis of surface waves Geophysics, Vol. 64(3), pp
800-808.
Park.C.B., Miller.R.D., Xia. J ., and Ivanov, J . 2005 'Multichannel Seismic Surface-Wave Methods for
Geotechnical Applications' published in web http://www.kgs.ku.edu/Geophysics2/ Pubs/Pubs PAR-00-03.pdf,
viewed J une 2006.
Pearce, J .T. and Baldwin, J .N. 2005 'Liquefaction Susceptibility Mapping ST. Louis, Missouri and Illinois-
Final Technical Report' published in web.er.usgs.gov/reports/ abstract/2003/cu/03HQGR0029.pdf, viewed
December 2007.
Schnabel, P. B., 1973, Effects of Local Geology and Distance from Source on Earthquake Ground Motion. Ph.D.
Thesis, University of California, Berkeley, California.
Seed, H. B., and I. M. Idriss. 1971 Simplified procedure for evaluating soil liquefaction potential J ournal of the
Soil Mechanics and Foundation, ASCE, Vol.97, No.9, pp. 1249-1274.
Seed, H. B., and Idriss, I. M., 1970, Soil Moduli and Damping Factors for Dynamic Response Analyses.
Earthquake Engineering Research Center, University of California, Berkeley, California, Rep. No. EERC-
70/10.
Seed, H. B., Idriss, I. M., and Arango, I. 1983 Evaluation of Liquefaction potential Using Field Performance
Data,, J ournal of Geotechnical Engineering, Vol. 109, No. 3, pp. 458-482.
Seed, H.B., and Idriss I.M. 1982 Ground Motions and Soil Liquefaction during Earthquakes, Monogr.5,
Earthquake Engineering Research Institute, University of California, Berkeley.
Sitharam, T. G. and Anbazhagan, P. 2007 Seismic Hazard Analysis for the Bangalore Region Natural Hazards,
Vol. 40, pp. 261278.
Sitharam, T. G., Anbazhagan. P and Mahesh. G. U. 2007 Liquefaction Hazard Mapping Using SPT Data Indian
Geotechnical J ournal, Vol.37(3), pp 210-226.
Stokoe II, K.H., Wright, G.W., J ames, A.B., J ose, M.R. 1994 Characterization of geotechnical sites by SASW
method, In: Woods, R.D. (Ed.), Geophysical Characterization of Sites: ISSMFE Technical Committee #10,
Oxford Publishers, New Delhi.
Tokimatsu, K., 1995 Geotechnical site characterization using surface waves, Proc. 1st Int. Conf. on Earth.
Geotechn. Eng., IS-Tokyo, p-36.
Xia, J ., Miller, R.D., and Park, C.B. 1999 Estimation of near-surface shear-wave velocity by inversion of
Rayleigh wave Geophysics, Vol. 64 No.3, pp.691-700.
Xu, Y., Xia, J ., and Miller, R.D. 2006 Quantitative estimation of minimum offset for multichannel surface-wave
survey with actively exciting source J ournal of Applied Geophysics, Vol.59, No. 2, pp.117-125.
Youd, T.L., Idriss, I.M., Andrus, R.D., Arango, I., Castro, G., Christian, J .T., Dobry, R., Liam Finn, W.D., Harder
J r., L.H., Hynes, M.E., Ishihara, K., Koester, J .P., Liao, S.S.C, Marcuson, W.F., Marting, G.R., Mitchell, J .K.,
Moriwaki, Y., Power, M.S., Robertson, P.K., Seed, R.B, And Stokoe, K.H. 2001 Liquefaction Resistance of
Soils: Summary from the 1996 NCEER and 1998 NCEER/NSF Workshops on Evaluation of Liquefaction
Resistance of Soils J ournal of Geotechnical and Geoenvironmental Engineering, pp. 817 833.
Zhang, S.X., L.S. Chan, and Xia, J 2004 The selection of field acquisition parameters for dispersion images
from multichannel surface wave data Pure and Applied Geophysics, 161, pp 185-201.
Inadequacy of Ethiopian Seismic Code of Practice at Short Periods
Source zone (area source) with relatively high hazard
contribution to Addis Ababa (AA), capital of Ethiopia was
identified and its closest distance to important site locations was
varied from20 to 60 km. The area source was divided into grids
and all the grids were assumed to have the same probability of
generating the earthquakes. The source potential for generating
maximumearthquake (M ) has been assumed to be 6.5, 7 and
max
7.5 which is consistent with estimate based on Kjiko's technique
with 0.5 to the median estimate. Uniformhazard response
spectra for a return period of 500 years has been developed
using classical Probabilistic Seismic Hazard Analysis (PSHA)
approach. The generated uniformhazard spectra is compared
with the Ethiopian Building Code of Standard (EBCS 8) as well
as randomly generated spectra and it has been observed that
EBCS 8 underestimates the spectral values at short periods
where most predominant site periods as per microtremor study
as well as equivalent linear analysis coincide with the natural
periods of existing buildings.
Keywords : Addis Ababa, Maximumearthquake, mean annual
probability of exceedance, response spectra.
Introduction
Addis Ababa, the capital of Ethiopia is located on
the rim of the western margin of Ethiopian rift
system with a population of over 3 millions. Several
earthquakes that occurred in the rift and in the
surrounding area are being felt in the city. Notable
cases causing damage to buildings in the city are the
1906 (Langano earthquake with intensity of VIII)
and the 1961 Kara Kore earthquake sequence (with
maximum intensity of VII). Moreover, an
earthquake of maximum intensity of VI had
occurred at the suburb of the city and was felt widely
at different localities. Since early 1960's seismic
activity in Ethiopia is being monitored. However,
due to lack of enough number of seismic stations
and modern digital seismograms, reliable detection
of small earthquakes and recording of strong ground
motion time history has not been possible.
Nevertheless, based on the current knowledge of
regional geodynamics and seismicity, ground
motion parameters can be estimated with
appropriate numerical simulation techniques for
earthquake resistance design as well as earthquake
disaster management. For this study, input
parameters to the model are assigned based on
published up-to-date information on source, path,
and site effects (Keir et al 2006, Mamo 2005,
Hofsteller and Beyth 2003). However, experience
shows that many features of future earthquakes are
bound to be uncertain even for regions of the world
with large seismic database. Hence in this study, it
has been attempted to incorporate what if
approach to observe the effects on the estimated
hazard level by varying the most influential
parameters such as closest source-site distance and
potential of the source for generation of maximum
earthquake.
Seismic zoning maps for a country are generally
prepared on a very broad scale, which shows only
the overall distribution of seismic hazard in different
regions of the country. Such maps only include the
over all pattern of the geographical distribution of
G.V. Ramana Yoseph Birru
properties, path and geotechnical site parameters,
ground motion at a given location at most be
estimated probabilistically. It is also stated that
earthquakes are low-probability events, but with
high levels of risk to the society. Hence, either
underestimation or overestimation of seismic
hazard will prove costly in the long run (Iyengar and
Gosh 2004). Engineering approaches to earthquake-
resistant structural design will be successful to the
extent that the forces due to future shocks are
accurately estimated at the location of a given
structure.
Unless information in the vicinity of the site
contains a history of large earthquakes (earthquake
catalogue) and fault locations which would provide
seismicity and thus are able to reflect the presence of
some major fault systems or seismically active
source zones. Most seismic codes include such
maps and show the zones that require different
lateral force coefficients. The characteristics of
strong earthquake ground shaking at a point,
however, depend on numerous soil and geological
features surrounding the site, as well as on the
distribution and on the level of activity of the
earthquake sources in the vicinity (Udwadia and
Trifunac 1977; Anderson and Trifunac 1978). The
probabilistic estimates of ground motion may differ
within the same metropolitan area, depending on the
variation of local geology and distance from various
faults. Due to inherent variability nature of future
earthquake locations, magnitudes, source
Figure 1 : Seismic hazard map of Ethiopia (adopted from EBCS-8:1995).
G.V. Ramana, Yoseph Birru
Ethiopia, there are distinct and significant
differences in the predicted peak ground
accelerations (PGA) for various seismically
important regions of the country. It is therefore
argued that, the variations in predicted PGA are
significant enough to warrant a review of the
seismic zoning of urban areas such as AA (Kassegne
2006). The current study further stresses the need for
revising spectral provisions of the EBCS-8:1995 at
various periods of interest to the existing buildings
in the city from numerical analysis and that of
instrumentally measured site predominant periods.
Methodology
The following well established, time tested and
classical approach, that has been applied in
numerous reported studies, has been adopted in the
current study. The methodology can be broadly
divided into the following steps :
1. Identify earthquake source areas which
significantly contribute to the hazard and
determine the corresponding M .
max
2. Divide the sources into areas of equal size and
treat as equally likely contributing sources.
3. Select appropriate attenuation relationship
applicable to the region.
4. Determine probabilistic hazard ground
motion exceedances at firm site by varying the
maximum source potential of earthquake and
also the closest source-to-site distance.
5. Observe the effect of maximum source
potential and closest source-site distance on
the level of hazard estimated.
6. Determine uniform hazard spectra for return
period of 500 years and compare the results
with stochastically determined values and
codal provisions.
7. Estimate characteristic site predominant
periods of AA using equivalent linear analyses
from bore-log data and microtremor
measurement.
a deterministic evaluation of expected magnitude
and ground shaking, the seismic hazard is usually
represented by a response spectrum whose ordinates
are determined using probabilistic analysis. Since
response spectrum does not give any information on
earthquake magnitude, it is necessary to either
consider the estimate of maximum potential
magnitude in the seismogenic area around the site,
or to perform a deaggregation of the events
producing the probabilistic hazard.
Deaggregation of the hazard provides a histogram of
the magnitude and distance of the contributing
earthquakes, and thus identifies the magnitude of
the earthquakes that contribute most to the hazard.
In particular one can determine the mean estimate of
magnitude, or we can say, the mean plus one
standard deviation of the magnitude.
Even though, Ethiopia adopted its first earthquake
design code of standards in 1983 (ESCP- 1:1983),
traditionally, building officials in the country have
never made seismic-resistant code implementation
neither a priority nor a necessity (Kassegne 2003).
However, the formal adoption of a detailed building
code of standards for earthquake-resistant design in
1995 is by itself an encouraging development
(EBCS-8:1995). Its adoption, however, took more
than six years from its date of formal publishing and
also timely updating as per the subsequent
seismicity knowledge attained thereof is also
lacking. Major inconsistency in zoning category of
AA is also another interesting subject to be
mentioned here. EBCS-8:1995 classified as zone 2
by (see Figure 1) with a peak ground acceleration of
0.07g whereas the report from the RADIUS project
divides Addis Ababa into various microzones with
peak ground accelerations varying from 0.13g
0.50g. Interestingly, the widely adopted building
international codes such as UBC (UBC 1997) and
IBC (IBC 2000) classify major cities in the Horn of
Africa particularly AA, Ethiopia as zone 3 which
corresponds to a peak ground acceleration of 0.3g as
opposed to the 0.07g assigned by EBCS-8:1995.
Among the published seismic zone maps for
I nadequacy of Ethiopian Seismic Code of Practice at Short Periods
divided into three seismogenic provinces or seismic
source zones (Mammo 2005), namely: (i) the Afar
Depression (ii) the Escarpment and, (iii) the
Ethiopian Rift System seismic source zones (Figure
2). Throughout the Afar Depression, Red Sea and
the Ethiopian Rift and adjacent regions the depth of
the earthquakes is relatively shallow (~10 km)
(Hofsteller and Beyth 2003). Each zone is,
therefore, distinguished by its own specific tectonic,
geologic and seismic characteristics. In each zone
earthquakes are assumed to occur randomly, that is,
every point in the zone has the same probability of
being an epicentre. Hence, the source zone has been
gridded into rectangular regions as shown in Figure 4,
Seismicity of the Region and the Seismic
Source Zones
The seismicity of the AA region is controlled and
influenced by the active Ethiopian Rift System
which divides the country into two plateaus along
the NESW direction. The epicentral map of the
region shown in Figure 2 indicates that small and
intermediate size earthquakes are dominant and that
seismic activity in the region is not uniformly
distributed but is characterized by clustering at
preferred locations with sporadic activity in
between. The structural pattern (Figure 3) shows
that the region, characterized by a complex fault
pattern trending mainly around NESW, separates
the Somalian Plate from the Nubian Plate.
Based on the seismicity and the knowledge of the
geology and tectonics, the region can broadly be
Figure 3 : Structural pattern of the region and
epicentres of major earthquakes of magnitude
above 6.0 (Mammo 2005).
Figure 2 : Seismicity of Addis Ababa with the seismic source zones (modified from Mammo 2005)
Figure 4 : Gridded source zone (modified from
Hofsteller and Beyth (2003).
Year Month Day Time Latitude Longitude Magnitude Intensity
o o
(N) (E) (M.M.)
1904 05 PM 09.00 39.00
1904 06 30 13:55 09.00 39.00
1906 08 25 11:55 07.70 38.80 6.6
1906 08 25 13:47 07.70 38.80 6.8
1906 08 25 16:43 09.00 39.00
1906 10 28 16:07 09.00 39.00
1907 04 12 09.00 39.00
1907 04 17 MD 09.00 39.00
1910 02 04 NT 09.00 39.00
1913 03 09.00 39.00
1961 05 29 NT 09.00 39.00
1961 06 01 23:29:18 10.54 39.89 6.7
1961 06 01 23:30 09.00 39.00
1961 08 25 21:43:49 10.65 40.10 4.5
1964 10 17 09.00 39.00 3.0
1968 01 23 19:18:13 08.71 37.66 5.1
1972 11 13 AM 09.00 39.00
1973 03 08 AM 09.00 39.00 4.1
1974 02 25 16:05:40 09.90 39.70 4.5
1975 08 22 12:41:49
1977 07 08 06:23:02 10.94 39.63 5.0
1977 12 21 16:48:28
1979 07 28 19:22:16 08.85 38.70 4.1
1979 11 04 08:33:28 08.85 38.70
1983 12 02 23:08:39.5 7.03 38.60
1984 04 10 08:17:26 11.37 38.71 5.2
1984 08 24 09:03:09 08.95 39.95
1985 08 20 05:46 5.52 36.14
1985 10 28 12:08:45 09.47 39.61 4.8
1990 08 14 11:15:29 08.90 38.80 2.7
1991 01 08 12:10:14 08.90 38.80 2.8
1993 02 13 02:25:50 08.33 39.31 5.0
1993 09 18 04:15 5.35 37.56 4.8
1994 01 26 02:26:007 5.32 37.45 4.9
1995 01 20 07:14:27.5 7.16 38.44 5
1999 01 05 18:10 5.92 37.22 4.3
1999 01 05 18:27 6.02 37.51 4.7
1999 06 17 12:34 10.78 41.27 4.8
2000 05 10 08:43 10.22 41.14 4.0
2000 05 15 08:33 5.62 36.23 4.5
2000 05 17 20:47 10.09 41.23 4.4
4
3
7
8
6
7
3
4
3
3
5
7
7
4
3
4
3
4
3
8 38.4 4.2 3
5
4
6
4.7 3
5.1 -
4
4
5.4 -
5
3
3

