Lecture Notes on Multidisciplinary Industrial Engineering

Series Editor: J. Paulo Davim

Anish Sachdeva
Pradeep Kumar
Om Prakash Yadav Editors

Operations
Management
and Systems
Engineering
Select Proceedings of CPIE 2018
Lecture Notes on Multidisciplinary Industrial
Engineering

Series Editor
J. Paulo Davim, Department of Mechanical Engineering, University of Aveiro,
Aveiro, Portugal
“Lecture Notes on Multidisciplinary Industrial Engineering” publishes special
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More information about this series at [Link]

Anish Sachdeva Pradeep Kumar
• •

Om Prakash Yadav
Editors

Operations Management
and Systems Engineering
Select Proceedings of CPIE 2018

123
Editors
Anish Sachdeva Pradeep Kumar
Dr. B.R. Ambedkar National Institute Indian Institute of Technology Roorkee
of Technology Roorkee, Uttarakhand, India
Jalandhar, Punjab, India

Om Prakash Yadav
North Dakota State University
Fargo, ND, USA

ISSN 2522-5022 ISSN 2522-5030 (electronic)

Lecture Notes on Multidisciplinary Industrial Engineering
ISBN 978-981-13-6475-4 ISBN 978-981-13-6476-1 (eBook)
[Link]

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About This Book

This volume contains extended research work of researchers who participated in the
Fifth International Conference on Production and Industrial Engineering (CPIE)
2018. Manuscripts with analytical models, reliability and maintenance engineering,
supply chain management, human factor engineering, decision-making case studies
with simulation approaches in the area of operations management and systems
engineering have been included.
The Conference on Production and Industrial Engineering (CPIE) series, from
which this special issue has been derived, was started by the Department of
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Technology Jalandhar, India, in March 2007. Subsequently, CPIE 2010, CPIE 2013
and CPIE 2016 were organized which attracted renowned academicians/
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v
Contents

1 Tolerance Analysis of Mechanical Assemblies Using Monte

Carlo Simulation—A Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Pradeep K. Singh and Vaibhav Gulati
2 Operationalization and Measurement of Service Quality
in Manufacturing Supply Chains: A Conceptual Framework . . . . 17
Anish Sachdeva and Surjit Kumar Gandhi
3 A Novel Framework for Evaluation of Failure Risk
in Thermal Power Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Dilbagh Panchal, Mohit Tyagi and Anish Sachdeva
4 Modeling and Analysis of Critical Success Factors
for Implementing the IT-Based Supply-Chain Performance
System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Mohit Tyagi, Dilbagh Panchal, Ravi Pratap Singh
and Anish Sachdeva
5 Lean-Sigma for Product Improvement Using the VoC
for Enhancing the Product Competitiveness . . . . . . . . . . . . . . . . . . 69
Aldo Salcido-Delgado, Li Zhou and Noé G. Alba-Baena
6 Structural Equation Modelling Application to Assess
Environmental Aspects in Implementing Sustainable
Manufacturing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
Keshav Valase and D. N. Raut
7 Service Quality Through the Lens of SAP-LAP Methodology:
A Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Ajay Gupta, Rajeev Trehan and Surjit Kumar Gandhi

vii
viii Contents

8 Selection of the Optimum Hole Quality Conditions in

Manufacturing Environment Using MCDM Approach:
A Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
Ravi Pratap Singh, Mohit Tyagi and Ravinder Kataria
9 Reliability Analysis of CNG Dispensing Unit
by Lambda-Tau Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
Priyank Srivastava, Dinesh Khanduja, G. Aditya Narayanan,
Mohit Agarwal and Mridul Tulsian
10 Assessment of Health Risks Among Tractor Operators
Due to Whole-Body Vibration . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
Kuljit Singh, Jagjit Singh Randhawa and Parveen Kalra
11 Modelling, Simulation and Optimization of Product Flow
in a Multi-products Manufacturing Unit: A Case Study . . . . . . . . 185
Janpriy Sharma and Arvind Jayant
12 Benchmarking the Interactions Among Drivers in Supply
Chain Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
Rajiv Kumar Garg, Anish Sachdeva and Harjit Singh
13 Significance of Electronic Waste Management
for Sustainable Industrial Production . . . . . . . . . . . . . . . . . . . . . . 241
Rishabh Kumar Saran and Shashikant Yadav
About the Editors

Dr. Anish Sachdeva is Professor in the Department of Industrial and Production

Engineering at Dr. B.R. Ambedkar National Institute of Technology, Jalandhar. He
obtained his bachelors in Industrial Engineering from Regional Engineering
College, Jalandhar in 1994; masters in Industrial Engineering from Punjab
Technical University, Jalandhar in 2003; and his Ph.D. from IIT Roorkee in 2008.
He has published more than 100 research articles in international journals and
conferences. His academic activities include serving as a peer reviewer in journals,
acting as session chair in many international conferences, and conducting a number
of training programs. His areas of interest include reliability and maintenance
engineering, advanced machining, supply chain management, stochastic modeling,
and system simulation.

Dr. Pradeep Kumar is Professor in the Department of Mechanical & Industrial

Engineering at Indian Institute of Technology, Roorkee. He obtained his bachelors
(Industrial Engineering) in 1982; masters (Production Engineering) in 1989; and
Ph.D. in Manufacturing and Production Engineering in 1994, all from the
University of Roorkee. He has been a visiting faculty at West Virginia University,
Wayne State University, AIT Bangkok, and King Fahd University of Petroleum and
Minerals, Saudi Arabia. He served at the Delhi Technological University as
Vice-Chancellor during 2014–15. He has published around 580 research papers in
international and national journals, and conference proceedings. Dr. Kumar has
completed 43 consultancy projects of various organizations, and 18 sponsored
research projects in India and 1 sponsored project in USA. He also has 4 patent
disclosures. His research interests include advanced manufacturing processes,
microwave joining of metals, metal casting, industrial engineering, supply chain
management, quality engineering, and production and operations management.

ix
x About the Editors

Dr. Om Prakash Yadav is Professor and Interim Department Chair, Industrial and
Manufacturing Engineering, North Dakota State University, Fargo. He obtained his
bachelors in Mechanical Engineering from Malviya National Institute of
Technology, Jaipur in 1986; masters in Industrial Engineering from National
Institute of Industrial Engineering, Bombay in 1992; and Ph.D. in Industrial and
Manufacturing Engineering from Wayne State University, Detroit in 2002. He has
published more than 120 scientific papers in international journals and conferences,
and edited more than 15 books and proceedings. He has successfully completed
nearly 30 fully funded research and consultancy projects. His research interests
include quality and reliability engineering, production and operations management,
supply chain (logistics), inventory modeling, lean manufacturing, quantitative
modeling, statistical analysis, fuzzy logic, and neural networks.
Chapter 1
Tolerance Analysis of Mechanical
Assemblies Using Monte Carlo
Simulation—A Case Study

Pradeep K. Singh and Vaibhav Gulati

Abstract Different parts of a mechanical assembly are usually manufactured at dif-

ferent units so as to be assembled later. The assembled parts must fit together without
any interference or unnecessarily large clearance. This paper presents the study of the
effect of variation in dimensions of individual parts on the assembly response using
Monte Carlo simulation. This technique represents the process distribution of the
dimensions of individual parts, which helps in determining the assembly response
and yield estimation of successful assembly. A case study on a cylinder-piston assem-
bly has been attempted. The simulation has been carried out using MATLAB 7.0 with
different theoretical process distributions (uniform, normal, and beta) and yield has
been estimated. The aim of this study is to establish a simple yet powerful technique
(Monte Carlo simulation) for tolerance analysis and yield estimation of mechanical
assemblies. This approach quantifies and handles both the normal and non-normal
process distributions.

Keywords Tolerance analysis · Monte Carlo simulation · Assembly · Yield

1.1 Introduction

An engineering assembly is characterized by a critical parameter or critical dimen-

sion, commonly called assembly dimension or assembly response (Y ). The relation-
ship between the assembly dimension (Y ) and the individual dimensions (X i ) is called
assembly response function “Y  f (X i )”. Any variation in individual dimensions will
directly affect the assembly dimension, and hence the performance of the assembly.
In mass production, the individual dimensions have their own distributions. The
random assembly of these dimensions gives rise to the distribution of the resultant
assembly dimension. Tolerance analysis is the methodology to estimate the resultant

P. K. Singh (B) · V. Gulati

Department of Mechanical Engineering, Sant Longowal Institute of Engineering & Technology,
Longowal 148106, Punjab, India
e-mail: pkschauhan@[Link]; pksingh@[Link]

© Springer Nature Singapore Pte Ltd. 2019 1

A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
2 P. K. Singh and V. Gulati

Fig. 1.1 Tolerance analysis of mechanical assemblies [18] LL and UL: Lower and upper limits on
assembly dimension

variation of the assembly dimension, given the tolerances associated with individual
dimensions (δ i ), and the assembly response function [1]. If the limits of variation of
assembly dimension are set, the fraction of successful assemblies meeting the design
requirements, called yield, can also be estimated (Fig. 1.1).
Tolerance analysis establishes a procedure to estimate (i) the resultant variation of
the assembly dimension, (ii) distribution of the assembly dimension, and (iii) fraction
of successful assembly (i.e., assembly yield), given the tolerances associated with
individual dimensions, the assembly response function, and the specifications of
the assembly dimension(s). Different approaches to tolerance analysis have been
proposed over the decades. Traditional approaches to tolerance analysis, viz., the
worst case, and the root sum square are based on a few unrealistic assumptions,
and hence do not fulfill the requirements of the real-world assembly design. The
importance of tolerance analysis in assembly design attracted the attention of a large
number of researchers, with the result the topic has been addressed in depth. A brief
account of these approaches has been presented by Singh et al. [18].
In this study, an effort has been made to demonstrate tolerance analysis of mechan-
ical assemblies using Monte Carlo simulation with the help of a case study on
a cylinder-piston assembly. The random sampling of the cylinder-bore and piston
diameter has been carried out for three different theoretical process distributions
(uniform, normal, and beta). The range of variation of assembly dimension (dia-
metric clearance between the cylinder and the piston), mean, standard deviation,
and yield of successful assembly have been estimated for all three cases. Effect of
tightening of the tolerance (specified for the assembly dimension) on the yield of
successful assembly has also been analyzed.
1 Tolerance Analysis of Mechanical Assemblies Using … 3

1.2 Literature Review

The tolerance design of mechanical assemblies has widely been explored in the
research. With the increased interest in the tolerance design problem, various
approaches to classical tolerance analysis and synthesis were evolved. A few survey
articles on the topic have been reported by Gerth [6] and Ngoi and Ong [13]. Hong
and Chang [9] present the most comprehensive discussion on tolerancing research
covering various aspects. However, their focus on tolerance analysis and synthesis
has been very limited. Singh et al. [18] seem to have presented a detailed and updated
discussion fully dedicated to tolerance analysis.
A number of commercial and noncommercial software packages have been devel-
oped to make the tolerance design practice easier with a focus on tolerance analysis.
With the help of software packages, tolerance synthesis can indirectly be carried out,
by attempting tolerance analysis in an iterative manner. This is done by changing the
input parameters (tolerances associated with individual dimensions) and estimating
the accumulated tolerance and the yield, but without consideration of manufacturing
cost.
Commercial software packages offer tolerance analysis capability either through
add-ons to existing spreadsheet applications or integration with CAD packages [3].
Many of these are based on the application of Monte Carlo simulation. A brief review
of the software packages has been presented by Singh [17].
According to the published literature, a large number of approaches to tolerance
analysis have been proposed for tolerance analysis. The Monte Carlo simulation
appears to be the most popular tolerance analysis approach because of its simplicity
and versatility of application, and the unlimited achievable precision. The research
applications of this approach include Gerth and Hancock [7], Bruye‘re et al. [2],
Dantan and Qureshi [4], Gulati [8], Qureshi et al. [14], Yan et al. [20], etc. A detailed
discussion on these researches shall not be useful. This approach is the basis of most
of the tolerance analysis software, and has been applied in research as a reference
(yardstick) for evaluating the performance of other approaches [5, 10, 15, 21].

1.3 Design of Simulation Methodology—Monte Carlo

Simulation

The Monte Carlo simulation approach is based on stochastic sampling technique,

and is useful to simulate the randomly occurring natural phenomena. Since the actual
dimensions obtained in manufacturing are random in nature with a definite pattern,
the approach can be applied to study an engineering assembly for statistical tolerance
analysis. The approach appears to be simple to estimate the variation in the assembly
response; and is applicable to both the linear and nonlinear assembly response func-
tions, and, the normal and non-normal process distributions. This approach directly
yields the distribution of assembly response, which makes it more useful [16]. The
4 P. K. Singh and V. Gulati

statistical tolerance analysis problem can be attempted through the simulation fol-
lowing a systematic procedure given below.
a. Identification of assembly dimension(s), individual dimensions, and dimension
chain(s) in the assembly.
b. Formulation of the assembly response function(s) “Y  f (X i )”.
c. Specification of the probability density function (pdf) to individual dimensions.
d. Random sampling of individual dimensions and simulation of assembly, i.e.,
forming a virtual assembly to obtain assembly dimension(s).
e. Estimation of yield—the proportion of successful assembly, out of the total sim-
ulations.
f. Estimation of statistical parameter of distribution—spread (range), mean, stan-
dard deviation, etc. of the distribution of assembly dimension(s).
The accuracy of the results obtained with this approach is proportional to the
square root of the sample size. This makes the approach highly computationally
expensive for better results. In spite of this, a few authors explored the application of
this approach in the tolerance design [5, 11, 12, 19]. With the availability of highly
efficient modern computers at an economical rate, the application of the approach is
no more a problem.

1.4 Case Study–Cylinder-Piston Assembly

The simulation-based computer-aided system for the tolerance analysis has been
presented with the help of a numerical example of the cylinder-piston assembly
(Fig. 1.2). The tolerance analysis has been carried out with the help of MATLAB
7.0.

Fig. 1.2 Engine X1

(cylinder-piston) assembly
X2

Assembly response function:

1 Tolerance Analysis of Mechanical Assemblies Using … 5

Table 1.1 Dimensional details for cylinder-piston assembly (Courtesy: FMGI Ltd., Bahadurgarh)
S. No. Cylinder-bore diameter Piston diameter (mm) Specified assembly
(mm) (X 1 ± δ1 ) (X 2 ± δ2 ) clearance (mm) (Y )
1 95.042 ± 0.010 94.912 ± 0.010 Worst-case assembly
tolerance (0.130 ±
0.020)
2 95.042 ± 0.010 94.912 ± 0.010 Reduced assembly
tolerance (0.130 ±
0.015)
3 95.042 ± 0.010 94.912 ± 0.010 Reduced assembly
tolerance (0.130 ±
0.010)

The need for tolerance analysis is especially prevalent in assemblies where some
assembly features are more critical to the functioning of the product than others. An
example of a critical design feature is the assembly clearance (Y ) in the cylinder-
piston assembly. In order to make the cylinder-piston assembly function properly, the
assembly clearance must be larger than zero to prevent jamming, and smaller than
a specified value to perform the axial motion between the cylinder and the piston
satisfactorily.
This assembly clearance (Y ) is not a manufactured feature, i.e., the actual size
and shape of this gap is not directly controllable in manufacturing. Rather, it is an
aggregate property of the assembly which results from the interaction between the
mating features of the components when assembled. The size of the gap can be
expressed in terms of component dimensions X 1 (cylinder diameter) and X 2 (piston
diameter), (Eq. 1.1). The tolerance of Y is the sum of the tolerances associated
with the component dimensions X 1 and X 2 , regardless of whether the component
dimensions are added or subtracted (Eq. 1.2).