-
-
-
-
-
-
-
-
-
Table 1 : Earthquakes observed in the Ethiopian Rift Seismic zone during the last century with MM
intensity greater than 3.
Data from Gouin (1979), Asfaw (1992), Ayele (1995) and Mammo (2005).
PM =afternoon; MD =midday; NT =nighttime; AM=morning; M.M.=Modified Mercalli Scale.
where the respective centers are taken as reference
locations to account source-site distances. As AA is
o o
located at 9N and 38.77E, which lies at the margin
of the Ethiopian Rift Seismic source zone, major
earthquake hazard to the city is attributed to this
source and hence our study confines to these
earthquakes only. In the past, several earthquakes
have occurred in the vicinity of AA and within the
rift as well as the escarpment seismic source zones
that caused widespread panic and damages in the
city. A list of earthquakes felt in the city during the
last century is given in Table 1.
Determination of Maximum (M ) possible
max
earthquake magnitude
Although knowledge of the value of the maximum
possible earthquake magnitude (M ) is required in
max
many engineering applications, at present there is no
generally accepted method for estimating the value
of M . The maximum earthquake magnitude, M ,
max max
is defined as the upper limit of magnitude for a given
seismogenic zone or entire region. Also,
synonymous with the upper limit of earthquake
magnitude, is the magnitude of the largest possible
earthquake. This terminology assumes a sharp cut-
off magnitude at a maximum magnitude M , so
max
that, by definition, no earthquakes are possible with
a magnitude exceeding M (Kijko 2004).
max
Cognizance should be taken of the fact that an
alternative, ''soft'' cut-off maximum earthquake
magnitude is also in use (Kagan 1991 and 2002a).
The latter formalism is based on the assumption that
seismic moments follow the Gamma distribution.
One of the distribution parameters is also called the
maximum seismic moment and the corresponding
value of earthquake magnitude is called the ''soft''
maximum magnitude. Beyond the value of this
maximum magnitude, the distribution decays much
faster than the classical Gutenberg-Richter relation.
Kijko (2004), considering a model having a sharp
cut-off of maximum magnitude, provided a generic
equation for the evaluation of the maximum
earthquake magnitude M for a given seismogenic
max
zone or entire region. The equation is capable of
generating solutions in different forms, depending
on the assumptions of the statistical distribution
model and/or the available information about past
seismicity. It includes the cases (i) when earthquake
magnitudes are distributed according to the doubly-
truncated Gutenberg-Richter relation, (ii) when the
empirical magnitude distribution deviates
moderately from the Gutenberg-Richter relation,
and (iii) when no specific type of the magnitude
distribution is assumed. As the recorded earthquake
in our particular study area is relatively for short
period and only few data is available, the Kijko's
method has been considered as favored one.
Accordingly, median M of 6.92 0.24 was
max
obtained as shown in Figure 4 considering the
following inputs :
1. The recurrence characteristics of the
earthquake in the zone follows the doubly-
truncated Gutenberg-Richter relationship and
Kijko-Sellevoll-Bayes assumption (K-S-B),
2. Assuming earthquake catalog is complete for
the period 1900 2000 above threshold
magnitude of 5.6 for the zone and average
activity rate of 0.5 per year (which is
conservatively assumed from Hofsteller and
Beyth estimate of m 5 number of
B
earthquakes to be 5 on average over 10 years
period).
3. b value of 1.13 0.05 as determined by Keir et
al (2006), and maximum observed earthquake
in the zone 6.8 (from the list in Table 1) with
uncertainty in magnitude 0.2 (Kebede et al.
1997).
Median M obtained from this procedure agrees
max
well to that of 7.0 estimated by Hofsteller and Beyth
(2003).
Attenuation relationship appropriate for the
region
Estimation of ground motion on firm ground i.e.,
without inclusion of site effects - is commonly
carri ed out usi ng attenuati on equati on.
Consequently, various attenuation relationships are
reviewed in order to examine their appropriateness
to the region for subsequent hazard assessment. As
stated before, due to non availability of recorded
data, for validation of attenuation models Brune's
point source simulation was presumed as a reference
due to its theoretical implications. Among various
attenuation models examined for our study, CB-
NGA (part of the PEER Next Generation
Attenuation of Ground Motion developed by
Campbell and Bozorgnia 2007) showed better
agreement to the results based on Brune's model
analysis. CB-NGA is framed using a common
database of worldwide strong motion recordings
developed both a median and aleatory uncertainty
model for peak ground acceleration (PGA), peak
ground velocity (PGV), peak ground displacement
(PGD), and response spectral acceleration (PSA)
and displacement (SD) for oscillator periods
ranging from 0.0110.0 s, magnitudes ranging from
4.08.0, and distances ranging from 0200 km. CB-
NGA relationship is used because of its capability to
incorporate distance ranges up to 200 km unlike
other relations which hardly exceed 100 km.
Besides, CB-NGA was developed based on
worldwide data for crustal earthquakes and more
reliable as it substantiates other factors affecting
ground motion such as depth of earthquake in
addition to commonly considered magnitude and
distance elements. Therefore the model has been
selected for the present study due to the above merits
rather than convenience among other competent
attenuation relationships. The following section
briefly discusses the development of Random
Vibration Theory (RVT) based response spectra
rooted on Brune's point source model.
RVT based site response is an extension of
stochastic ground motion simulation procedures
developed by seismologists to predict peak ground
motion parameters as a function of earthquake
magnitude and site-to-source distance (Hanks and
McGuire 1981; Boore 1983). The RVT procedure
consists of characterizing the Fourier Amplitude
Spectra (FAS) of a motion and using RVT to
compute peak time domain values of ground motion
from the FAS. There are different methods available
to describe the input FAS for RVT site response
analysis. The simplest approach involves the use of
seismology theory to compute the radiated FAS
from a point source in terms of various source, path,
and site parameters (EPRI 1993). Other techniques
involve finite fault seismological simulations
(Beresnev and Atkinson 1998) or deriving the FAS
from an acceleration response spectrum (Gasparini
and Vanmarcke 1976). In our study, seismological
point source theory is utilized to derive the input FAS.
This section represents a brief introduction to the
terminology in seismological source theory and
earthquake motion characterization, based on the
description given by Boore (2003). The FAS of
acceleration at a rock site ( =760 m/s NEHRP site
class B/C), Y(f), can be described analytically as a
function of the source, propagation path, and site
characteristics (the site characteristics in this case
represent the effect of the near-surface rock layers
and not the effect of the overlying soil layers). The
2
Brune (1970, 1971) omega-squared (1/w) source
spectrum is the most common and simplest
representation of the radiated FAS from an
earthquake. This source spectrum, E(M, f), along
0
with the effects of the propagation path, P(R,f), high
frequency diminution, D(f), and crustal
amplification, A(f), resulting in :
(1)
(2)
(3)
Where
f =frequency (Hertz);
3
r=mass density of the crust (gm/cm);
0
b=shear wave velocity of the crust (k/s);
0
[ ] ) ( ) exp(
0
) (
exp ). (
2
) / 1 (
2
0
3
0 0
78 . 0 ) (
0
f A f
f Q
fR
R Z
c
f f
f
M f Y
1
1
]
1
,
_
1
1
1
]
1
) ( ) ( ) , ( ) , ( ) (
0
f A f D f R P f M E f Y
( )
3
1
0
/
0
106 . 9 . 4 M
c
f
R =distance from the source (kilometer);
Z(R) =geometric attenuation;
Q(f) =anelastic attenuation;
Ds=Stress drop (bars)
f =Corner frequency (Hz)
c
k=diminution parameter (s); and
0
M =seismic moment (dyne cm).
0
RVT, or more specifically extreme value statistics,
was first used in seismology by Hanks and McGuire
(1981) to predict peak acceleration from the root-
mean-square (RMS) acceleration, a . Parseval's
rms
theorem is used to compute a from the Fourier
rms
amplitude spectrum, Y(f), and a peak factor is used to
relate a to the peak ground acceleration (PGA).
rms
Parseval's theorem states that the energy is
conserved in both the time and the frequency
domains, resulting in the following expression :
(4)
where
m =zero moment of the square of the FAS,
0
2
Y(f) ; and
T = duration of motion. For peak
rms
acceleration, T is set equal to the ground
rms
motion duration, T . In this study we define
gm
T as the source duration (T =1/ f +0.05R,
gm gm c
th
where R is distance in km). The n moment
of the square of the FAS is defined as :
(5)
The peak factor, which relates the peak value
to the RMS value through a ratio
(peak/RMS), is used to obtain the peak
acceleration from the computed value of a .
rms
One of the first RVT methods was proposed
by Higgins (1952) and this method was
applied to ground motion simulation by
Boore (1983). Cartwright and Higgins
(1956) consi dered the probabi l i ty
distribution of the maxima of a train of ocean
waves and developed expressions for the
peak factor in terms of the characteristics of
the wave train. The expected value of the
peak factor is computed using :
(6)
Where,
In these expressions, =bandwidth factor; N =
z
number of zero crossings in the wave train; and N =
e
number of extrema. For a narrow band signal, N is
z
equal to N and, thus, is equal to 1.0. For signals
e
with motion spread over a range of frequencies
(such as earthquake motions), N is smaller than N
z e
and, thus, is less than 1.0. N and N are derived
z e
from the frequencies of zero crossings and extrema
(f and f , respectively) and ground motion duration
z e
(T ) using :
gm
The parameters f and f are computed from the
z e
moments of the FAS using :
(8)
The previous equations have been derived for peak
acceleration. To compute spectral acceleration (S)
a
rather than peak acceleration (PGA), the response of
a linear single-degree-of freedom (SDOF) oscillator
must be included before the RMS acceleration is
2
computed. Thus, the spectrum, Y( f ) , is multiplied
by the square of the transfer function for
acceleration for a SDOF oscillator with natural
2
frequency f , H (f) , given by :
n fn
(9)
Then the resulting spectrum is used to compute S
a,rms
[Eq. (4)] and the peak factor [Eq. (6)].
Boore and J oyner (1984) and Liu and Pezeshk
(1999) suggest modifications for T used in the
rms
RMS calculation [Eq. (4)] when computing spectral
Nz / Ne
N 2f T N 2f T (7)
z z gm e e gm
rms
T m
rms
a /
0
( ) ( )
2
0
2 2 / /
n
n
m f f Y f df
( ) ( )
max 2
0
/ 2 1 1 exp
a e
rms
N
a
peak factor f z dz
1

]
( )
1/2
2 0
1
/
2
z
f m m
( )
1/2
4 2
1
/
2
e
f m m
( )
( ) ( )
4
2
2
2
2 2
2
n
fn
n n
f
H f
f f f f
1
+
1
]
acceleration. These modifications increase T to
rms
ensure that the peak response is captured. Boore and
J oyner (1984) proposed the following relation for
T :
rms
(10)
Where T is as defined before, =T /T , T =
gm gm os os
Oscillator natural period, and
T =oscillator duration given by :
o
T =T /2 (11)
o os
Where =damping ratio of the oscillator. Based on
numerical simulations, Boore and J oyner (1984)
proposed n =3 and =1/3 for the coefficients in Eq.
(10). Liu and Pezeshk (1999) used the same
functional form as Eq. (10) but developed slightly
different values of n and . The Boore and J oyner
(1984) expressions are used in this study. The source
and crustal parameters required for developing
response spectra from the above Brune's model is
provided in Table 2 referred from Mamo (2005).
Table 2 : Median Seismological Parameters.
Parameter Value
Shear wave velocity () 3.38 km/s
Density () 2.64 g/cm3
Rapture propagation speed 0.8
Stress parameter () 79 bars
Kappa () 0.035
b
Geometric spreading: R , where b = -1.0 (R<=70 km)
0.0 (70<R<=130 km)
-0.5 (R>130 km)
Distance dependent duration: dR, d =0.0 (0 to 10 km)
+0.16 (10 to 70 km)
-0.03 (70 to 130 km)
+0.04 (>130 km)
0.36
Quality factor Q =680f (Qmin=800)
Site Periods of AA from Microtremor and

Equivalent Linear Numerical Analysis
One of the important lesson learned from the 1985
Mexico earthquake is the importance of
predominant site period in amplification of ground
motion. Hence, in this section attempts were made
to estimate characteristic site periods of loose
geological materials at AA using numerical
technique and are compared with also previous
efforts. Site periods of southern part of AA were
studied using microtremor (Daniel 2002) and the
same data is plotted against spatial locations in a 3-D
format as shown in Figure 9. In order to compare the
microtremor results to that of estimated with
equivalent linear numerical technique, the close by
bore-log data (located in Figure 10) has been
utilized. Unfortunately, there are very few points
lying in the same grid or closer than 0.5 km which is
assumed to be reasonable distance to be considered
as a uniform profile. Accordingly, for locations
satisfying these requirement, the results from
equivalent linear analysis are shown graphically in
Figure 12(b). In equivalent linear analysis, the soil
profile was subjected to very weak motion (in the
order of 0.01 PGA) and thickness of layers {shown
in Figure 12(a)} as well as engineering material
properties (listed in Table 3) were varied randomly
using uncertainty parameters obtained from sample
observations. Modulus reduction curves for the
generalzed soil profiles were estimated from
Darendeli (2001) and also Zhang et al. (2005)
recommendations as presented in Figure 11. As
observed in the figure, the two estimates are in close
agreement and hence Darendeli (2001) curves have
been adopted for the current study considering
standard deviation of 0.35 (recommended by EPRI
1993) and applying the same perturbation in all
strain levels to both stiffness and damping curves.
Thickness of soil layers, dynamic material
properties such as shear wave velocity, modulus
reduction and damping behavior and PGA on the
rock outcrop were treated as random variables
assuming log normal distribution for modulus
reduction and damping behavior. Other entities
n
rms gm O n
T T T