Y  X1 − X2 (1.1)

T olY  T ol X 1 + T ol X 2 (1.2)

Based on either experience or adopted practices, the product designer assigns

appropriate tolerance values to X 1 and X 2 . The tolerance analysis can thus ensure the
product functionality while allowing the widest allowable tolerances to be assigned
to the component dimensions/features for economic production. The dimensional
data of the cylinder-piston assembly for the proposed case study has been obtained
from an automobile parts manufacturing company [Federal Mogul Goetze India Ltd.
Bahadurgarh (Patiala)]. The same has been presented in Table 1.1.
6 P. K. Singh and V. Gulati

1.4.1 Random Sampling of Dimensions

(a) Cylinder-bore diameter (X 1 )

For the calculation of the sample size for cylinder-bores, a set of 2000 samples was
generated in the specified tolerance range (95.042 ± 0.010) following a uniform
distribution. After a set of 205 samples, the sample mean became almost constant
within ±5% of the specified tolerance (i.e., 0.0005 mm) which is very close to the
true mean (95.042 mm). Details have been presented in Fig. 1.3.
(b) Piston diameter (X 2 )
For the calculation of the sample size for pistons, a set of 2000 samples was generated
in the specified tolerance range (94.912 ± 0.010) following a uniform distribution.
After a set of 100 samples, the sample mean became almost constant within ±5%
of the specified tolerance (i.e., 0.0005 mm), which is very close to the true mean
(94.912 mm). Details have been presented in Fig. 1.4.
In the same way, the practical approach has been used following normal and beta
distribution. For the normal distribution, the approach estimates a sample size of
126 for cylinders and 25 for pistons. For beta distribution, the approach estimates a
sample size of 56 for cylinders and 115 for pistons. For better accuracy of the results,
Nsimulation ≥ N . Thus, tolerance analysis has been carried out for 500 assemblies by
applying Monte Carlo simulation.

Fig. 1.3 Variation of sample mean with progress of simulation (X 1 )

1 Tolerance Analysis of Mechanical Assemblies Using … 7

Fig. 1.4 Variation of sample mean with progress of simulation (X 2 )

Fig. 1.5 Histogram for

distribution of cylinder-bore
diameter (X 1 ) (uniform
distribution)

1.4.2 Tolerance Analysis and Yield Estimation

Tolerance analysis for assembly clearance has been carried out for 500 assemblies
applying Monte Carlo simulation. Histograms showing distribution of the clearance
between the cylinder-bore and piston have been drawn based on uniform (input)
distribution. Similar histograms can be obtained for the normal and beta distributions
as well.
8 P. K. Singh and V. Gulati

Fig. 1.6 Histogram for distribution of piston diameter (X 2 ) (uniform distribution)

Reduced assembly tolerance

(c: 0.130 ± 0.010 = 0.020)
Reduced assembly tolerance
(b: 0.130 ± 0.015 = 0.030)
Estimated variation of
assembly dimension (0.0378)
Specified (Worst Case) tolerance on
assembly dimension (a: 0.130 ± 0.020 = 0.040)

Fig. 1.7 Histogram for distribution of assembly clearance (Y ) (uniform distribution)

1 Tolerance Analysis of Mechanical Assemblies Using … 9

[Link] Uniform Distribution

A set of 500 random samples for each of cylinder-bore (X 1 ) and piston (X 2 ) has
been generated in the specified dimension range following uniform distribution
and the assembly clearance (Y ) has been obtained. The histograms for distribution
of cylinder-bore diameter, piston diameter, and assembly clearance have been
represented through the Figs. 1.5, 1.6 and 1.7. With the help of these histograms,
it is easy to determine quickly that the current process is able to produce successful
product assemblies with good yield percentage. The statistics of the tolerance
analysis for the three cases, viz., worst-case tolerance on assembly clearance (0.130
± 0.020), reduced tolerance on assembly clearance (0.130 ± 0.015) and (0.130 ±
0.010), has been presented in Table 1.2.

1.4.3 Normal Distribution

A set of 500 random samples for each of cylinder-bore (X 1 ) and piston (X 2 ) has
been generated in the specified dimension range following a normal distribution and
the assembly clearance (Y ) has been obtained. The histograms showing distribu-
tion of cylinder-bore diameter, piston diameter, and assembly clearance can also be
presented as in case of uniform distribution. The statistics of the tolerance analysis
for the three cases, viz., worst-case assembly clearance (0.130 ± 0.020), reduced
tolerance on assembly clearance (0.130 ± 0.015), and (0.130 ± 0.010), has been
presented in Table 1.3.

1.4.4 Beta Distribution

A set of 500 random samples for each of cylinder-bore (X 1 ) [beta (2, 3)] and piston
(X 2 ) [beta (3, 4)] has been generated in the specified dimension range following
beta distribution and the assembly clearance has been obtained. The histograms for
distribution of cylinder-bore diameter, piston diameter, and assembly clearance (Y )
can also be presented as in the case of uniform distribution. The statistics of the
tolerance analysis for the three cases, viz., worst-case assembly clearance (0.130
± 0.020), reduced tolerance on assembly clearance (0.130 ± 0.015) and (0.130 ±
0.010), has been presented in Table 1.4.

1.5 Discussion

The results of the simulation study have been presented and analyzed in the previous
Section (Figs. 1.5, 1.6 and 1.7 for uniformly distributed constituent dimensions,
10 P. K. Singh and V. Gulati

Table 1.2 Tolerance analysis of the assembly for uniform distribution of dimensions
Worst-case tolerance on assembly Specified tolerance range   0.040
clearance 0.150–0.110
Y (0.130 ± 0.020) Estimated variation   0.0378
0.1482–0.1104
Mean  0.12967
Standard deviation  0.0081875
Number of simulated assemblies  500
Number of successful assemblies  500
(within the specification limits)
Number of failed assemblies 0
(beyond the specification limits)
Yield  100%
Reduced tolerance on assembly Specified tolerance range   0.030
clearance 0.145–0.115
Y (0.130 ± 0.015) Estimated variation   0.0378
0.1482–0.1104
Mean  0.12967
Standard deviation  0.0081875
Number of simulated assemblies  500
Number of successful assemblies  463
(within the specification limits)
Number of failed assemblies  37
(beyond the specification limits)
Yield  92.6%
Reduced tolerance on assembly Specified tolerance range   0.020
clearance 0.140–0.120
Y (0.130 ± 0.010) Estimated variation   0.0378
0.1482–0.1104
Mean  0.12967
Standard deviation  0.0081875
Number of simulated assemblies  500
Number of successful assemblies  381
(within the specification limits)
Number of failed assemblies  119
(beyond the specification limits)
Yield  76.2%
1 Tolerance Analysis of Mechanical Assemblies Using … 11

Table 1.3 Tolerance analysis of the assembly for normal distribution of dimensions
Worst case tolerance on assembly Specified tolerance range   0.040
clearance 0.150–0.110
Y (0.130 ± 0.020) Estimated variation   0.0265
0.1445–0.1180
Mean  0.13033
Standard deviation  0.0044625
Number of simulated assemblies  500
Number of successful assemblies  500
(within the specification limits)
Number of failed assemblies 0
(beyond the specification limits)
Yield  100%
Reduced tolerance on assembly Specified tolerance range   0.0300
clearance 0.145–0.115
Y (0.130 ± 0.015) Estimated variation   0.0265
0.1445–0.1180
Mean  0.13033
Standard deviation  0.0044625
Number of simulated assemblies  500
Number of successful assemblies  500
(within the specification limits)
Number of failed assemblies 0
(beyond the specification limits)
Yield  100%
Reduced tolerance on assembly Specified tolerance range   0.0200
clearance 0.140–0.120
Y (0.130 ± 0.010) Estimated variation   0.0265
0.1445–0.1180
Mean  0.13033
Standard deviation  0.0044625
Number of simulated assemblies  500
Number of successful assemblies  486
(within the specification limits)
Number of failed assemblies  14
(beyond the specification limits)
Yield  97.2%
12 P. K. Singh and V. Gulati

Table 1.4 Tolerance analysis of the assembly for beta distribution of dimensions
Worst case tolerance on assembly Specified tolerance range   0.040
clearance 0.150–0.110
Y (0.130 ± 0.020) Estimated variation   0.0299
0.1449–0.1150
Mean  0.12925
Standard deviation  0.0053477
Number of simulated assemblies  500
Number of successful assemblies  500
(within the specification limits)
Number of failed assemblies 0
(beyond the specification limits)
Yield  100%
Reduced tolerance on assembly Specified tolerance range   0.0300
clearance 0.1450–0.1150
Y (0.130 ± 0.015) Estimated variation   0.0299
0.1449–0.1150
Mean  0.12925
Standard deviation  0.0053477
Number of simulated assemblies  500
Number of successful assemblies  500
(within the specification limits)
Number of failed assemblies 0
(beyond the specification limits)
Yield  100%
Reduced tolerance on assembly Specified tolerance range   0.0200
clearance 0.140–0.120
Y (0.130 ± 0.010) Estimated variation   0.0299
0.1449–0.1150
Mean  0.12925
Standard deviation  0.0053477
Number of simulated assemblies  500
Number of successful assemblies  467
(within the specification limits)
Number of failed assemblies  33
(beyond the specification limits)
Yield  93.4%
1 Tolerance Analysis of Mechanical Assemblies Using … 13

Table 1.5 Estimated yield

Distribution of independent
(percentage) under different
dimensions (cylinder-bore
conditions
and piston diameter)
Assembly dimension or Uniform Normal Beta
clearance (Y )
0.130 ± 0.020 100 100 100
0.130 ± 0.015 92.6 100 100
0.130 ± 0.010 76.2 97.2 93.4

Tables 1.2, 1.3, and 1.4 for all three cases—uniform, normal, and beta distribution).
The results have further been summarized in Table 1.5 for better clarity. The following
points are observed.
1. When the independent dimensions (or variables) are normally distributed. The
resultant dimension (or assembly response) also appears to be normally dis-
tributed.
2. In case, the independent dimensions are not normally distributed (for uniform
distribution and beta distribution of the cylinder-bore and piston dimensions),
the resultant dimension appears to be normally distributed. The observation is
in accordance with the Central Limit Theorem. According to the theorem, a
sampling distribution always results in significantly less variability, as measured
by standard deviation, than the population it is drawn from. Thus, the distribution
of assembly dimension will look more and more like normal distribution as the
length of the simulation run is increased, even when the population itself is not
normally distributed.
3. The specified tolerance on the assembly dimension based on the worst-case cri-
teria results in 100% yield. As the specified tolerance on the assembly dimen-
sion is tightened, the yield varies accordingly because of reduction in fraction of
accepted assemblies. Tightening the assembly tolerances, though results in better
precision of the assembly characteristics, yet with the corresponding reduction
in assembly yield.
4. In case of normally distributed dimensions, tightening of the tolerance on assem-
bly dimension results in smaller variation in assembly yield, because of relatively
less variability of the assembly dimension. In case of other distributions of inde-
pendent dimensions, the assembly yield suffers more variation, because of the
relatively larger variability of the assembly dimension. The maximum reduction
in assembly yield occurs with the uniformly distributed individual constituent
dimensions.
14 P. K. Singh and V. Gulati

1.6 Conclusion

The objective of this study has been to estimate the distribution of the assembly
response for a given set of dimensions of individual components, and the mathemat-
ical relationship among the dimensions of individual components and the assembly
response. Monte Carlo simulation has been used for this purpose. A computer-aided
system for tolerance analysis of mechanical assemblies has been presented in this
work with the help of a numerical example of cylinder-piston assembly. The results
have been presented as the histograms for uniformly distributed constituent dimen-
sions, followed by tabulated data for the tolerance analysis for all three cases—uni-
form, normal, and beta distribution of dimensions of individual components. Salient
features of the study have been presented in the previous section. The work can
further be extended in the following directions.
• The assembly attempted in this study involves only two independent dimensions
with simple dimension chains. More complex problems for assemblies with a large
number of independent dimensions involving interrelated dimension chains, and
two-dimensional cases can be attempted.
• In this study, only size tolerances have been considered. Tolerance analysis can
also be carried out considering geometrical dimensioning and tolerancing (GD &
T).
• This study makes use of only a particular probability density function, which
has been considered for all the components of an assembly at a time. It is also
possible to consider different probability density functions for different individual
dimensions at a time.
• This study presents a mechanical assembly of rigid components. The work can be
extended to include flexible and elastic components.