_
+

+
,
were treated as normally distributed for the
equivalent linear analysis. The mean values of site
predominant period obtained from the two
appraoches are very close, i.e, 0.21 and 0.22 second
from equivalent linear and microtremor,
respectively. However, as far as the data scattering
as measured by standard deviation is concerned, the
results show some scatter (0.06 versus 0.11 sec).
Results and Discussion
In the study, source zone with relatively significant
hazard contribution has been identified (zone III as
per Mamo 2005 classification) and its closest
distance to important locations in AA varied from 20
to 60 km and also source potential for generating
maximum earthquake (M ) has been assumed to be
max
6.5, 7 and 7.5 in order to leave the decision regarding
acceptable hazard level to the designers or
approving authorities depending on the importance
of the structure. The source zone has been girded
into rectangular regions as shown in Figure 3, where
the respective centers are taken as reference
locations to account source-site distances. The
ground motion is described in terms of a
probabilistic response spectra developed for
distances ranging from 20 to 150 km at every 5 km
interval and closest source-site distance varied from
20 to 60 km with 10 km bin and M being changed
max
6.5, 7 and 7.5 in each set. A probabilistic response
spectra represents the aggregated contribution of a
range of earthquake magnitudes occurring at
various rates with seismic source zones located at
various distances from the site, and includes the
effect of random variability in the ground motions
for a given magnitude and distance. The hazard
curve developed for each M shown in Figure 6
max
displays that it has significant effect only on
probability of exceedance in higher spectral ranges
irrespective of the periods. UHS for mean annual
exceedance rate of 10% in 50 years or equivalently
500 years of return period developed at firm
(NEHRP B class) site (for closest source-site
distance of 20 km) is compared with Ethiopian
Building Code Standard (EBCS-8, 1995) for firm
sites located in zone 2 as shown in Figure 7. It can be
seen that the effect of M on UHS is more
max
pronounced at higher periods. In a similar fashion,
response spectra developed for magnitude 7
earthquake at varying source-site distance of 20 to
150 km by application of RVT from Brune's source
model (specified in the above procedure) are
compared with that of EBCS-8 in Figure 8 and UHS
is also shown for clarity. It can be observed from
Figure 8 that EBCS-8 under estimates the hazard at
short periods and over estimates at longer periods
for all the three cases of source potentials considered
in this study. The deviation between EBCS-8 and
UHS is significant in period range of 0.12 to 0.32
second. Unfortunately, this particular range of
periods coincides with the fundamental periods of
most sites in city as observed from microtremor
measurements (shown in Figure 9) as well as
numerical analysis and hence a minor mismatch
from reality may result in significant deviation from
expected result while estimating surface hazard
incorporating the site effects. A similar observation
was also reported by Kassegne (2003) and this study
further corroborates this fact and EBCS-8 has to be
Table 3 : Shear wave velocity profile of a typical site including unit weights.
Material
Min. Max. Mean Standard deviations
Clay 179 261 209 68 18.4
Silty clay/Sand 407 561 495 75 17
Bed Rock 760 830 785 32 20
Shear wave velocity (m/s) Unit weight
3
(kN/m)
modified taking this into account in the future. On
the other hand, mean value of spectra developed
from RVT shows a good match to EBCS-8 over a
large range of periods for the particular case
considered. It can also be observed that both UHS
and EBCS-8 results lay closely within mean one
standard deviation (shown in the figure as mean
Stdev).
6.2 6.5 7 7.5 8
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
Maximum regional magnitude M
max
(K-S-B)
P
r
o
b
a
b
i
l
i
t
y
o
f
n
o
n
-
e
x
c
e
e
d
a
n
c
e

Figure 5 : M vs probability of exceedance estimated using Kjiko's technique.
max

Figure 6 (a) : Effect of M on mean annual probability of exceedance at
max
selected periods of 0.05, 0.1, 0.2, 0.3, 0.5, 0.75, 1.0 seconds.
Figure : 6 (b)

Figure : 6 (c)

Figure : 6 (d)
Figure : 6 (e)

Figure : 6 (f)
Figure : 6 (g)
Figure 6 : Effect of M on mean annual probability of exceedance at
max
selected periods of 0.05, 0.1, 0.2, 0.3, 0.5, 0.75, 1.0 seconds.

Figure 7. Comparison of EBCS-8 with uniform hazard spectra at stiff site for different values of M .
max

Figure 8. Comparision of Ethiopian Building Code Standard (EBCS-8) for zone 2 with randomly generated spectra
at firm site (NEHRP B class) and Uniform Hazard Spectra (UHS) for 5 % damping from the current study.
4.74
4.76
4.78
4.8
4.82
4.84
x 10
5
9.8
9.85
9.9
9.95
x 10
5
0
0.2
0.4
0.6
Easting, UTM
Northing, UTM
P
e
r
i
o
d
(
s
e
c
)

Figure 9 : Predominant periods of sites in AA using microtremor data (adopted from Daniel
Abera 2002 MSc thesis,"Seismic Microzonation of Southern part of Addis Ababa).

Figure 10 : Relative location map of microtremor to bore-log site in AA city
(UTM stands for Universal Transvese Mercator).

Figure 11. Modulus reduction curves recommended by Darendeli (2001) and Zhang (2005).

Thickness Varied
from 3 to 17.1 m
randomly
Thickness Varied
from 3 to 10.3 m
randomly
Clay