References

1. Bjorke, O.: Computer Aided Tolerancing. ASME, New York (1989)

2. Bruye‘re, J., Dantan, J-Y, Bigot, R., Martin, P.: Statistical tolerance analysis of bevel gear by
tooth contact analysis and monte carlo simulation. Mech. Mach. Theory 42, 1326–1351 (2007)
3. Creveling, C.M. Tolerance Design. Addison Wesley, Reading (1997)
4. Dantan, J.-Y., Qureshi, A.-J.: Worst-case and statistical tolerance analysis based on quantified
constraint satisfaction problems and monte carlo simulation. Comput. Aided Des. 41, 1–12
(2009)
5. Fangcai, W., Jean-Yves, D., Alain, E., Ali, S., Patrick, M.: Improved algorithm for tolerance
allocation based on monte carlo simulation and discrete optimization. Comput. Ind. Eng. 56,
1402–1413 (2009)
6. Gerth, R.J.: Engineering tolerancing: a review of tolerance analysis and allocation. Eng. Des.
Autom. 2(1), 3–22 (1996)
7. Gerth, R.J., Hancock, W.M.: Computer aided tolerance analysis for improved process control.
Comput. Ind. Eng. 38, 1–19 (2000)
8. Gulati, V.: Tolerance analysis in mechanical assemblies. Thesis Submitted to Department of
Mechanical Engineering (PG/ME/098310), SLIET Longowal, Longowal (India) (2011)
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9. Hong, Y.S., Chang, T.-C.: A comprehensive review of tolerancing research. Int. J. Prod. Res.
40(11), 2425–2459 (2002)
10. Huang, W., Ceglarek, D.: Tolerance analysis for design of multistage manufacturing processes
using number-theoretical net method (NT-Net). Int. J. Flex. Manuf. Syst. 16, 65–90 (2004)
11. Lee, B.K.: Variation stack-up analysis using monte carlo simulation for manufacturing process
control and specification. Ph.D. Dissertation, University of Michigan (1993)
12. Lin, C.Y., Huang, W.H., Jeng, M.C., Doong, J.L.: Study of an assembly tolerance allocation
model based on monte carlo simulation. J. Mater. Process. Technol. 70, 9–17 (1997)
13. Ngoi, B.K.A., Ong, C.T.: Product and process dimensioning and tolerancing techniques: a
state-of-the-art review. Int. J. Manuf. Technol. 14, 910–917 (1998)
14. Qureshi, A.-J., Dantan, J.-Y., Sabri, V., Beaucaire, P., Gayton, N.: A statistical tolerance analysis
approach for over-constrained mechanism based on optimization and monte carlo simulation.
Comput. Aided Des. 44, 132–142 (2012)
15. Seo, H.S., Kwak, B.M.: Efficient statistical tolerance analysis for general distributions using
three-point information. Int. J. Prod. Res. 40(4), 931–944 (2002)
16. Singh, P.K., Jain, S.C., Jain, P.K.: Tolerance analysis of mechanical assemblies using monte
carlo simulation. Int. J. Ind. Eng. 10(2), 188–196 (2003)
17. Singh, P.K.: Tolerance design of mechanical assemblies in presence of alternative machines.
Ph.D. Thesis submitted to Department of Mechanical Engineering, Indian Institute of Tech-
nology, Roorkee (India) (2005)
18. Singh, P.K., Jain, P.K., Jain, S.C.: Important issues in tolerance design of mechanical assemblies.
Part-1: tolerance analysis. Proc. Inst. Mech. Eng. J. Eng. Manuf. 223B(10), 1225–1247 (2009)
19. Skowronski, V.J., Turner, J.U.: Calculating derivatives in statistical tolerance analysis. Comput.
Aided Des. 30(5), 367–375 (1998)
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CIRP 27, 281–285 (2015)
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statistical tolerance analysis and synthesis. Trans. ASME J. Manuf. Sci. Eng. 123, 490–493
(2001)
Chapter 2
Operationalization and Measurement
of Service Quality in Manufacturing
Supply Chains: A Conceptual
Framework

Anish Sachdeva and Surjit Kumar Gandhi

Abstract Service and service activities are perishable, complex, and multifunctional
in nature, because of which the production and delivery of services are inseparable.
Services in manufacturing, however need to be treated in a different manner. In
a manufacturing organization, while early market leaders focus on innovation, the
quality of services rendered along the supply chain would help in developing loyal
customers, resulting in enhanced business performance. Research demonstrates that
service quality (SQ) has strong linkages with business performance, cost reduction,
feeling of delight, trust, and loyalty among partners and consequently leads to prof-
itability. However, the service dominance perspective that establishes the importance
of intangible aspects such as service and relationship is still to be widely embraced in
the manufacturing sector. The scholarly attention accorded to service quality in man-
ufacturing is still in its nascence. Against this preamble, this chapter aims to bring
out a tailor-made framework to evaluate SQ at different interfaces of a manufactur-
ing supply chain. This chapter conceptualizes SQ as a multidimensional construct,
which operates at interfaces of supplier–manufacturer, manufacturer–employee, and
manufacturer–distributor.

Keywords Service quality · Supply chain management · Small-medium

manufacturing enterprises

2.1 Introduction

The fierce competition of today’s marketplace is driving small-medium manufac-

turing enterprises to reshape their strategies in order to curtail overall cost and cut

A. Sachdeva · S. K. Gandhi (B)

Department of Industrial and Production Engineering, Dr. B. R. Ambedkar National Institute of
Technology, Jalandhar 144011, Punjab, India
e-mail: skgandhi21@[Link]
A. Sachdeva
e-mail: asachdeva@[Link]

© Springer Nature Singapore Pte Ltd. 2019 17

A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
18 A. Sachdeva and S. K. Gandhi

down inefficiencies. To ensure their operational and financial benefits, manufacturing

enterprises are working closely and maintaining backward linkages with the suppli-
ers and forward linkages with its distributors besides realizing their employees as
the most valuable asset [32].
Once known as purchasing, supply chain management (SCM), today, has evolved
to include a number of functions related to the supply activities of organizations, such
that it has assumed strategic importance. The application of the tools and techniques
of operations management, such as world-class manufacturing, benchmarking, and
business process reengineering, no longer suffices to optimize internal production.
The introduction of lean manufacturing, including techniques such as supplier tiers,
collaboration, joint design and development, and supplier associations or alliances
has broadened the SCM canvas. SCM has borrowed concepts from a range of aca-
demic disciplines, such as transaction cost economics (TCE), resource-based view
(RBV) [66], and social capital [45], and enabled scholars to explain supply activities
of organizations from varied theoretical lenses.
The body of SCM literature generated in recent times includes strategic issues
in supply chain planning, and principles and practices of effective supply chain
management [44]. Supply chain orientation can foster innovation, facilitate removal
of complexity, help eliminate waste, streamline processes, and enhance efficiency
[37]. The supply chain lens can help in designing the value chain and facilitate
the creation of the resilient enterprise [61]. Focusing on the supply chain triggers
organizational turnaround [70] and provides impetus to the merger and acquisition
process [36].
Supply chains do exist in all manufacturing units, and several scholars have taken
cognizance of the influence of the actions of one member of the supply chain on the
profitability of all the others in the chain [26]. Despite these benefits, Indian small-
medium manufacturing units are unable to understand the role of each member in the
supply chain and in the entire delivery system and find it difficult to change their focus
from immediate customer to all downstream and upstream members in the supply
chain. By delivering the superior value to ultimate consumers, the chain as a whole
achieves the objective of differential advantage. This enhances the performance of
the chain as a whole as well as delivers results to the individual members of the chain
[51].
By delivering the superior value to ultimate consumers, the chain as a whole
achieves the objective of differential advantage. This enhances the performance of
the chain as a whole as well as delivers results to the individual members of the
chain [64]. Earlier the Indian small-medium manufacturing units were in dormant
stage shielded by the government policies of reservation, quota, license, etc., but
due to globalization, this once flourishing sector is facing several challenges. Thus,
this sector needs to adopt the best practices in all their activities so as to com-
pete in the backdrop of global competitiveness. Although, many studies have been
carried out in the developed countries in the aspects of interfirm linkages, little or
no studies have been reported on studying their supply chains in India. Studies on
2 Operationalization and Measurement of Service … 19

Indian SMEs are largely confined to competitive priorities, manufacturing strategies,

capacity building, and innovation trends. However, the service dominance perspec-
tive [48] that establishes the importance of intangible aspects such as service quality
is unexplored.
Service quality (SQ) is, “a way of thinking about how to satisfy customers so that
they hold positive attitude toward the service they are receiving. Delivering quality
service is considered to be an essential strategy to succeed in a competitive business
environment. Firms, which offer superior services, achieve higher growth in the mar-
ket and increase profits [40].” Researchers suggest that service quality is positively
associated with customer satisfaction [2, 62]. Studies establish a positive relationship
of service quality with customer loyalty [17, 27] too. Service quality is also linked
to behavioral outcomes as word-of-mouth (WOM), complaint, recommending, and
switching [76].
Intrinsic service quality is defined as, “how well the manufacturing organization
is working towards the suppliers, employees and distributors,” while extrinsic ser-
vice quality is defined as, “quality of services delivered by supplier, employees and
distributors to the manufacturing organization.”
For the purpose of this chapter, supply chain may be broken into three basic seg-
ments of sourcing, manufacturing, and delivery and involves its associated flow of
material/service, funds, and information among them. To overcome the above chal-
lenges, the small-medium manufacturing units need to develop effective strategies
and should frame the policies and constantly review them to meet their long-term
objectives. The managers of these units often consider these problems independently
and develop solutions. In reality, these issues need to be addressed and evaluated
in the supply chain perspective. The concept of service quality bridges scientific
and humanistic management philosophies by focusing on areas such as coordina-
tion, collaboration, commitment, communication, trust, flexibility, dependence, joint
engineering, integration, and training and development of employees.