Silty
Clay/sand

a) Soil profile adopted for equivalent linear analysis.
s =sample standard deviation
M =sample mean
M s M+s M-s
0.21 0.06 0.27 0.14
b) site predominant period distributions.
Figure 12. Geotechnical profile and SHAKE analysis results for random soil properties.
References
Anderson, J . G. and Trifunac, M. D. 1978, On uniform risk functionals which describe strong earthquake
ground motion: definition, numerical estimation and application to the Fourior amplitude of acceleration;
Rep No. CE 77-02, Dept of civil engg., University of Southern California, Los Angles, California.
Asfaw, L. M., 1992 Seismic risk at a site in the east African rift system Tectonophysics, 209, pp301-309.
Ayele, A. 1995, Earthquake catalogue of the horn of Africa for the period 1960-93. Seism. Dept, Uppsala
Univ., report 3-95, pp32.
Beresnev, I. and Atkinson, G. 1998 FINSIM: A FORTRAN program for simulating stochastic acceleration
time histories from finite faults Seism. Res. Lett., 69(1), pp27-32.
Boore, D. 1983 Stochastic simulation of high-frequency ground motions based on seismological models of
the radiated spectra Bull. Seism. Soc. Am., 73(6), pp1865-1894.
Boore, D. 2003 Simulation of Ground Motion Using the Stochastic Method Pure appl. geophys., 160,
pp635-676.
Boore, D. and J oyner, W. B. 1984 A note on the use of random vibration theory to predict peak amplitudes
of transient signals Bull. Seism. Soc. Am., 74(5), pp2035-2039.
Brune, J . 1970 Tectonic stress and the spectra of seismic shear waves from earthquakes J . Geophys. Res.,
75(26), pp4997-5009.
Brune, J . 1971 Correction.; J . Geophys. Res., 76(20), 5002.
Campbell, K.W. and Bozorgnia, Y. 2007, Campbell-Bozorgnia NGA empirical ground motion relations for
the geometric mean horizontal component of peak and spectral ground motion; PEER, University of
California, Berkeley.
Cartwright, D. E. and Higgins, M. S. 1956, The statistical distribution of the maxima of a random function;
In Proc. of the Royal Society of London. Series A, Mathematical and Physical Sciences, 237, pp212-232.
Darendeli, M. 2001, Development of a New Family of Normalized Modulus Reduction and Material
Damping Curves, Ph.D. Dissertation, Dept. of Civil Eng., University. of Texas, Austin.
Electric Power and Research Institute (EPRI), 1993 Guidelines for determining design basis ground
motions; Volume 1: Method and guidelines for estimate earthquake ground motion in Eastern North
America. EPRI TR-102293, Palo Alto, Calif.
Ethiopian Building Code Standard (EBCS-8: 1995), Design of structures for earthquake resistance,
Ministry of Works and Urban Development, Addis Ababa, Ethiopia, 1995.
Gasparini, D. A and Vanmarcke, E. H. 1976, SIMQKE: Simulated Earthquake Motions Compatible with
Prescribed Response Spectra; Dept. of Civil Engineering, Research Report R76-4, Massachusetts Institute
of Technology, Cambridge, Massachusetts.
Gouin, P. 1979, Earthquake history of Ethiopia and the horn of Africa; International development research
centre, Ottawa, Ontario.
Hanks, T. and McGuire, R. 1981 The character of high-frequency strong ground motion Bull. Seism. Soc.
Am., 71(6), pp2071-2095.
Hofsteller, R. and Beyth, M. 2003 The Afar Depression : interpretation of the 1960-2000 earthquakes
Geophys. J . Int., 155, pp715-732.
Iyengar, R. N. and Ghosh, S. 2004 Microzonation of earthquake hazard in Greater Delhi area Current
Science, 87(9), pp1193-1202.
Kagan, Y. Y. 1991 Seismic moment distribution Geophys. J . Int. 106, pp123-134.
Kagan, Y. Y. 2002a Seismic moment distribution revisited: I. Statistical results Geophys. J . Int. 148,
pp521-542.
Kassegne, S. K. 2003, Issues in Seismic Zoning and Proposed Reconsiderations in Seismic Building Codes
in Ethiopia; Proc. of the J oint EACE-AAU International Conf. on Computational Mechanics, Structures and
Earthquake Engineering (ICCMSE-2003), J anuary 9-10, 2003, Addis Ababa, Ethiopia.
Kassegne, S.K. (2006), "Proposed Considerations for Revision of EBCS-8:1995 for Conservative Seismic
Zoning and Stringent Requirements for Torsionally Irregular Buildings, Published by EACE's Zede
Research J ournal,.
Kebede, F. and Eck, T. V. 1997 Probablistic seismic hazard assessment for the horn of Africa based on
seismotectonic regionalization Tectonics 270, pp221-237.
Keir, D., Stuart, G. W., J ackson, A. and Ayele, A. 2006 Local magnitude scale and seismicity rate for the
Ethiopian rift Bull. Seism. Soc. Am. 96(6), pp2221-2230.
Kijko, A. 2004 Estimation of the maximum Earthquake magnitude, M Pure appl. geophys. 161, pp1-
max
27.
Liu, L. and Pezeshk, S. 1999 An improvement on the estimation of pseudoresponse spectral velocity using
RVT method Bull. Seism. Soc. Am., 89(5), pp1384-1389.
Longuet-Higgins, M. S. 1952 On the statistical distribution of the heights of sea waves J . Mar. Res., 11(3),
pp245-265.
Mammo, T. 2005 Site-specific ground motion simulation and seismic response analysis at the proposed
bridge sites within the city of Addis Ababa, Ethiopia Engineering Geology, 79, 127-150.
Naqvi, T., Datta, T. K. and Ramana, G. V. 2001 Microzonation of large cities with respect to PGA and safe
period of buildings J ournal of European Earthquake Engineering,3, pp44-53.
Trifunac, M. D. 1990 A microzonation method based on uniform risk spectra Soil dynamics and
earthquake engineering, 90(1), pp34-43.
th
Udwadia, F. E. and Trifunac, M. D. 1977, Problems in construction of microzonation maps; In Proc. of 6
world conf. Earthquake Engineering, New Delhi, India, Vol. I, 735-741.
Zhang, J ., Andrus, R. D. and J uang, C. H. 2005. Normalized Shear Modulus and Material Damping Ratio
18 Relationships, J . Geotech. and Geoenvir. Eng., ASCE, 131(4), 453-464.
Integrated Agro Processing and
Management - Prospects and Feasibility
Agro-processing is a priority area and is being
encouraged to a great deal in all developing agrarian countries
including India. Though India had a sound agricultural
practice fromthe Medieval periods, agro technology as such
had undergone stagnation and could not keep pace with the
Western countries. Despite modern horticultural revolution
and vastly enhanced productivity in traditional crops, live stock
and aqua culture products, the status of value addition is yet to
accelerate to the desired levels. Integrated agro processing
and rural management techniques under the umbrella of
specific agro-economic zones may pave way for better synergy
amongst the farmer, processor and marketing agencies.
Governmental support to individuals as such may not realize
the envisaged goals. Many of the common problems
encountered by small scale agro processors i.e. raw material
availability, infrastructural deficiencies, inadequate utilities,
lack of brand recognition, connectivity with global marketing
channels etc. could be overcome by integrated agro-processing
activities. Such an approach also warrants services of holistic
consultancy services covering a wide spectrumof activities
inclusive of rural management, modern concepts of farming
and marketing, extension services, feasible agro-processing
technologies and competitive marketing.
status of 'raw material providers'. In case of India,
the spice gardens of Kerala attracted the western
world and the prosperity and lush green fields of
Indo-Gangetic plains drew the attention of the Arab
world across the Kybar pass. Centuries of foreign
rule systematically destroyed the concept of value
addition in India and made it survive as a provider of
agro based commodities inclusive of spices, cotton
and tea. The mineral wealth was also tapped by the
foreign rulers and the basic concepts of
industrialisation were meticulously guarded to
maintain their monopoly in industrialisation. As a
consequence, intellectual property rights eluded the
country and the country as such has taken a long
time to appreciate the concepts of value addition and
intellectual property rights.
The greatest civilisations of the world with origin in
prehistoric periods include Greece, Roman, Indian
and Chinese civilisations. These civilisations were
the first of their kind in utilizing the unique features
of mankind i.e. thought process and communication
skills in separating mankind from rest of the animal
world. The caveman across the world underwent an
intellectual revolution by adopting cooking of food
by making fire, weaving clothes and devising
weapons for hunting and self protection. The
specific civilisations surged ahead of others by
greater inputs in agriculture, metallurgy, textiles,
modes of transport and agro-processing. The leads
were maintained till the dawn of industrial
revolution in the Western countries. The industrial
revolution outpaced the traditional agriculture
based economics relegating these countries to a
P.S. Raju
O.P. Chauhan
A.S. Bawa
Mechanisation through judicious use of energy
transformation and machine design and
development, quality and costs of products and
continuous improvement in technologies and
machinery in specific time frames, propelled the
Western economies to the highest levels. Value
addition of these products grew manifold and the
human brain gained dominance over the mere raw
materials used in the process. As a consequence,
countries such as India lost the advantages of agro-
commodity production. The industrial revolution
including food processing and the milestones could
be cited as the development of machinery and
conceptualisation of technologies such as
dehydration of solid and liquid foods and the
thermal sterilization process. The other
developments were industrial fermentation methods
and frozen foods. The western world laid equal
emphasis on agro-process and agriculture. The high
agricultural yields of crops such as corn, soy, wheat,
barley, oats in addition to fruits such as grapes and
oranges were subjected to extensive agro-
processing which resulted in attainment of huge
brand values over the years. Many countries grow
grapes and only France has the monopoly on
premier brands of wine such as Champaign. The
value addition in many cases grew hundred times
and the foresight of the Western world ensured a
continued domination over the raw material
producing countries as such.
Post independence I ndia found the agro-
productivity of the country inclusive of cereals
inadequate to meet the requirements of a high
population and was largely depending on grain
imports. The sustained efforts of green revolution
spelt a ray of hope to be self sufficient in the food
sector in terms of food security. Once a marginal
surplus was gained the concepts of value addition in
agro processing gained prominence. The white
revolution in the form of 'operation flood' created
new frontiers of cooperative marketing and
processing of milk. The industries concerned with
sea foods and deboning of bufallow meat flourished
to a greater extent catering the export markets. The
area of horticultural produce inclusive of fresh fruits
and vegetables grew in terms of overall productivity
resulting in an annual production of 140 MT
(national Horticulture database 2004). However,
the value addition is restricted to less than 2 percent
of the total produce. Many of the developing
countries use 60-80 percent of the total production
of fruits and vegetables for agro-processing. The
reasons for lack of awareness with regards to the
value addition by agro processing could be
attributed to the following aspects.
1. Illiteracy in rural India
2. Subsistence marketing of fresh produce
3. Inadequate infrastructure including cold chain
4. Lack of cultivars suitable for food processing
5. Small land holdings and poverty
6. Inadequate marketing facilities
7. Unscientific agronomic methods
8. Inadequate planning of orchards and crops
9. Lack of motivation to prosper in the farming
community
10. Financial constraints and inadequate
governmental support
Problems and Constraints in Agro Processing
The Indian economy and social conditions in the
rural and semi urban sectors which encompass 80
percent of the countrys population have typical
features warranting a specific agro processing and
marketing strategy unlike the developed countries.
Most of our farmers have small land holdings and
the horticultural crops are restricted to dry lands
with poor irrigation facilities. In the case of
perennial horticultural crops such as mangoes,
orange, guava, grapes etc. most of the orchids are
given for contractual harvesting and marketing and
the farmer does not realise the true value for his
commodity. The table varieties and the varieties
meant for agro processing need to be identified and
grown as per the requirements of target consumers
and markets. The subsistence marketing takes away
the bulk of the commodities where neither
I ntegrated Agro Processing and Management - Prospects and Feasibility
packaging of table varieties nor processing is
practiced. Cooperative marketing and contract
farming needs to be encouraged in a greater way to
promote agro processing. Agro processing in the
holistic sense refers to post harvest handling of fresh
produce for table varieties as well as conventional
food processing as such.
The basic problems in the sector could be cited as
follows :
1. Inconsistent and insufficient supply of raw
materials
2. Seasonality of crops
3. Inappropriate or obsolete processing and
allied equipments
4. Poor quality of raw material supply and high
losses during transport from farm to factory
5. Poor and inconsistent quality of processed
products
6. Suboptimal use of processing facilities and
equipment
7. Lack of proper hygiene and sanitation
practices
8. Poorly trained personnel and lack of qualified
food technologists.
9. Inappropriate packaging materials and high
packaging cost
10. Inadequate market development
11. Absence of good management of the
processing facility once commercialized
12. A lack of technical support for the agro
industrial sector
In order to highlight the problems i.e. agro
processing sector in brief, one need to lay emphasis
on certain major features such as insufficient raw
material and high post harvest losses during farm to
factory transportation. A food processor needs to
have a clear strategy in terms of quantity of raw
material procurable during a given season and the
seasonal availability shall not be a constraint to the
functioning of the factory throughout the year.
Therefore, the factory needs to prepare commodity
charts in terms of availability during different
seasons and the machinery shall be installed
accordingly. An integrated approach by minimizing
specialized equipments and choosing protocols with
a greater degree of commonality in terms of
machinery and unit operations could be an
important feature in strategising the overall
functioning of the factory.
Post Harvest Handling of Agro Commodities
1. Cereals : The Indian population is far away
from routine use of processed foods in lieu of
unprocessed products derived from agro
processing as such. The value addition is
largely restricted to milling in the case of
cereals and pulses and the oil seeds such as
mustard, groundnut, sesame seeds etc. are
refined to remove extraneous matter
contaminations to enable consumption of the
same in households. In the case of wheat, the
value addition essentially involves packaged
whole atta and roller mill derived products
such as maida, sooji etc. The baked products
predominantly made in the unorganised sector
are the major modes of value addition. The
other products include baby foods, weaning
foods, malted beverages, extruded products
and snack foods. Breakfast cereals and low
calorie diets derived from cereals are the other
major products which have market potential.
In general, the value addition is low and being
controlled to a great extent by multinational
companies. There is a need to open up rural
markets to promote a greater demand for
processed cereals and the change in socio
economic conditions of rural masses which
plays an important role in promoting
indigenous industry. Seventy percent of the
Indian population stays in villages and if each
house hold consumes bakery products and
other processed cereals to a greater extent, the
current demands for such products increase
manifold. The purchasing power of rural
A.S. Bawa, P.S. Raju, O.P. Chauhan
population is increasing steadily, though,
much less compared with the urban
population.
2. Fruits and vegetables : India produces around
140 MT of fruits and vegetables annually,
however the post harvest losses are to an
extent of 20.35 percent and in certain
commodities, the losses are as high as 50
percent. There is no value addition at all in
most of the cases and the commodities are
subjected to subsistence marketing. A few
products are in vogue such as mango
beverages and fruit bars. The corporate sector
showed intensions to promote value addition
in the area of fruits and vegetables and
organisations such as 'mahamangoes' and
'mahagrapes' are exporting the commodities
though the volumes are low keeping in view
the overall potential for such marketing
activity. Concerted efforts were also made by
APEDA for the export of mangoes, grapes,
litchi, banana etc. in addition to tropical
vegetables such as okra, bittergourd, soft
gourd, pumpkins etc. The efforts include
export promotion in relatively unexploited
zones such as Saharanpur, Dehradoon in
Uttarakhand and Muzzafferpur in Bihar. The
cultivars extended beyond Alphonso mango
and Thampson seedless grapes extending to
exotic varieties such as seedless blue grapes
and mango varieties such as Chausa,
Dashehari, Langra, Malta, Badami etc.
Several entrepreneurs have also emerged in
the area of tropical vegetables such as
Namdhari Fresh, Agarwal Agro etc. The
emergence of Reliance Fresh for domestic
marketing of fresh fruits and vegetables paved
way for pooling and retail marketing activity
in the lines of Mother Dairy fruit and
vegetable units. Organisations such as 'Safal'
are also contributing to the newer trends of
fruit and vegetable marketing within the
country. In terms of value addition the
processing sector is largely confined to
corporate houses such as Kisan, Pepsi, Godrej,
ITC etc. There are a number of firms involved
in bottling of gherkins in States such as
Karnataka and the produce is largely drawn
from contract farming. There is a need to
involve rural population of farmers in a greater
way to promote fruit and vegetable processing
and marketing through innovative policy
making and organisation of cooperatives.
3. Milk : India stands first in the overall milk
production which is to an extent of 100 MT.
Perhaps, the revolution of value addition had
progressed in India in the milk industry to the
greatest extent and more than 30 percent of the
production is being processed to various
extents of value addition. The white
revolution conceptualised by Dr. V. Kurien
through the Kaira District Cooperative Milk
Farmers Federation paved way for a
nationwide cooperative movement in several
states and it is a common sight to see milk
collection vans reaching remote areas to
collect milk for processing in respective
dairies. The National Dairy Development
Board has become synonymous with the milk
revolution and value addition. We no longer
import milk powder and the country is self
sufficient in terms of milk and milk products.
In fact, the other sectors in agro processing
need to take a leaf art of the success achieved
by India in the milk sector to promote
cooperative marketing and processing in
similar lines.
4. Meat, fish and poultry : The domination of the
western world in these sectors urged India to
come a long way is improving the yields and
value addition. Deboned buffalo meat is the
major export revenue earning for India and the
country can improve further by extending the
industry to all major areas of livestock.
Export of dressed and packaged chicken is
being taken up for domestic and export
markets and organi zati ons such as
Venkateshwara Hatcheries have extended
their activity concerning different poultry
products inclusive of dressed chicken, fresh
eggs, spray dried whole egg powder etc. to a
great extent. The incidence of Avian flue has
become a major constraint in the development
of the industry and the industry could be
encouraged further at the rural level to add to
the income of the farming community. Sea
food marketing inclusive of fish, lobsters,
shrimps, crabs, oysters etc. contributes
significantly to foreign exchange earning and
the export is largely being carried out in frozen
form. Shrimp farming in fresh water lakes is
an area which has reached greater heights in
the coastal areas. However, incidence of
endemic diseases and widespread disturbance
to the ecosystem due to over exploitation of
the benefits of shrimp farming has put a
question mark on the future of shrimp industry
in the country. Sustained efforts in such aqua
industries with reddressal mechanisms for
ecological conservation is the need of the hour
to maintain the growth in the highly promising
and rewarding area of agro processing.
Agro processing in India has not developed
significantly despite recognition by Central and
State Governments as a top priority area in terms of
rural development. There is a need to revisit the
drawing board of the countrys rural management
programmes. One of the reasons could be,
addressing agro processing in isolation. Integrated
approaches including land holdings, horticultural
practices, selection of crops, motivation of the
farmers, commodity pooling, cooperative
marketing, link up with corporate houses,
establishment of cooperative brands, involvement
of farmer as a stake holder in commercial bodies etc.
would clear the road blocks faced by the rural sector
at present. Government initiatives alone may not
reflect in higher ends of commercial success. The
rural entrepreneurs are encountering a number of
constraints inclusive of agronomical, financial,
marketing, technological and export constraints
(Sherawat 2006). Some of the watchwords which
need to be addressed in the integrated techno
commercial programmes relate to the following
aspects:
1. Suitable location
2. Adequate supply of power
3. Adoption of quality control measures
4. Quality of raw material
5. Timely supervision and guidance
6. Sound managerial ability of entrepreneur
7. Technical guidance & counselling
8. Training of workers
9. Easy availability of finance
10. Identification of mega markets
11. Attractive packaging
12. Product quality
13. Contacts with marketing agents within the
country and abroad
14. Commitment towards enterprises
15. High risk taking capacity
16. Innovative behaviour and motivation
Any integrated approach taking care of agro
productivity, post harvest technology and marketing
shall get encompassed under the umbrella of either
cooperative farming and processing societies or
corporate houses. Bandarla (1992) reported acute
problems in rural based agro industries in the form
of inadequate infrastructure, finances, technological
access and marketing constraints. The location of
the industry also is a critical factor as the industry
has to overcome the specific constraints to a greater
extent and development of Agri-Economic Zones
(AEZ) could be instrumental in addressing many
infrastructural deficiencies encountered by the
industry (Abdul Kalam and Rajan 2004). The
selection of AEZs shall be central pivot of the
integrated network. The zone needs to be in easy
access to the farms and also locations for long
distance transportation such as national highways,
airports and harbours. Utilities such as electricity
and water shall be available adequately. The AEZs
shall be more specific where interdependent
processing units need to be pooled. The
interdependence could be primary, secondary and
tertiary processing levels of specific commodities
available in the hinter land of the economic zones
concerned. Allied industries such as packaging,
machinery, sanitation devices etc. need to be
grouped together so that the AEZs remain shelf
sustained to a greater level augmenting each others
demand and supply profiles. Provision of trained
manpower needs to be addressed by having training
institutes depending on the manpower requirements
of the AEZ concerned. In fact, the entire AEZ could
be brought under single umbrella to make the
economies robust enough to encourage contract
farming or cooperative marketing in the hinter land.
Such organisational umbrella could be a corporate
house with one to one partnership with independent
industries in the same AEZ. The integrated concept
would address most of the infrastructural problems
in remote areas including hilly terrains which
otherwise face acute agro processing constraints
(J airath 1996). Government role needs to be clearly
defined and it shall extend for initial financing
without operational constraints upon the
entrepreneur to adopt the corporate umbrellas
envisaged within the AEZ. Self employment and
entrepreneurial development programmes shall be
coordinated by the organisational structure within
the AEZ and the government help could be
channelized through the AEZs. At present the
central and state governments are contributing
substantially towards self employment schemes
(Chatterjee 1992). However, the benefits do get
diluted and diffused due to lack of organisational
structure and corporate support for such isolated
activities. The commodity specificity needs to be
precise and well planned by accurate surveys and
estimates taken up by the corporate bodies in
specific locations near the envisaged AEZs. Some
of the areas could be as follows, in terms of
commodity specificity :
Grapes : Bangalore, Hyderabad and Pune
Mangoes : Vijaywada, Badami, Anantpur, Nasik,
Saharanpur, Lucknow
Guava : Allahabad and Pune
Strawberries : Nasik, Dehradoon
Basmati rice : Dehradun, Panipat
Spices : Kerala and Guwahati
Durum wheat : Punjab, Haryana
Milk : Punjab, Haryana and Gujarat
Saffron : J ammu and Kashmir
Meat and Meat products : Punjab and Haryana
Each AEZ shall select a few commodities grown
abundantly in the hinter land and the processed
foods or packaged fresh foods derived from the
commodities need to be planned for round the year
activity. The glut seasons need to be addressed with
significant primary processing activities. One of the
major reasons of India's slower growth in agro
processi ng coul d be attri buted to non
implementation of primary processing industries.
Fruit and vegetable purees could be made easily at
farm level by imparting training to the progressive
farmers. The Indian farmer is having inclination to
adopt technologies but prefers to be traditional in
subjecting his commodity to any technological
process. Indian farmers make excellent quality
jaggery, mango bars, desi ghee, papads, wadians,
expelled oils etc. This amply demonstrates that the
Indian farmer is technical savy and could be trained
easily in primary agro processing such as the fruit
and vegetable sector. The developed countries
excel in agro processing because of larger land
holdings, field level packing houses and primary
processing centres. India shall promote the same
and the constraints of smaller land holdings could be
overcome by involvement of corporate houses,
NGOs and self help groups (SHG) and the activities
shall be linked up by integrating the same with AEZ
having a unified organisational structure.
Marketing of food products is a challenging task
despite addressing the problems associated with
agriculture and technology. The industry may
suffer from inadequate marketing and sickness. The
preventive and corrective steps of such agro
industrial sickness may be addressed by aggressive
marketing strategies (Singh and Pratap 1987).
Food processing technologies for primary
processing are simple and the problems encountered
during primary processing could be handling of bulk
quantities during the glut seasons. Often the plant
capacities become a hindrance and therefore, the
primary processing may completely be shifted to the
farm level and the basic facilities could be provided
by the AEZ consortium with necessary technical
supervision and implementation of quality control
procedures. The demonstration of technologies
shall be collaborated by food parks and nodal
national laboratories involved in research and
development. The Ministry of Food Processing is
financing several food parks around the country and
these isolated activities may be integrated with
AEZs for better results and synergy (Potty 2004).
Role of Consultants
The role of food consultants has undergone a
voluminous change in the recent past. Previously
the role of a consultant starts and ends with making a
project document with information drawn from
limited sources. The modern information
technology has enhanced the networking amongst
consulting groups within the country and abroad and
the modern consultancy in food processing needs to
provide support in all spheres of the task
encompassing raw materials, production,
marketing, financing, networking of entrepreneurs
etc. The integrated approach demands a greater deal
of consultancy services and the role of individual
consultants is being replaced by group consultancy
services where experts from different specialized
area work in larger consultancy consortia. The
consultancy services need to fuel the entire
integrated processing and marketing activity with a
large knowledge database drawn from across the
globe. This would help in adopting innovative
strategies from other developing countries (CCS
1998).
The GATT agreement opened a new chapter in
world wide marketing of agricultural produce and a
global perspective needs to be implemented by
adopting strategies from other developing countries
(Dixon 1998). The role of science and technology in
developing countries needs a greater emphasis and
the consultants need to develop suitable strategies
for deeper penetration of modern technical thinking
and appreciation towards the same (J ones 1971).
Agro processing shall reach the gross roots amongst
the rural masses of India and improvement in
literacy and appreciation towards value addition
need to be generated. Many developing countries
suffer from a native feeling that science and
technology are restricted to the elite society and
therefore, the problems faced in agro processing are
commonly considered as problems of the elite rather
than a problem of rural masses. The lack of
awareness compounds the constraints faced by
small scale agro processing units (Buckmire 1989).
The consultants need to address the problems of
agro processing in the holistic perspective by
maintaining an intimate partnership in rural
management and organisational structure of
integrated agro processing umbrellas.
India needs to clear the road blocks being
encountered in agro processing. The missing link
between the government efforts and farming
community needs to be established by adopting
holistic and integrated strategies by bringing about
synergized activities in rural management, agro
processing, marketing, networking and government
policies.
References
th
Abdul Kalam, A.P.J . and Rajan, Y.S. 2004 Food, agriculture and processing in Proceedings of 16 Indian
Convention of Food Scientists and Technologists, 9-10 December 2004, Mysore, India, pp 3-12
Bandarla, A. 1992 Problems of agro-based industries KhadiGramUdyog, 35, 5, 183-187
Buckmise, G. 1989 An overview of small scale agro processing and trade in the Caribbean : constraints
and potential for development In Regional Workshop on Problems and Development Strategies for Small
Agro processing and Marketing<GUYSUCO Management Training Centre, East Coast Demerara, Guyana
Caribbean Community Secretariat. 1998 Recommendations and conclusions of the regional consultation
on agro industrial development Sept 28-29, Port of Spain, Trinidad and Tobago
Chatterjee, A. 1992 Entrepreneurship development programme and self employment Yojana, 36, 16,
12-15
Dixon, J .A. 1998 Technical support services for agro industrial development J amica. Paper presented at
the regional consultation on agro industrial development. Sept 28-29, Port of Spain, Trinidad and Tobago
J airath, M.S. 1996 Agro oprocessing and infrastructure development in hilly area : A case study of fruits
and vegetables processing Indian J ournal of Agricultural Marketing, 10, 2, 28-46
J ones, G. 1971 The role of science and technology in developing countries Oxford University Press,
London, England
th
Potty, V.H. 2004 Dark Clouds, silver linings and the sun-rise industry In Proceedings of 16 Indian
Convention of Food Scientists and Technologists, 9-10 December 2004, Mysore, India, pp 12-17
Shehrawat, P.S. 2006 Agro oprocessing industries : A challenging entrepreneurship for rural
development J ournal of Asia Entrepreneurship and sustainability, 11, 3
Singh, A. and Pratap. 1987 Diagnosis and treating industrial sickness Yojana, 31, 12, 12-13.
Using Metadata to Support DRM, Trading and Administration of
Globally Deployed Digital Products
There is a growing need by owners, developers and consumers of digital
products (objects, content, and applications) for a metadata platformto
create commercial application and content profiles of digital product for the
purposes of Digital Rights Management (DRM) and digital product trading.
To meet this demand a metadata-based digital management platformis
needed to support both the production and consumption lifecycles of digital
product. These involve the creation, definition, use and relevant reporting of
metadata for the control and administration of point-of-use based DRM as
well as the associated legal and commercial requirements of such a service.
Developing and implementing a metadata digital management platformis
required to be based on a global infrastructure and the needs of Intellectual
Property Rights (IPR) governance over digital products. Its functionality
requirements are influenced by the unique operational needs of digital
products in all the fields of education, healthcare, government, commerce,
law enforcement, science, mining, manufacture, transport, and finance. In all
sectors a metadata digital management platformis required to adequately
deal with and provide for: Security, authentication, identification,
permissions, data storage, metadata ownership, digital products ownership
and liability responsibility, business models, legislation, taxation,
sovereignty, interoperability, multilingual interfaces, transaction types,
biometrics, continuity of service, off-line functionality, licensing models,
pricing models, application metrics for technical support, pricing and
ecommerce.
Keywords : digital management, digital rights management, intellectual
property rights, legal agreements, commercial terms, enforcement,
domains/namespaces, metadata metrics, metadata frameworks, transparent
transactions, digital product trading, evidence, market intelligence,
governance, ecommerce.
digital environment, the nature of the participants,
their activities, tools, resources, and associated
dynamics change profoundly. Management
practices and tools of earlier times are no longer
sufficient to support value creation and maintenance
in this new environment. Hence, it is imperative that
new tools, new thinking and new ways to measure,
control and administer these products, activities,
processes and participants are developed.
Metadata, IPR And DRM
Intellectual Property Rights are the foundation for
measuring the utility of digital product and, hence,
value accumulation. They are necessary to protect,
support and justify past and future ongoing
investment in the digital economy.
As more and more busi ness processes,
computations, and knowledge are transferred to the
Leo Mullins
Meeting this challenge requires the development of
a new metadata-based digital product management
platform. This platform aims to achieve real-time
global management and administration of digital
product serving the needs of property owners, users
and, commercial deployment and procurement
processes. The ability of owners to manage
deployment of their digital products, and equally,
for consumers to evaluate their expenditure in real-
time, is essential for the survival and evolution of
commercial enterprises in an increasingly highly
connected economy.
Metadata and Global Commercial Deployment
of Digital Product
The development by the Dublin Core Metadata
Initiative (DCMI) of application profiling began
using metadata first in the document management
and content publication industries. It has
traditionally been focused on standardising terms
and naming conventions of metadata items deemed
necessary to provide for efficient use and
administrative control over digital products
primarily in the field of library science. Its
objectives are, therefore, to support the needs of
content publication, transmission, storage, retrieval,
copyright and attribution.
Similar needs for administering the output of
developers have been growing along side the needs
of library science in all other areas of software
applications and content. Traditional solutions for
digital product owners of license management
and/or subscription-based access have resulted in
1
the high levels of illegal use of digital products.
Inadequate communication between users and
owners creates the differing perceptions of value at
the centre of this problem.
The scale of the IPR governance problem grows as
the Internet expands and connectivity increases,
creating growing demand for effective real-time
digital management of IPR by both creators and
consumers of digital product.
The underlying concepts of digital management are:
lIdentification (owners, products, users, rights)
lCustody (enforcement of rights)
lMeasurement (evidence of enforcement of
rights)
lSettlement (transfer of value)
A digital management service platform utilising
metadata in the above conceptual framework will
enable owners, in conjunction with consumers, to
set and enforce all terms and conditions necessary
for effective IPR governance over deployed digital
products.
The implementation of digital management services
on a global scale is fundamental to the future
development of the digital economy.
IPR Governance
IPR Governance is the process of identifying
specific digital objects and setting terms of use and
access. These terms and conditions must then be
enforced by another process, commonly known as
Digital Rights Management (DRM). Traditional
DRM has centered on technical enforcement of
these ownership rights but is largely considered to
have failed, giving rise to growing consumer
disquiet. This is mainly because of poor
communication between the consumer and the
digital product's rights owner. Illegal use of digital
products i s, therefore, unmeasured and
consequently ungovernable.
The only avenue currently available to owners when
faced with failure of DRM technology and theft of
their digital property is recourse to the courts;
avenues only open to corporations with very deep
pockets, and of limited success. Witness the
1
BSA 2006 Global Piracy Report - 2005 [http://www.bsa.org/globalstudy/upload/2005-2006%20Global%20Piracy%
20Study.pdf] accessed 1 December 2006
Using Metadata to Support DRM, Trading and Administration of Globally Deployed Digital Products
consumer backlash in the music and entertainment
industries.
Using dynamic metadata-based information to
achieve active DRM for IPR governance is the way
of the future. Doing so will provide information vital
to securing ownership and measuring the value of
digital products. New more efficient business
models and sales channels will be made possible.
Creative and innovative product will find quicker
and cheaper roads to market. The value propositions
and business cases for implementation of metadata
based digital management for effective IPR are
obvious and undeniable.
Digital Products
An identifiable digital object, content or application
is commonly referred to as a digital product. The
ability to measure the use of a digital product
requires that it be uniquely identified to be of
relevance to any metadata schema. This unique
identification cannot be of the same nature as
physical objects because of the ease with which
digital products can be replicated. A digital product
must rely on uniqueness of identification against a
set of characteristics of a product, rather than an
individual instance of the product. That is to say
users do not get to own digital products in the same
way consumers of physical goods get to own their
consumption. e.g. owner of a car.
The costless replication nature of digital products
makes it vital to proper IPR governance that digital
management of digital products occurs at their
point-of-use. Further, digital management of
common ownership over different digital products
is possible only through a system where ownership
characteristics can be associated with different
digital objects, which together achieve unique
identity required for control. Obviously, the less
metadata applied to management of a digital product
the less information is available about use of the
product. Similarly, the more specifically the needs
of a digital product can be identified to its utility
metrics, the more fine-grained management of
control over, and reporting on that product can be.
Owners
Individuals or enterprises having claims to
identifiable digital products through creation or
purchase will always need to protect their property
to justify their investment. Investments are justified
in many ways, most commonly by measuring
income derived through distribution or conversely,
consumption. Therefore, an essential element of
IPR governance must be the ability to measure use
of digital products by authorised users. In a dynamic
control environment as envisaged by metadata
driven digital management, a user not complying
with terms and conditions must be capable of being
prevented from using digital product both before
and after access has occurred.
The use of metadata-based digital management
cannot have a negative impact on available
distribution channels of digital product if it is to
have any chance of being implemented in the future.
It must support traditional sales models in addition
to the new.
These new avenues to the customer made available
by the use of digital management will have
significant positive impact on digital product sales
by supporting commercial deployment of digital
product in peer to peer networks, post deployment
changes to terms of use (SaaS - Software as a
Service) and PAYU (Pay As You Use) access to
digital product.
Consumers and Support Services
Users have rights over their access and use of digital
product. These rights originate from their
agreements made with the digital product owner,
from common law, and consumer protection
legislation. These rights can be better guarded and
the utility of the user experience enhanced by
metadata-based digital management services.
Dissatisfaction arising from bad consumer
Leo Mullins
cations between users, owners and digital products.
In addition, storage of metadata, enforcement
processes and transaction transparency require a
central communication point with metadata storage
managed by a trusted arbiter, mediator, and
transaction broker.
Metadata-based digital management requires a
paradigm shift in understanding the differences in
control exhibited over traditionally unmanaged
Owners and users of digital products must be
identified in system registered Namespaces or
Domains. Namespaces or Domains need only differ
in that owners have product-use rights and
product-sales rights and users only have product-
use rights. Product-sales rights need to allow the
owners to create metadata identifying products to
which they apply contracts. Product-use rights
need to allow acceptance of these contracts. These
contracts would outline the terms and conditions
under which registered users on the system could
use digital product.
Products interaction and metadata can only be
effective using very secure, three-party communi-

Figure 1 : Dynamic commercial metadata flows

Figure 2 : Authorative metadata communications
experiences can be minimized by better
communication and information provided by
digital management. By extending available
metadata to include error log and performance
metrics for dynamic technical and customer
support digital management could also provide
real-time customer relations and technical support
services.
Foundations of Metadata - Based Digital
Management
Current metadata taxonomies reflect two-way or
single dimension relationships between digital
products, users and owners. The dynamic nature of
metadata-based management in a connected world
requires a more encompassing view of the
relationships that interact.
products and control over metadata-managed
products. The fundamental basis of the digital
management process is the creation of Internet
avatars that represent the digital products to be
controlled. These avatars are given ownership and
control attributes via their unique identifying
characteristics that define behaviour subject to
instructions. The avatar must be able to have a
degree of secure communication with the digital
product being controlled in order to effect these

Figure 3 : Authorative Metadata Engine infrastructure architecture.
instructions. The controlled digital product will
therefore have had Application Programming
Interface (API) calls embedded within it, or be
wrapped with a communicating layer, which have
the effect of making the digital product non-
functional unless specific permissions are received
from its avatar.
Traditional unmanaged digital products are usually
deployed fully-functional with access denied by
license management technology based around
encryption and decryption processes. These
technologies rely on static attributes being applied
pre-deployment to allow execution of the product
after deployment upon receipt of appropriate license
keys. Generally, once an unmanaged digital product
has been deployed, its access attributes cannot be
changed. When such a digital product is sent to
many parties along with its license keys, there is no
way for a digital product owner to control or
administer access beyond relying on trust
relationships.
In contrast, metadata-managed products are
controlled in real-time after deployment with access
and function attributes able to be changed at any
time.
Implementation of Metadata-Based Digital
Management
Implementation of digital management requires
analysis of the metadata required to meet the
business requirements of relevant digital product.
Detailed value and support metrics for micro-
payment, and/or modular access, and other support
requires very detailed analysis and results in
proportionately more metadata being created both
on implementation and in operation. In contrast,
simple on-off control requires next to no analysis
and results in minimal metadata creation or use,
other than authentication messages and initiation
and cessation instructions.
A digital management system's ability to identify
and control the legal rights of a user to access and
enforces terms, and to measure activity is
determined by the amount and type of metadata
generated from embedded API's in the source code
or digital management wrapper of a product.
Complex utility and support metrics are able to be
supported by relevant digital management API's
being added to the source code of the product. These
APIs cause the product to interact with metadata for
permissions and to communicate events for
measurement and control. The more complex the
management requirement of a digital product the

Figure 4 : Metadata setup and administration

Figure 5 : Metadata API's integrated in digital object.