2.2 Manufacturing Supply Chains

A simple manufacturing supply chain comprises three components, i.e., the supplier,
the manufacturer, and the distributor, as shown in Fig. 2.1.
A manufacturing supply chain may vary in size and complexity, depending on the
number of members and their linkages. Though the management of service quality
in a service environment is difficult from that in manufacturing, both service orga-
nizations as well as manufacturing organizations need to pay attention to service
and how service quality can be achieved, controlled, and improved [68]. The under-
lined theme of the manufacturing supply chain is to focus on process management,
enabling capacity through the use of ICTs and measure performance, while stay-
ing customer-centric. Consequently, manufacturing organizations aim to develop
value-added processes which deliver innovative, high-quality, low-cost products,
20 A. Sachdeva and S. K. Gandhi

Product/Services, Funds Product/Services, Funds

Inter-organizational Inter-organizational
processes processes
Supplier Manufacturing Distributor
unit

Feedback Feedback

Fig. 2.1 A simple manufacturing supply chain

MONEY FLOW

Employee Employer

SUPPLIER ORGANIZATION DISTRIBUTOR RETAILER CUSTOMER

Upstream Supply Chain Downstream Supply Chain

PRODUCT FLOW

Fig. 2.2 Drivers of supply chain

with shorter development cycles and greater responsiveness in serving the market
[21].
Though redundancy involves cost, however manufacturing organizations build
redundancy as it enables flexibility and helps an organization to enhance its ability
to recover from disruption. Building flexibility across procurement–conversion–dis-
tribution process enables supply chain to build organic capabilities that can sense
environment and respond quickly and helps in moving from forecast-driven supply
chains to a demand-driven supply chains. The total offering of a manufacturer must
evolve gradually from mostly tangible to include services, and finally, develop into a
relationship-focused offering. Industrial services refer to services offered by a man-
ufacturer to other organization at pre-purchase, at-purchase, and after-sales service
stages or only after-sale stage [41]. Figure 2.2 shows the drivers of supply chain man-
agement. It shows that product moves from supplier to customer after value addition
at every level while finance moves from customer to supplier and every driver keeps
its part.
Service thus gets highly influenced by four factors: the immediate response of
service provider, the time and way of the delivery of service, the behavior of the
service provider, and the knowledge and skill of the service provider. The focus on
service quality in the manufacturing supply chain is of recent origin and the body
of knowledge is still nascent. Here, the focus is on issues related to service which
are embedded in various processes in the manufacturing supply chain. Amad et al.
2 Operationalization and Measurement of Service … 21

Environment

Supplier
Input Outcomes
Initiatives Supplier-Manufacturing
Unit dyad

Reduction in cycle time

Improved business relationships
Manufacturing
Service Manufacturing unit- Improved customer satisfaction
Quality employees dyad unit Improved response to market
Improved market share

Manufacturing unit-
distributor dyad

Distributor Legend

Flow of Information / Science

Flow of products
Flow of Funds

Fig. 2.3 Service quality in a manufacturing supply chain

[1] have found that a higher level of service quality among intrinsic suppliers and
intrinsic customers lead to better extrinsic service quality as illustrated in Fig. 2.3.

2.3 Different Perspectives of Service Quality

The Grönroos–Gummesson Quality Model [30] integrated product and service qual-
ity perspectives from the customer’s viewpoint. It described four sources of quality,
i.e., design, production, delivery, and relations. Design quality refers to how well
the combination of goods and services are developed and designed. Production and
delivery quality refer to how well services and goods are delivered compared to
design. Relationship quality refers to how the customer perceives quality during the
service processes.
In the same vein, Philip and Hazlett [60] developed a hierarchical structure of
SQ consisting of overlapping areas of pivotal, core, and peripheral attributes. By
combining the models of [8, 13, 56] a hierarchical and multidimensional model of
perceived SQ was developed that comprises the primary dimensions of interaction,
environment, and outcome, each of which has three subdimensions. This model
has greater explanatory power of customer perceptions of SQ as it explains what
defines service quality perceptions, how SQ perceptions are formed, and how service
experience occurs.
Chaston and Mangles [11] suggested that core capabilities are the main predictors
for the growth of small firms. They observed that areas of competency concerned with
new product development, organizational productivity, and management of service
quality were extremely crucial for the growth of the small firms.
22 A. Sachdeva and S. K. Gandhi

Thus, physical facilities and processes, people’s behavior, their professional judg-
ment [35], and potential and actual customer’s perception affects service quality [10].
Service quality is perceived as value received [50] and operates through sequential
elements of antecedents, consequences, and mediators and plays a significant role
in post-purchase decision-making process [73]. Expectations about SQ leads to dis-
confirmation felt in service received [71]. Disconfirmation arises because of gaps
in seeker’s perception and provider’s expectation, gaps in service specifications and
actual service delivery and gaps in the receiver’s expectation and the provider’s per-
ception [23].
Another set of models deals with e-service quality, which is defined as the role
of SQ in cyberspace and have incubative (good design, easy access, etc.) and active
(support, speed, maintenance, etc.) dimensions [67] and rely on ICTs. On this channel
expectations, image and reputation, service setting, service encounter, and customer
participation affect the perception of service quality [9]. In cyberspace service, quality
consists of website process quality, outcome quality, and recovery quality and these
constructs in turn influence user satisfaction and their behavioral intentions [12].
Therefore, service quality offered is determinant of success of e-commerce [58, 67].
has developed a 22-item scale, E-S-QUAL to measure web service quality. Electronic
service quality also has a hierarchical and multidimensional structure that comprises
primary dimensions of environment quality, delivery quality, and outcome quality,
each of which consists of various subdimensions [19, 63].
Information availability and content, ease of use, security, graphic style, and reli-
ability are key issues relevant for e-service quality perception [77] and timeliness,
availability, condition, and return are identified as key attributes of e-distribution ser-
vice quality [75]. Though reliability of information is an important facet, the avail-
ability and depth of information is believed to improve the use of information, [3]
and this necessitates alignment and coordination of service quality and information
system strategies [7].
In technology-based self-service (TBSS) context, service quality is cognitive eval-
uation of attributes associated with technology-based service options and affective
evaluation through overall predispositions [13]. However, forced use of TBSS results
in negative evaluations, which may improve when service provider offers manual
interaction and that previous experience with TBSS (in general) leads to more posi-
tive attitudes toward the offered self-service, which can offset the negative effects of
forced use to some extent [59, 65].
Bala Subrahmanya [5] presented the declining trends of SMEs in the globalization
period. He has also highlighted the importance of developing interfirm linkages
among supply chain partners and horizontal cooperation across the supply chains of
such firms to overcome the traditional barriers.
In the recent years, Nor and Musa [55] proposed the loyalty program SQ
(LPSQual) model and identified program policy, tangibles, rewards, information use-
fulness, courtesy, personalization, and communication as factors leading to loyalty.
[39] proposed E-S-QUAL model with efficiency, system availability, fulfillment,
privacy, loyalty, perceived value, and control variables as underlying dimensions.
Sultan and Yin Wong [72] put forward ‘Integrated process SQ model’ with infor-
2 Operationalization and Measurement of Service … 23