Figure 6 : Digital management operational processes.
Leo Mullins
more API's embedded and, hence, the more
metadata is created and used.
Metadata and Security
Metadata is the data that describes the relevant
contextual information consisting of the
identification of the digital object, its owner and all
the terms and conditions created to measure use,
users and utility by digital management services.
The ability of metadata to securely control products
with credibility is largely dependent on securing the
metadata communication channels and storage
repositories. This can be done by using the Internet's
standard Secure Socket Layer (SSL), Public Private
Key (PPK) and Certificate Authentication (CA)
processes between transaction parties and the
products and by using A-Class Data Centers to
centrally store metadata. Security can be further
enhanced by employing biometric authentication
schemes.
Obviously, the degree to which security layers are
implemented in and over any digitally management
product are determined by its intrinsic value and the
value degradation time curve of information value
contained therein. In other words, relatively
inexpensive software applications and content
whose value comprises information of a very time
sensitive nature require relatively little security to be
implemented. Alternatively, highly valuable expert
system software or content of a long term value
would benefit from a high investment in security.
Technology Infrastructure
Any infrastructure supporting digital management
services will include :
lNo single points of failure, such that loss of
Internet connectivity will not interrupt digital
management services or prevent users from
accessing digital assets or products to which
they are entitled
lUniversal availability of control over digital
management and administrative settings, and
reporting tools, via the Internet
l
with ERP/accounting, billing and payment
systems
lLittle or no infrastructure impositions on
existing ICT environments.
Digital Management Providers and
Metadata Ownership
Metadata used to manage and control the use of
digital property is created by a digital management
platform. Initial ownership of this metadata is
anticipated to lie with the digital management
system provider until case law states otherwise.
Access by owners and users to metadata as part of
their own business processes could be supported by
the digital management service provider by making
relevant metadata available to their customers'
internal systems and removable from the digital
management system.
The ownership of metadata may prove to be a
problem if data privacy issues are not managed
properly. This can be avoided by good business
practice requiring service level agreements
covering all these issues are agreed and documented
before digital management service commence.
The European Commission's I NFO 2000
Programme Indecs Report, J une 2000, identifies
four guiding principles of any metadata framework
for supporting effective ecommerce, namely :
lUnique Identification - every entity should be
uniquely identified within a unique
namespace
lFunctional Granularity - it should be possible
to identify an entity whenever it needs to be
distinguished
lDesignated Authority - the author of an item of
metadata should be securely identified
lAppropriate Access - everyone requires access
to the metadata on which they depend, as well
as privacy and confidentiality for their own
Integration of application usage information
metadata from those who are not dependent on
it.
Financial Transactions
Use of metadata to control and measure use of
digital objects in real-time gives rise to financial
transactions and settlement of obligations between
owners and users in real-time. The use of metadata
enables far more sophisticated financial engineering
of digital products selling and pricing models.
Examples of this could be; a real-time co-joining of
products from different owners to provide a unique
solution to a user, use of micro-payments to reduce
the costs of electronic healthcare services to third
world consumers, service contracts for Pay As You
Use (PAYU) or prepaid access to digital products, or
even digital product use billing via telephone or
utilities providers.
Regulators, Taxation, Legal Obligations and
Liabilities
Access to a digital product can only be denied where
the digital product is subject to enforcement of legal
rights. These rights are recognized by law in the
form of contracts, copyright, trademarks and
patents. In the instance of a digital product being
subject to a right of ownership no user can demand
use of the product without referring to an agreement
where such rights have been extended to include the
intended user by a digital management system.
The communication of legal intent, transmission
and storage of value, and evidence thereof, is also
subject to regulation and legal sanction. The sources
of this regulation come from corporate, financial,
communication, and consumer protection
legislation. Legal sanction is required to show
authentication and evidence of agreements and
compliance between relevant parties. Digital
management services meet the needs of regulators
and legal obligations in the electronic connected
economy.
Further, there is a growing urgency by Governments
to find effective ways to enclose the digital economy
within the fiscal walls of sovereign regimes in order
to bring the associated economic activity into their
taxation orbits. These needs of Governments to
measure economic activity and tax transactions
within the digital economy can only be effectively
met by broadly deployed digital management
services. When this is realised it is quite predictable
that digital management services will be made
compulsory for businesses operating in the digital
economy.
In summary, the speed and extent of the Internet has
overtaken the ability of traditional law and
government institutions to administer legal
requirements of a connected environment in a
timely and efficient manner. For these reasons a
broad uptake of digital management services can be
realistically expected to occur in the near future in
order to electronically facilitate government
administration of tax and legislation, and meet the
legal and commercial needs of the digital economy.
The Metadata-Centric Business Model
Digital management creates value in two main
ways. Firstly it creates the possibility to transaction
snip. That is to share in the revenue between owners
and users of digital products. Secondly, it can build a
large user-base very quickly. Large user-bases
create significant capital value for any business.
Other opportunities deriving revenue from user-
bases for business value arise from opportunities for
sale of advertising, market intelligence, and
metadata servi ces for provi si oni ng and
procurement. This will extend aggregation services,
which currently only deal with content and data, to
products from different vendors comprising
solution sets of different expert system products
combined and customized to suit specific enterprise
environments.
Digital management and metadata-centric services
will become significant business activities in the
near future with major impacts on how business
processes are organized. For example, metadata
Leo Mullins
The future of the traditional software industry in the
digital economy, previously based largely around
boxed software product, the enterprise software
industry of big deals, and concentrated corporate
and local computing, is untenable. The next
generation of digital product value builders is going
to be serviced-based and metadata managed. Even
hardware value will become dependent on the
services that it supports and be subject to metadata
management.
The move to controlling digital product by
metadata, trading digital product and management
at point-of-use is inevitable. The technology to
support point-of-use metadata control and to
administer IPR metadata already exists. The market
is increasingly demanding change. Software on
Demand (SoD), Software as a Service (SaaS), and
Pay As You Use (PAYU) are terms that were largely
unknown a year or two ago, but are now common
terms and concepts in the digital product market
place.
Metadata management of digital property will
become the Digital Land Titles Administration
aspect of the Cyber-world that has yet to happen. It
will enable proper ownership of digital property and
support efficient and effective business metrics
required to account for digital rent that underpins
the accumulation of ultimate digital capital.
Ultimately, economic value is about measurement,
measurement that can only be achieved by effective
metadata-based management of digital product.
services will develop to link GIS control of transport
and consumers to create self-governing transport
services, where vehicles used by multiple users are
administered and managed via digital management
services. Another example might be the building of
virtual processing plants using supplier data to
integrate and enable real-time supply of
construction and maintenance material and parts to
plant owners. Savings worth many billions of
dollars are possible but this cannot be done whilst
supplier data remains unmanaged in the digital
environment.
By using metadata profiles via digital management
services to manage products in production and
consumption lifecycles, the needs of both can be met
far more efficiently than is currently the case.
Conclusion
The use of metadata for commercial deployment
and consumption of digital product will
dramatically change the nature of digital product
procurement and provisioning of enterprises and
individuals.

Figure 7 : Commercial metadata profiling business space
An Exclusive Interview with
D. Datta
Chairman and Managing Director
WAPCOS Limited
Mr. D.Datta, Chairman and Managing Director of WAPCOS gave an exclusive interview to Consulting
Ahead. In this interview, Mr. Datta shares his views on a variety of issues as well as future challenges to
Indian consulting firms and the roadmap to meet such challenges.
Consulting Ahead : WAPCOS is one of the few large Indian Consulting Setups in existence for about 39
years, can you briefly tell us about Indian Consulting Services scenario over last 25 years?
D. Datta : Consultancy services have grown manifold during the last 25 years. In the present time the
consultants are expected to provide services for project management, quality control, construction
supervision, financial management, personnel management, recruitment, training, procurement of heavy
machinery, accounting, maintenance and operation, repayment agreements, indemnity to the investors'
recoveries, legal and social support etc. Such initiatives are helping the Government Departments to get
time bound, quality outputs without supporting a large workforce. The trends are encouraging and without
any doubt the demand for consultancy services is bound to grow with sky as the limit.
Consulting Ahead : During last 15 years, due to the liberalization and globalization of economy, majority of
business and professions have gone through major transformation. Whether Indian Consulting Services
Industry has also been affected? If yes, can you briefly tell us how?
D. Datta : Consultancy services have made a niche in the innovative as well as conventional fields and have
effectively contributed in the development process of the nation. Healthy growth trends all over the world
call for requisition of services of consultants for high quality jobs and realisation of the need for professional
involvement has widened the vistas for consultants to operate. An awareness now exists among clientele that
for meeting the aspirations of the people, services of consultants facilitate use of the state-of-the-art
technology and timely outputs.
Consulting Ahead : Are there foreign consulting firms operating in India in your areas of operation?
D. Datta : Yes, there are several international engineering consultancy firms operating in India.
Consulting Ahead : Has presence of foreign consulting firms in India affected your operations and
business? If yes, how?
D. Datta : Yes, the presence of foreign consulting firms has increased the availability of latest know-how
and experience. At the same time, the competition has increased as multinational companies are also bidding
for even local funded projects.
Consulting Ahead : Consulting is knowledge-based profession and human resources are the major asset of
consulting organisations. What is the present scenario with respect to human resources in consulting
organisations in comparison to say 15 years back?
D. Datta : Professional human-resource is the only asset of any consultancy organisation. Leading
consultancy firms should develop human resources according to the latest technological advancement as
well as priority sectors according to the Government policies and Global scenario.
Consulting Ahead : How will you compare Indian consulting services with the consulting services
prevailing in countries like-China, Malaysia, Brazil, European Countries and U.S.A.?
D. Datta : Technologically, today Indian consultancy firms are at par with many consultancy organisations
of the world. Moreover, Indian Consulting Firms are quite cost competitive as compared to their
counterparts from developed countries.
Consulting Ahead : There is a perceived change in client perception from pure design consulting services
to EPCM/LSTK jobs. Are you coming across such situations? What is your strategy for such type of
assignment?
D. Datta : WAPCOS is well aware of the market trend. The company has recently amended its Articles of
Association to provide concept to commissioning services for developmental projects in India and Abroad.
WAPCOS has also taken up projects on turnkey basis.
Consulting Ahead : We understand that WAPCOS is diversifying into areas like software development,
financial management systems, technical education, roads & bridges etc. Any specific reason for this
diversification?
D.Datta : WAPCOS as a commercial organisation has to go by market need. With tremendous investment in
the areas like infrastructure development, roads & bridges; there is a great demand for providing
consultancy services from planning uptill commissioning of projects. Besides, now clients as well as
funding agencies demand single window services for all kind of consultancy requirement. This has
increased opportunities in several new fields. WAPCOS is well equipped with latest technology and trained
manpower to provide consultancy services in areas like software development; financial management
system; information, education and communication; roads & bridges and urban & rural development etc.
Consulting Ahead : In your opinion, which are the most promising markets for Indian Consulting Firms?
D. Datta : There are tremendous opportunities for Indian consultancy firms within India and other
developing countries particularly Indo-China and African Region.
Consulting Ahead : Whether WTO/GATS is affecting Indian consulting firms in any manner?
D. Datta : There are no direct evidences of WTO/GATS affecting Indian consulting firms in any manner.
Consulting Ahead : In your opinion, what type of consulting setup is more appropriate in India-large
consulting setup like WAPCOS, EIL, RITES/ Medium size setup like Consulting Engineering Services,
M.N. Dastur & Co., Development Consultants, Ma foi Consultants/ small setup with manpower between 1
to 10.
D. Datta : Quantum increase in the number of individual consultants with practically no institutional and
infrastructure back-up, quoting very low, often under-cutting and reduction at the cost of quality of outputs
and without adhering to ethical codes is adversely affecting the Consultancy services.
Consulting Ahead : What are in your opinion, future challenges for Indian Consulting Firms? What is the
road map/strategy you suggest to deal with these challenges?
D.Datta : The main future challenges for Indian Consulting Firms are :
Cut-throat competition amongst the large number of indigenous consultancy organizations; attractive
financial/funding options including training/study grants etc. by consultants from developed countries i.e.
allurement of foreign visits; strings and stipulations, attached to externally aided projects, insisting on
participation of expatriate consultants and only marginal role is expected from local consultants. Poor
economic conditions of most developing countries in Africa and Asia as a deterrent to consultancy services
for projects, which are not funded by external funding. Proposal evaluation procedures adopted by funding
agencies with stress on technical evaluation, which is subjective and can at best be an approximate index of
capability. Formation of technological cartels in developed countries is making the new technology
acquisition expensive and out of reach of consultants from developing countries. High turnover of skilled
employees leaving for greener pastures of consultancy organisations from developed countries is also a
major challenge.
WAPCOS has developed a road map to deal with the challenges by way of a long term Corporate Plan and
Strategic Plan, which addresses all the above situations.
TITLE : Concise Encyclopaedia of Management and
Economic Sciences : a Repository of Over 12000
Concepts, Techniques, Systems, Two Volumes
EDITOR : Dr. S.R. Mohnot
PUBLISHERS : Centre for Industrial & Economic Research,
New Delhi
REVIEWER(S) : Prof. C.S. Venkata Ratnam,
Director, International Management Institute
reference to industrialists ranging from Dhirubhai
Ambani to Narayana Murty and scholars like Vijay
Govindarajan among the leading management
thinkers and practitioners.
The two-volume encyclopaedia is definitely a
product of hard intellectual labour of many people
over a long period. It was well thought out and well
produced. Both soft and hard copy versions are
available. Dr Mohnot and his team deserve not only
our congratulations but also our gratitude for
explaining complex things in such a lucid manner as
they have done in these two volumes.
However, the biggest challenge in marketing this is
the availability of knowledge on demand on the net
24 x 7 virtually free. But this should not be a limiting
factor because if one goes to net there is an overload
of information and though it is as free as air, it is
equally polluted as air. Therefore we still need
people like Dr Mohnot to separate data from
information and information from knowledge and
knowledge from wisdom and use their wisdom to
make us understand the concepts better.
Management and Economics are among the ever-
growing disciplines where the lexicon seems to keep
changing. In management several concepts and
ideas have shorter shelf life and become passing
fads sooner than later.
Dr Mohnot has been successful in putting together a
team of experts to conceptualize and prepare a
comprehensive, yet concise, encyclopaedia of
management economics. The two volumes are
exhaustive in coverage of topics but concise in the
treatment of each topic. Thus they will be found to
be particularly useful to the managers, but
practicing and prospective.
The A to Z coverage of the subjects is reflected as the
concepts dealt with include fiscal equity, global
village, six sigma, yield curve and zero defect. There
are a few annexures about noble laureates and other
economists, leading management thinkers and
strategies and leading institutions and associations
as well as tables depicting national currencies,
random numbers and those for calculate present and
future values of cash flows. It is heartening to find
Boo
Review
TITLE : Fourth Generation R&D,
Managing Knowledge, Technology and Innovation
AUTHORS : William L. Miller and Langdon Morris
PUBLISHER : J ohn Wiley & Sons Inc.
REVIEWER : Dr. Vinay Kumar, Former Advisor and Head
Technology Management Division, DSIR, Ministry
of Science & Technology, Government of India
Innovation has always been important but perhaps at
no point of time in the past organisations have been
looking so keenly towards innovation for attaining
competitive advantage, as now. The way businesses
operate today has changed very substantially they
are operating in global economy where
manufacturing and technology flows are taking
place across organisational as also national
boundaries, strategic alliances and ownership
changes are taki ng pl ace very rapi dl y,
advancements in technology are reaching
exponential proportions and users are demanding
value for their money. In such a milieu how does an
organization become competitive? Innovation is the
key. But innovation is complex, difficult and
multidimensional. The book on Fourth Generation
R&D suggests a new approach to innovation and
R&D to meet the changing environment effectively.
The book presents how knowledge, technology,
R&D and innovation need to be suitably linked so
that an organisation consistently outperforms
others. It is amply illustrated with interesting figures
that considerably helps in understanding the
concepts presented. The Chapters are suitably
interlinked. The book is practical oriented and
several examples have been cited from various
sectors including Case Studies from organizations
like Ford, Hewlett-Packard, Intel, Motorola, NASA,
Nike and Xerox.
The book has eight Chapters. The First Chapter is
th
titled 4 Generation R&D. It explains how the
st
concept of R&D has moved from 1 Generation to
rd th
3 Generation R&D and why 4 Generation R&D is
th
important now. The distinguishing feature of the 4
Generation R&D is that it integrates customers and
other partners in the entire conception and
development process of the product or the process. It
emphasises that driving forces of advancing
technology, globalisation and increasing
competition have made it clear that there is no
substitute to effective innovation. The Chapter
explains the difference between continuous and
discontinuous innovation. It suggests that
responsibility for carrying out innovation lies with
the entire organization and extends to include
suppliers, customers and other external partners as
well. The authors say that the goal finally should be
to provide new value to customers and
simultaneously create or enhance firm's competitive
advantage in the market place. The authors also
suggest a position of Chief Innovation Officer
(CINO) whose responsibilities will encompass the
many elements of the innovation process.
The second Chapter is titled Competitive
Architecture: The External Framework. It refers to
three critical dimensions of innovation the
economy in which it operates, i.e. knowledge
economy, the learning and the organisation structure
through which innovation actions are accomplished.
The Chapter presents the integration of these three
dimensions.
The third Chapter is titled Organisational
Capability: the Internal Framework. While the
external structure is defined in terms of customers,
suppliers and competitors, the internal structure is
defined by people and their knowledge, tools,
Book Review
technology and work processes. The Chapter
explores many of the facets of organisational
capability which is reflected in the methods by
which knowledge is sought out, documented,
shared, managed and applied. The Chapter explains
the difference between tacit and explicit knowledge.
It also brings out that though knowledge was
important but organisations should move on to path
of wisdom.
The fourth Chapter is titled The Knowledge
Channel and Market Development It suggests that
strategy for innovation would depend upon nature of
competitiveness and organisational capability.
Organisations should realise the change in market
environment and that there was a shift from
technology driven to demand driven markets. The
authors have brought out that today the focus was on
relationships rather than on transactions and as such
new methods of marketing, R&D and customer
support should be evolved. Traditional market
research may be valid in continuous innovations but
may be misleading when applied to discontinuous
innovations.
The fifth Chapter is titled Managing Knowledge
and Financial Assets. In the Chapter, new forms of
accounting and new practices are suggested to
support the innovation process as traditional
techniques like the Discounted Cash Flow (DCF)
may not be very appropriate in situations of
uncertainty usually associated with innovations.
The sixth Chapter is titled Organisational
Archi tecture The authors suggest new
organisational design taking into consideration
various issues like obstacles to innovation,
sustaining innovation, learning and unlearning,
hierarchy issues and specialisation.
The seventh Chapter is titled Organisational
Capability Development. It suggests a model for
organisational capability development. To achieve
success, the authors suggest, a process of
development and enhancing individual and
organisational capabilities and that it should be an
integral part of the organisation and should include
suppliers and customers as part of the system. The
Chapter describes a model for organisation
capability development. It also suggests how
managers should manage their time in the new
environment.
The eighth and the last Chapter is titled The
Innovation Business Process It describes the key
elements of the innovation business process. It gives
detailed description, phase wise and stepwise how
innovation business process could be developed.
Practicing executives in industry, researchers,
consultants, teachers, students and those who are
involved in the subject may find this book worth
reading.
Book Review
New Mantras in Corporate Corridors-From Ancient
Roots to Global Routes, delivers an entertaining
account and perspective on holistic globalisation.
This book is an excellent resource to students,
educators, and management enthusiasts. In
reviewing this book, the principal criteria included
content, organisation, and reference sources. While
editing errors and organisational incongruities
plague some of the chapters, many of the
shortcomings of this first edition will likely be
alleviated by later editions. These problems are only
a minor distraction to the management story being
told.
Starting with the Indian social setting in which
management and leadership operates through the
new corporate awakening influenced by the new
management thought, the author shows the detailed
progression of Indian ethos and international
management concepts. The reader is taken on a
journey through the world of society, social context
and the foundational basis of new age ideas in the
ancient texts and receives first-hand accounts from
the thinkers, doers and dreamers who made it
possible. The tone of the book reflects a learned
appreciation for the marvel of management.
The author, Subhash Sharma, is a proven
management thinker and author specializing in
management and institution building with an
emphasis on Indian ethos for better management. In
addition to conceptualizing and development of
WISDOM (Women's Institute for Studies in
Development Oriented Management) at Banasthali,
Rajasthan and the Founder Director, Indian Institute
TITLE : New Mantras in Corporate Corridors-From Ancient Roots to
Global Routes
AUTHOR : Subhash Sharma
PUBLISHER : New Age International Publishers.
REVIEWER : Dr. Neeta Baporikar, International Institute of Information
Technology, Pune.
of Plantation Management, Bangalore, he has been
instrumental in establishing, Indian Business
Academy at Bangalore and Noida. His educational
accomplishments include earning his doctoral
degree from the University of South California, Los
Angeles, as well as his Post Graduate Diploma in
Management from IIM, Ahmedabad. Sharma's
multifaceted background establishes him in a
strategic position to gather and assemble key pieces
of management thinking that span the globe.
The organisation of New Mantra in Corporate
Corridors allows the reader to easily follow the
evolution of management thinking inline with
Indian ethos. The book is divided into four parts and
consists in all thirty three chapters. Opening with
Social Setting & Ancient Text in New Context, the
book progresses, through the Management Ideas in
Arthasastra, Corporate Gita, Corporate Rishi-
Towards Enlightened Leadership, Strategic Gearing
& Enterprise Performance Improvement Models
and Management Thought, Social Discourse &
Spiritual Concerns: Towards New Corporate
Awakening through 1999 with glimpses of the 21st
century and beyond. The annexure conclude with a
listing of researchers' corners. While it is impossible
to thoroughly explore all topics, the detailed
bibliography provides sources for obtaining more
information. This format spotlights the key phases
of new mantras in corporate corridors and the
ancient roots which will pave way for global routes
and development.
The construction of the book meshes well with its
organisation and lends itself successfully to the
Book Review
firsthand accounts provide deeper insight into what,
in some management books, is just a listing of
factual information. The author supplies an in-depth
analysis of various aspects of management theory
and practices often glossed over in management
books. Some of the areas explored include the
development of new corporate awakening. Western
and eastern synthesis. As evidenced by the stories
recounted throughout the volume, early
management thinkers were part mechanic, part
inventor, and part adventurer in order to survive.
New Mantras in Corporate Corridors-From Ancient
Roots to Global Routes is a collection of significant
events in Indian management accented by the
people who made it happen and correlated with
world affairs. The book's use of diagrams, figures
and vivid stories helps to make the advancements
come to life as something more than significant
events on a timeline. While at times the stories may
clutter the page, they also breathe life into what is
considered by many to be a dull subject. The author's
enthusiasm for the topic is obvious throughout the
book. More thorough proofreading could help
alleviate some of the confusion that is caused by
typos and a few improper linkages. The credibility
of the content does not suffer due to these obvious
errors which will likely be corrected in the next
edition.
study of different time periods in history. Each
chapter is broken down into sections, which
typically fit logically into the topic of the chapter.
All chapters are composed of several defining parts
that maintain a sense of continuity throughout the
volume. Within the text of the chapter, there is an
assortment of breakout boxes that either describes
an event or model, provides historical evidence to
support models and theories, or relates
bibliographical information. -The book is well-
referenced, making skillful use of first-person
sources.
The orderliness of the book conforms to an
academic curriculum. While the chapters create
neatly parceled packages, certain areas seem forced
to conform to the chapter plan. These subjects can be
better covered by creating another chapter or by
parceling them into both earlier and later sections. In
this situation, the author provides good material and
content, which is hampered by poor organization.
Overall, a detailed story of the advancement of
management in Indian ethos is shown in readable
and entertaining style.
Sharma presents a broad analysis of new
management mantra, models and tools that enhance
our understanding of management and social
thought. Each chapter is filled with pictures and
colorful quotes from people of that era. These
Book Review
Managers hold the responsibility of developing and
nurturing mutual trust and under standing among all
team members. Management has no more critical
role than to motivate and engage large numbers of
people to work together towards a common goal.
Defining and explaining what the goal is, sharing a
path to achieve it, motivating people to take the
journey together, and assisting them by removing
obstacles are the managements reason's for being.
Managers must engage the minds of people to
support and contribute their ideas to the
organization.
What does one do if management makes it difficult
for people to work? The ideal way would be gentle
yet impactful way of inspiring in a totally hands-off
manner of nurturing without being critical or
judgmental. How not to micromanage yet beat the
path of success.
Duane's leadership principles and Steve's how to
create a team that functions just as well without you.
The extra time can bring abreast of market trends,
set new services, improve and make the processes
efficient and the business effective and yet inspire
the team.
Duane says trust is the key, rekindle the human spirit
be a mentor and coach to your people. Neither they
withdraw nor resent you when you criticize. They do
not hold a grudge against you instead you give them
a chance to become a partner in leadership. By
retaining power and leadership as a manager you
increase your stress levels and negative feelings
increase in your team and there is no harmony.
Title : The Hands-off Manager
How to Mentor People and Allow them to be Successful
Author(s) : Steve Chandler and Duane Black
Publisher : Wiley India
Reviewer : Mr. Deepak Agarwal
Be a creative manager and find out how people can
fit rather than fixing those that do not fit. This
respect for people provides employment security,
make them participate actively and improve their
job. By avoiding the critical role you motivate them,
form cohesive teams leading to common goals. We
must engage them to support and contribute their
ideas to the organization. One cannot be bold and
decisive through out the day because you make
mistakes. Be hands off, a quite mind leads to a strong
mind. To get power one must let go.
When a team does not work it is not a team building
issue, the deep-rooted cause to the problem is
obviously a leadership issue, but will the manger
accept that? How does one react with this fall from a
lofty position? It might be counter intuitive.
As a manager one has to redefine success, take on a
mental position without being positive or negative,
solve problems without worry, be relaxed and then
focus, trust ones team and you might think it's a
formula for disaster but its what the duo
recommends to get ahead way ahead. Nuture your
team it will grow to be a huge fruit-bearing tree. It
will bear the sweet fruit of success and quench the
hunger of one's organization goals.
It's a dare formula by Dunae and Steve you might
think you lose power as a manager but instead you
gain the power of your entire team to be managers.
Its tried and tested, it's an instant formula in the
THE HANDS- OFF Manager You only need to
open the jar to use it.
Book Review
Deirdre Gruiters
Deirdre Gruiters is a business women with extensive experience in the financial services industry specialising in retail
banking, corporate banking and learning and development. She has a passion for continuous learning and sharing that
passion with others. Her consulting background coupled with a solutions mindset ensures she is focussed on providing
clients with creative and flexible solutions that meet their specific needs and align with business strategy and people
management and development.
Sobhan Ghosh
Sobhan Ghosh is a Doctorate in Chemical Engineering from Indian Institute of Science, Bangalore. After spending
about 35 years in Research and Development, primarily in the areas of petroleum refining, in the last few years he has
moved into the role of a freelance consultant offering services in the area of Process and Research, through his own
company, Managing Innovation. Dr. Ghosh has over 70 publications and more than 40 patents to his credit,
including 20 US patents.
Minoo D Dastur
Minoo D Dastur, a Chartered Management Consultant with post-graduation in Business Management, is a Co-
founder of Nihilent. He is the Executive Vice President & COO and serves as an Executive Director on Nihilent's
global board.
Mr. J ayant Lakhlani
Mr. J ayant Lakhlani obtained his postgraduate degree in computer aided structural analysis and design from Gujarat
University in 1991. He is having more that 16 years of experience and currently working as a consulting engineer at
Rajkot. His fields of interest include development of unconventional structural systems and innovative use of
structural materials.
Thallak G. Sitharam
Thallak G. Sitharam obtained his B.E. (Civil Eng.) from Mysore University in 1984, Masters from Indian Institute of
Science (IISc), Bangalore in 1986 and Ph.D. from University of Waterloo, Waterloo, Ontario, Canada in 1991. He was
a post doctoral researcher at University of Texas at Austin, Texas until 1994. Presently, he is a professor in Civil
Engineering at Indian Institute of Science, Bangalore. His research interests are in the area of soil dynamics and
earthquake geotechnical engineering. He also consults on projects related to specialized geotechnical investigations
(measurement of dynamic properties and vibration isolation), slope stability in rocks and soils, underground spaces in
rocks/soils and design of earth dams and tailing ponds and ground improvement.
Panjamani Anbazhagan
Panjamani Anbazhagan graduated in Civil Engineering (B.E.) from College of Engineering Anna University, Guindy,
Chennai, 2002, and received his Masters in Soil Mechanics and Foundation Engineering from the same institute in
2004. In 2007 he obtained his Doctorate in Geotechnical Engineering at Indian Institute of Science (IISc), Bangalore,
India. Presently, he is a Lecturer in Civil Engineering at Indian Institute of Science, Bangalore. His main interests are
in earthquake geotechnical engineering, particularly hazard estimation using deterministic and probabilistic
approach, site characterization, site response studies and liquefaction studies. His research involves site classification
using standard penetration test data and shear wave velocity from multichannel analysis of surface wave (MASW)
field testing.
Mr. Ravi Teja
Mr. Ravi Teja is currently working as Associate Vice President & Head - Enterprise Transformation Group with
Nihilent Technologies Ltd.
Contributors' Profile
Dr. G V Ramana
Dr. G.V. Ramana, Associate Professor of Civil Engineering has been teaching at IIT Delhi for the last 12 years. Has
guided five Ph.D. thesis, one M. S. thesis and 35 M. Tech theses primarily in the area of geotechnical earthquake
engineering. He is the recipient of Dr. Karl Terzaghi Gold Medal 2003 by Indian Concrete Institute and
Association of Consulting Civil Engineers (India Chapter) for contributions in geotechnical engineering. Associated
with over 40 consultancy projects dealing with vibration assessment and isolation, site specific seismic design,
liquefaction assessment and mitigation, testing of geosynthetics and design of ash ponds and landfills.
Yoseph Birru
Yoseph Birru was Head of Department of Civil Engineering, Head of Continuing Education and the Vice-Dean
(Adminsitration and Development) of Arba Minch University, Ethiopia before joining IIT Delhi for his Ph.D. He was
invloved in several consultancies such as (i) geotechical characterization of infrastructure facilities, (ii) project
planning and management, (iii) numerical analyis of raft foundations and (iv) static and dynamic analysis of
structures. His research interests are in the areas of seismic hazard analysis and pavements.
Dr. A S Bawa
Dr. A.S. Bawa has been working as Director, Defence Food Research Laboratory, Mysore since 14th Dec 2000. He
graduated in Agriculture with Food Science and Technology as electives from Punjab Agricultural University,
Ludhiana in 1972 and was awarded 'Certificate of Honour'. Subsequently he passed his M.Sc. Food Technology with
distinction from Central Food Technological Research Institute, Mysore in 1974 and started his career at PAU,
Ludhiana as Asst. Professor in J anuary 1975. He was awarded Bulgarian Govt. as well as Canadian Commonwealth
scholarships for higher studies abroad in 1978.
Dr. P S Raju
Dr. P S Raju, Sc 'F' obtained M.Sc. and Ph.D. (Botany, Plant Physiology) from Sardar Patel University in 1982 and
1987; respectively. He joined DFRL, Mysore in the year 1987 and is the Head of Department of Fruit and Vegetable
Technology at present. His areas of R & D include development of postharvest handling, processing and storage
techniques for fruits and vegetables. Several of the technologies and products were successfully evaluated for use in
armed forces i.e. ethylene absorbents, non-invasive QC protocols, minimally processed fruits and vegetables, zero
energy cooling and anti-freeze containers etc. The technologies are transferred to progressive entrepreneurs in civil
sector. He is a recipient of several awards from DRDO and AFST(I) i.e. Gardener's Award, Technology Group Awards
and Laljee Godhoo Smarak Nidhi Award.
Dr. O P Chauhan
Dr. O P Chauhan, Sc 'C' obtained M.Sc. and Ph.D. (Food Technology) from G B Pant University of Agriculture and
Technology, Pantnagar in 1999 and 2002; respectively. He joined DFRL, Mysore in the year 2004. His areas of R & D
include development of modified atmosphere protocols for whole and pre-cut fruits and vegetables, edible surface
coatings, convenience foods, health foods, zero energy cooling and anti-freeze containers etc. The technologies and
products are evaluated successfully in armed forces and also transferred for civilian use. He is a recipient of several
awards i.e. Young Scientist Award (AFSTI), Young Scientist Award (DRDO), Laljee Godhoo Smarak Nidhi Award
(AFSTI), Laboratory Scientist of the Year Award (DRDO) and Technology Group Award (DRDO).
Leo Mullins
Leo Mullins is a world expert on Digital Asset Management and Digital Rights Management, and the inventor of the
unique approach to, and Web-service technology for, the point-of-use control of deployed digital assets. He has
presented at major international conferences and had several papers published in leading international journals on the
management of intellectual property as it relates to eCommerce and the Internet, as well as its growing impact
economic impact and effects on corporate value. He is the Founder and major shareholder of an Australian digital
management service company that has its beginnings, in 1996, as a management consultancy business to the oil and
gas industry.
Contributors' Profile
AUTHOR GUIDELINES
Perspective
Consulting Ahead is devoted to the publication of articles advancing knowledge through research and cases
in all sectors and disciplines of consulting. The objective of Consulting Ahead is to become a source of
innovative thoughts, knowledge and information of concern for consultants and their clients and other stake
holders namely policy makers, academicians and professionals from various disciplines. Our endeavor is to
position this journal as a world-class journal on consulting.
Paper Submission
Articles
lAuthors should submit the typescript of minimum 1500 words and maximum 5000 words (preferably)
electronically in MS Word (in British English), formatted with double-line space with 1- inch margin
on all sides on A-4 size paper using Times new Roman font of size 12. Email address for submissions
is consultingahead@ cdc.org.in.
lFor the purpose of blind review, name(s) along with complete contact details of all authors should be
mentioned on separate page and the author(s) should not be identified anywhere in the script.
lAn abstract of not more than 200 words and a brief resume along with a passport size photograph of the
author(s) should also be forwarded along with the article. Keywords (if any) should not exceed 10
words or phrases.
lTables/charts/graphs with self-explanatory titles should be prepared on separate sheets and numbered
consecutively.
Book Reviews
lReviews not exceeding 1200 words about recently published books across the sectors of consulting
may be forwarded for inclusion in the section, along with one copy of the book.
lReviewer should mention the name of title/ sub-title of the book, name(s) of author(s), name of
publisher, place & year of publication, in addition to the name and contact details of the reviewer(s).
References
lFroman Academic J ournal paper:
Author of article, month & year of journal, title of article in inverted commas, title of journal
underlined or in italics, Volume of journal, Issue number, Page number of the journal that the article
begins on, or pages it starts and finishes on. For example : Fage, J .D. 1989 "African Societies and the
Atlantic Slave Trade" Past and Present no. 125, November 1989 pp 97-115.
l
newspaper or journal, title of article in inverted commas, title of newspaper or journal underlined or in
italics, page number, column number. For example: Swanton, O. 14.4.1998 "Trouble in Paradise? As
a top US university develops a cyber campus Oliver Swanton explores its aims." The Guardian Higher
Education Supplement p.vi cols 1-5.
lFroma paper in Edited Volume:
Author of article, month & year of publication, title of paper in inverted commas, name(s) of editors in
italics, title of publication, place of publication, name of publishers and page number. For example,
Karp RM., 2002, Reducibility among combinatorial problems, In: Miller RE, Thatcher J W,
Complexity of computer computations. New York, Plenum Press, pp. 85-103.
lFroma book :
Author of the book, year of publication, title of the book, name of publisher and place of publication.
For example, Chase R.B., Aquilano N.J ., and J acobs F.R., 2002, Operations Management for
competitive advantage, Tata McGraw-Hill Publishing Company Ltd, New Delhi, India.
lFromunpublished thesis, working paper etc.
Author of the paper, month& year, title of paper, description of paper and place. For example,
Magazine M. 2002, Optimal policies for queueing systems with periodic review. Unpublished Ph.D
thesis, University of Florida, USA.
lFroma website :
Author name, Year, 'Article title', J ournal Title, volume, issue, viewed Day Month Year, <URL>. For
example: Griffith, AI 1995, 'Coordinating family and school: mothering for schooling', Education
Policy Analysis Archives, vol. 3, no. 1, viewed 12 February 1997, <http://olam.ed.asu.edu/epaa/>.
Review Process
a) Firstly, on receipt of the articles/ book reviews, authors should receive an acknowledgement, normally
within 10 days.
b) The Editor/ Executive Editor will then scrutinize the articles/ book reviews for their appropriateness to
the scope of the journal.
c) Articles/ book reviews found appropriate for the J ournal would then be sent out for blind review. The
blind review normally assesses the quality of the paper according to the criteria that includes the
relevance, clarity and originality, extent of knowledge advancement, understanding and their likely
contribution towards the development of consulting profession.
d) Based on the recommendations of reviewers, the Editorial Team then decides whether the paper should
be accepted as it stands, accepted subject to minor revisions, resubmitted for review after major
revisions, or rejected. The authors will receive feedback on the decision.
Froma newspaper article or non-academic J ournal paper : Author of article, month& year of
Declaration by Author(s)
Following Declaration is to be sent by Author(s) along with their manuscript.
DECLARATION
(i) The author(s), as beneficial owner assigns to CDC the copyright in the article to be published
in the Consulting Ahead for the full legal term of copyright. This assignment includes the right
to publish the article in electronic form, printed, online, CD-ROM, microfiche or in other
form;
(ii) The author(s) empowers the Editor of the J ournal to make such editorial changes as may be
necessary to make the article suitable for publication.
(iii) The author(s) warrants that the contents of the article is the author's original work, has not been
published before, and is not currently under consideration for publication elsewhere; and that
the Article contains no libelous or unlawful statements and that it in no way infringes the rights
of others, and that the author, as the owner of the copyright, is entitled to make this assignment;
(iv) If the article was prepared jointly by more than one author, the author warrants that he/ she has
been authorised by all co-authors to sign this declaration on their behalf.
I have read the guidelines and agree to the conditions mentioned above.
Signature & Full Name of Author
Complete Postal Address
(along with phone/fax and email address)
To
Editor Consulting Ahead
Consultancy Development Centre
Core IVB, India Habitat Centre
Lodhi Road, New Delhi 110003
Tel.: 011 - 24602915, 24601533, 24601533
Fax: 011 24602602
Email: consultingahead@cdc.org.in
Website: www.cdc.org.in
Consulting Ahead
A comprehensive J ournal on Consulting
To share innovative thoughts, knowledge and information of concern for consultants, clients,
policy makers, academicians and professionals from various disciplines.
Subscribe now to ensure receiving the J ournal regularly
Yes, I/We want to subscribe Consulting Ahead for 1 Year 2 Years 3 Years
Attached is my/ our DD/ local cheque favouring Consultancy Development Centre at New Delhi,
For Rs. ____________ (Rupees _________________________________________________)
DD/ Local Cheque No. _________________ dated____________ drawn on _________________
Please send the issues to the following address :
Name ________________________________________________________________________
Designation___________________________________________________________________
Company_____________________________________________________________________
Address______________________________________________________________________
City _______________________________________________ Pincode __________________
Tel.________________________ Fax_________________________ Mob _________________
Email ________________________________________________________________________
Send Your Local Cheque (or) Demand Draft drawn in favour of
Consultancy Development Centre payable at New Delhi
For Advertisements and other queries, please contact :
Editor - Consulting Ahead, CONSULTANCY DEVELOPMENT CENTRE (CDC)
nd
Core-4B, 2 Floor, India Habitat Centre, Lodhi Road, New Delhi 110 003
Tel : 011-24602601; Fax: 011-24602602
Email : consultingahead@cdc.org.in Website : www.cdc.org.in
For more information, contact
Core 4B 2nd Floor, India Habitat Centre, Lodhi Road, New Delhi 110 003
Tel: 91 11 24602601, 24602915, 24601533 Fax: 91 11 24602602
Email: ruchikakhanna@cdc.org.in Website: www.cdc.org.in
CONSULTANCY DEVELOPMENT CENTRE
VISION
MISSION
OBJ ECTIVES
THRUST AREAS
ACTIVITIES
Consultancy Development Centre (CDC) is an Autonomous Institution of the Department of
Scientific and Industrial Research (DSIR), Ministry of Science and Technology, Government of
India set up for promoting and strengthening of consultancy skills and capabilities including
exports and promote cooperation with other countries.