Services driven capabilities

Valuables- rare, non-imitable,
non-substitutable, customization,
flexibility, economies of
information, economies of scale

Fig. 2.4 Phases of SQ literature along strategic imperatives

mation, past experience, perceived SQ, trust, brand, behavioral intentions as factors.
Bakti and Sumaedi [4] identified comfort, reliability, tangible, and personnel as deter-
minants of P-TRANSQUAL––a service quality model of public land transport ser-
vices. Teeroovengadum et al. [74] determined five attributes of administrative quality,
support facilities quality, core quality, transformative quality, physical environment
quality influencing SQ in higher education SQ (HE-SQUAL) model.
It can be concluded that literature is replete with re-(conceptualization), contextual
adaptations, and measurements. Nonetheless, service quality remains to be elusive
and multidimensional. SQ literature has evolved across overlapping phases of con-
ceptualization, expansion, reconceptualization, and integration. Evolution of service-
driven capabilities may be structured along concepts of adaptation with strategic
drivers and imperatives, learning and alignment, and problem structuring (such as
analysis of current state, the design of future state, and transformation). Evolution
of SQ literature along these strategic imperatives is depicted in Fig. 2.4.
Conceptualization phase of SQ-initiated alignment with strategic drivers. Themes
associated with SQ constructs such as customer satisfaction, relationship and loyalty,
service recovery, service failure, servitization, etc., are evolving as strategic levers.
The level of analysis is shifting from customer-level analysis to strategic-level offer-
ings [24]. Service characteristics such as servicescape, service quality, quality, and
value provide cost leadership and enable strategic differentiation [53] and result in
customer satisfaction and retaining market share.
Expansion phase of SQ involves the application of service-driven approaches
across various sectors. Production line approach to service, service profit chain, and
service-driven company have been service design paradigms. Effective service design
has been supported by approaches such as customer contact, interpersonal, service
process matrix, strategic vision, blueprinting, taxonomy of service processes, and
service climate [25].
Technology is emerging as a key enabler of service-driven offerings. Technology
has created service industries of a scale, sophistication, complexity, and value-adding
24 A. Sachdeva and S. K. Gandhi

potential to match any manufacturing industry [15]. The SQ is becoming more broad
and interdisciplinary and requires diverse expertise [57]. This results in a lack of
agreement on terms, concepts, assumptions, theories, and methods [54]. Themes like
service design, service modeling, service-dominant logic, service adaptation, cross-
cultural impacts on service quality are getting more attention. Service value networks,
service innovation, new service development, and servitization are emerging as key
paradigms.
Models for operationalization of SQ range from personalized services to
technology-enabled services. On one hand, these models enable measurement of
SQ in quantitative terms and on the other hand links SQ constructs with customer’s
behavioral intentions [76]. Quality-driven organizations focus on the effectiveness
of SQ-driven intraorganizational relationships and their impact on serving customers
[28]. Capability to create a unique value proposition requires service innovations,
which are based on dynamic capabilities to simultaneously exploit and explore [18]
and adaptive capabilities [79] of stakeholders across embedded value chain network
[31]. Services are substituting manufacturing functions and operations strategies are
exploring how services can contribute to productivity, value creation, growth, flexi-
bility, and output quality.

2.3.1 Partnership, Coordination, and Collaboration

Exchange in the traditional economic sense entailed single-product transaction with

limited information sharing. However, present-day supply chains that are based on
repeated transactions, information sharing, and collaboration have high performance.
Information sharing on its own or through the redesign of supply chain processes
improves supply chain performance [46]. Supply chain processes driven by a seam-
less information system include quick response, vendor-managed inventory (VMI),
and collaborative planning, forecasting and replenishment (CPFR) [6]. CPFR, which
comprises three stages, namely, basic CPFR, developing CPFR, and advanced CPFR,
is a new form of collaboration that is based on the exchange of information between
the partners, as well as common planning and synchronization of activities and busi-
ness processes.
Supply chain collaboration may be defined as two or more independent organiza-
tions jointly working to align their supply chain processes in order to deliver value to
their end customers with greater success than acting alone [38, 69] and overcoming
constraints [29]. The different cost and revenue structures of supply chain partners
require co-performance evaluation, decision synchronization and incentive align-
ment [69]. Therefore, for effective collaboration supply chain performance metrics
such as reliability, flexibility and responsiveness, expenses, and assets/utilization
must be similar among the members [43]. Collaboration with upstream and down-
stream partners translates into efficient inventory management, mutual benefits, and
matching demand with supply [22], which improves the return on investment and
gains a competitive advantage. From a process perspective, collaboration entails
2 Operationalization and Measurement of Service … 25

joint redesigning of supply chain operations and streamlining interorganizational

processes, resulting in lower costs, higher quality, and faster operations [34]. Col-
laboration also enables organizations to focus on key supply chain processes such
as customer relationship management, demand management, order fulfillment, and
returns.
Many collaborative initiatives end up in failure [20] due to a number of reasons.
Forced collaboration may result in the exit of the uninterested member if the opportu-
nity emerges [52]. Power asymmetry among the supply chain members, such as in the
aerospace [47] and automobile industries [16], and the misuse of such power leads
to dissension and underperformance in the supply chain [49]. Kampstra et al. [42]
suggest that understanding the position of power and division of roles such as col-
laboration leader, collaboration coordinator, and remaining collaboration members
can serve as the basis for defining collaborative processes and laying down the future
course of action. For successful collaboration in the supply chain, we need to take a
strategic chain-wide perspective rather than focus at the individual entity. Synergies
created through collaborative relationships determine long-term competitiveness of
organizations [20, 33].

2.3.2 Enterprise-Wide View of the Supply Chain

This enterprise-wide view of the supply chain depicting linkages of the manufacturing
organization with its suppliers and distributors is presented in Table 2.1.
Summarizing the review of service quality measurement tools and debates, it
can be revealed that the total offering of industrial units may evolve gradually from
mostly tangibles to include services [14], and finally, develop into a relationship-
focused offering with the focus on issues related to service which are embedded
in various processes in the supply chain. Based on the discussion ensuing above,
we have culled out from the literature, key issues that need to be addressed for the
enhanced level of service quality in the supply chain. A select list of key issues is
summarized in Table 2.2.

2.4 Major Research Findings

Empirical exploration has been the dominating theme and the interview sched-
ule/survey method is the most popular method for conducting SQ research. Multi-
variate statistical methodologies such as exploratory factor analysis (EFA), multiple
regression and correlation, structural equation modeling (SEM), analytic hierarchi-
cal process (AHP), decision-making trial and evaluation laboratory (DEMATEL),
multi-attribute utility theory, fuzzy logic, graph-theoretic approach (GTA), interpre-
26 A. Sachdeva and S. K. Gandhi

Table 2.1 Coordination mechanisms in the supply chain

Coordination mechanism Supplier Manufacturer Distributor
A. Approaches
Centralized Individual System is managed by a single person
Decentralized Team based, Cooperative effort among supply chain
nexus-of-contract members at functional, cross-functional,
and interorganizational levels
B. Problem type
Structured/unstructured Decision domain Standards, rules, schedules, and plans
Formal/informal Roles and Design of role, mechanism to
responsibilities synchronize activities and flows, mutual
adjustment
C. Task specification
Input Define tasks to be Flexibility, solidarity, mutuality, conflict
performed, skill sets resolution, restrain in use of power,
needed, and coordinate reputation, information sharing, and
through norms collaborative product design
Processes
Output
Skillset
D. Policies
Price related Clearly laid down Quantity discount, Two-part tariff,
policies to govern buyback and return contract
Non-price related various forms of Quantity flexibility contracts,
transactions promotional allowances, allocation rules,
cooperative advertising, exclusive dealing
Flow related Vendor-managed inventory (VMI), quick
response (QR), collaborative planning
forecasting and replenishment (CPFR),
efficient consumer response (ECR)
E. Flow of information
Intra-organization Types of Voice mail, off-the-shelf application
implementation packages, ERP, etc.
Interorganizational technologies and EDI, shared databases, network
applications applications, electronic markets,
CAD/CASE data interchange and
repositories, and mobile computing
Source Seth et al. [68], Prakash et al. [64]
2 Operationalization and Measurement of Service … 27

tive structural modeling (ISM), neural network, etc., have been extensively used.
Review articles constitute much of the qualitative studies. Confirmatory factor anal-
ysis has been the dominating method. Recent years have seen the rise of fuzzy and