To be a Knowledge Centre for Professional Services.

To improve business climate and promote consultancy profession through capacity building,
sharing best practices and incorporating quality, integrity and sustainability in Professional
Services.
To be the nodal agency on Professional Services
To promote development of consultancy sector
To promote Quality, Integrity and Sustainability development in Professional Services
To enhance capacity of consultancy/ experts
To be export promotion Council of Professional Services
To be Regulator of Professional Services

Education
Capacity Building
Export of Services of Experts/ Consultants/ Technologists/ Scientists
Promotion of Consulting as a career option among women/ young professionals

Educational Programmes in Consultancy Management
Competency Building through Training and Skill Upgradation
Facilitation in Selection of Consultants
Consultancy Business Promotion
Publications - J ournal, Reports, Newsletter
Projects and Study Assignments for development and promotion of consultancy
International Cooperation through the Technical Consultancy Development Programme
for Asia and the Pacific (TCDPAP)
Policy Initiatives for providing Consultancy Services in the country
BIRLA INSTITUTE OF TECHNOLOGY & SCIENCE (BITS), PILANI
www.bits-pilani.ac.in
In collaboration with
CONSULTANCY DEVELOPMENT CENTRE (CDC)
(DSIR, Ministry of Science & Technology, Govt. of India)
www.cdc.org.in
Offer
M. S. in CONSULTANCY MANAGEMENT
Birla Institute of Technology & Science (BITS), Pilani in
collaboration with Consultancy Development Centre (CDC),
offers working professionals a unique opportunity to attain higher
degree in M.S. Consultancy Management. This four semester
degree caters to the requirements of consulting professionals and
aims to help them tap the immense market potential in consulting
business.
To expose professionals to Consulting process, practices and
tools.
To impart basic consultancy, project management and
comprehensive problem solving skills to professionals and
working executives.
To encourage professional to opt consulting as a career option.
To develop skills and expertise for internal consulting in
organizations.
Standard delivery model at all centres
Combination of following pedagogies
a) Self Study b) Contact classes
c) E-coaching d) Experimental live project
Course material developed by experts to facilitate self study
Contact classes
To be held during first and second semesters at the four
centres. The venue would be :
CDC,India Habitat Centre, Lodhi Road, New Delhi
RV Institute of Management, J ayanagar, Bangalore
Park Global School of Business, Greams Road,
Chennai
IETE, Osmania University Campus, Hyderabad
OBJ ECTIVES OF PROGRAMME
DELIVERY
Consultancy Skills
Project Management Skills
Problem Solving Skills
Eight days during four weekends(Saturday and Sunday)
in each of the first two semesters
Duration 9AM-6PM on each day with lunch break of 45
minutes
E-coaching comprising learning through interactive web
portal. Course wise mentor to answer queries of students.
Experimental live project comprising consulting assignment
involving problem, diagnosis, intervention and outcome with
specific value addition to the are of activity chosen
Qualifications-Integrated First Degree of BITS or its
equivalent(BE/ B. Tech, M.Sc., MBA, MCA)
M. Com, ACA and ACS or equivalent with aptitude for
quantitative methods
Experience-Minimum one year of post qualification
experience
Batch will start from J une/J uly each year and application forms
are available on BITS website http://www.bits-pilani.ac.in/ dlp-
home during April.
Duration : 2 yrs (4 semesters)
Fee Structure : Rs. 90,000 for two years (4 semester)
For more information, please contact
Programme Coordinator (MSCM)
nd
2 Floor, Core IV-B, India Habitat Centre
Lodhi Road, New Delhi 110 003
Phone: 011- 24682055 (D), 9891908211, 9868270969
24602601, 24601533, 24602915
Fax: 011- 24602602 E-mail : ms@cdc.org.in
Website: http://www.cdc.org.in/login.aspx
ELIGIBILITY
CDC is an autonomous institution of the Department of Scientific and Industrial Research, Ministry of Science
and Technology, Government of India. This programme is being offered under the off-Campus Collaborative
Programmes of BITS, Pilani.
MS CONSULTANCY MANAGEMENT
GOES ALL INDIA
BirlaInstituteof Technology& Science
Enhance your

CA July08

Hochgeladen von

Dokumentinformationen

Copyright

Verfügbare Formate

Dieses Dokument teilen

Dokument teilen oder einbetten

Freigabeoptionen

Stufen Sie dieses Dokument als nützlich ein?

Sind diese Inhalte unangemessen?

Copyright:

Verfügbare Formate

CA July08

Hochgeladen von

Copyright:

Verfügbare Formate

Editorial Advisory Board

CONSULTING AHEAD - VOL. 2 - ISSUE 2 l31

Table 2: Typical N correction table for borelog

Site Periods of AA from Microtremor and

Das könnte Ihnen auch gefallen