Table 2.2 Key issues pertaining to service quality in the supply chains
Key issue Description
A. Service quality
Intrinsic service quality Employees of various functional
• Intra-organizational departments treat each other as their
customers
• Interorganizational Treating supplier and distributor as valuable
partners and developing strong linkages with
them
Extrinsic service quality Levels of service offered by external
entities, i.e., suppliers and distributors to the
manufacturing unit
B. Satisfaction
• Product/service Satisfaction with the product and the
embedded service
• Financial benefits Tradeoff of product/service received with
expense incurred
C. Loyalty
• Future perspective Patronage of the product and the
manufacturing unit
• Recommendation Recommendation of the
products/manufacturing unit to others
• Switchover No switchover to competitors
D. Competitive advantage
Quality Delivering excellent service as per
• Specification specifications
Conformance to specifications, and delivery
as per schedule
Responsiveness of supply chain Time taken to fulfill an order, lead time,
• Production lead time order fill rate, etc. Time related to supply of
• Speed raw material and distribution of products
• Reliability How swiftly demand is fulfilled
Fulfilling demand with the right product and
as per agreed schedule
• Lead time in supply Time taken to fulfill a customer order
• Customer service level Customers should be satisfied with the
product received and the way demand was
fulfilled
(continued)
28 A. Sachdeva and S. K. Gandhi

Table 2.2 (continued)

Key issue Description
• Information flow Sharing of information by all supply chain
stakeholders
• Adaptability How supply chain stakeholders adapt to
environmental changes and changes in end
customers’ preferences, etc.
Flexibility Ability to meet special/ sudden demand
• Service flexibility Ability to adjust order
• Order flexibility
• Location flexibility Meeting demand from alternative sources
• Time flexibility Ability to meet time-based demand
E. Organizational performance
• Market share Continuous increase in market share and
becoming a market leader
• Financial performance Financial performance reduction in cost
incurred, and increase in profit margin

neural network based approaches. Exploration of neurological aspects of human

brain and its linkages with customer satisfaction is on the rise.

2.4.1 Actionable Framework

Summarizing the analysis and the findings of the research data, an actionable frame-
work is proposed for improving the efficiency and effectiveness of the supply chain.
The framework is shown in Fig. 2.5.

2.4.2 Managing Service Quality in Manufacturing Supply

Chains

Service quality in the manufacturing supply chains is a multidimensional construct.

Conceptually, SQ dimensions address performance standards, expertise, and phys-
ical elements of the stakeholder organizations as well as employees’ willingness
to assist in a timely manner with their knowledge and sensitivity. The services lit-
erature recognizes that there are two perspectives of service quality namely, the
functional/process (i.e., how) and the technical/outcome (i.e., what) perspectives.
Moreover, service quality evaluation is not based only on the outcome of service, but
also involves evaluation of the service-delivery process. Though scholars have still
not completely identified the attributes of technical quality, they are in agreement
that technical quality significantly affects customer’s perceptions of service quality.
2 Operationalization and Measurement of Service … 29

Align Service Quality

Strategy with
Manufacturing strategy

Differentiation for all Streamline unit’s

members of supply chain processes for supply
chain integration

Invest in service quality

Promote involvement
to strengthen the bond
through partnerships
and use technology as
enabler

Fig. 2.5 Framework for improving efficiency and effectiveness of supply chain

Against this backcloth, this chapter puts forward a three-pronged framework for the
conceptualization of service quality strategy in an organization’s supply chain. The
building blocks of the proposed framework include supply chain strategy and ser-
vice quality strategy. Therefore, as depicted in Fig. 2.6, managing service quality in
the supply chain is the vector sum of the manufacturing unit’s working toward its
suppliers, employees, and distributors.
The proposed framework is schematically represented in Fig. 2.7, and its compo-
nents are laid out hereunder.
The components of the supply chain strategy are the following:
• Supply chain objectives
• Supply chain processes
• Manufacturing unit’s focus
The components of the service quality strategy are the following:
• Service quality objectives
• Service quality processes
• Supply chain focus
The above-mentioned components constitute the axes of the three-dimensional
Cartesian coordinate system. The optimum service quality strategy is crafted by
mapping it with supply chain strategy. As the supply chain of a manufacturing unit
involves all the activities undertaken to fulfill a customer order, the imperative, there-
fore, would be to align the supply chain objectives with the objectives of the manu-
30 A. Sachdeva and S. K. Gandhi

Manufacturer working
towards Suppliers
Service Quality

Manufacturer working
towards Distributors

Manufacturer working
towards Employees

Fig. 2.6 Components of service quality in the supply chain

Supply Chain
Objectives
Supply Chain
Strategy
Service Quality
Objectives
Service Quality
Strategy

Supply Chain Processes

Service Quality Processes

Manufacturing
unit’s Focus
Supply Chain
Focus

Fig. 2.7 Supply chain strategy vis-a-vis service quality strategy

2 Operationalization and Measurement of Service … 31

facturing unit. Along similar lines, the objectives of service quality initiatives in the
supply chain should be integrated with the objectives of the supply chain.
The review of literature and findings of this research identify that service quality
is linked to loyalty primarily through operations and the market. Operations improve
process and design quality, reduce waste, fine-tune internal processes, and develop
synchronized linkages with suppliers and distributors, and thereby achieve opera-
tional efficiencies. By way of cost reduction and increase in product and service
reliability, these operational efficiencies improve the attractiveness of the products
and services. In the market, improved service quality enhances satisfaction and loy-
alty of suppliers, employees, and distributors, and lures them away from competitors
who are perceived low in service quality.

2.4.3 Recommendations

SQ-based processes need to be incorporated in the supplier–manufacturer, manu-

facturer–employees and manufacturer–distributor interfaces of the supply chain. A
focus on the singular link may not represent the holistic perspective. Service quality
based processes need to be incorporated at various dyads of the supply chain as per
the following recommendations:
i. Supplier–manufacturer dyad: Honest sharing of operational information, inte-
grating supply chain strategy, promptness in handling queries or failures atten-
tion to each other’s requirements, maintaining confidentiality in dealings, flexi-
bility in terms and conditions as per requirements, and preference for a long-term
collaborative relationship.
ii. Manufacturer–employee dyad: Mutual commitment to best serve one another,
developing employees’ skillfulness through training, maintaining a pleasant
work environment, encouraging workplace hygiene through recognition, open
communication, and friendliness.
iii. Manufacturing unit–distributor dyad: Endeavoring ease-of-doing-business
(EODB) and customer relationship management (CRM) by honest and timely
exchange of information, and developing trust, value and reciprocal benefits with
one another, making adjustments as per changes in the extrinsic environment to
market signals by mutual adjustment with distributors.
Thus, to achieve supply chain objectives it is vital for supply chain stakeholders
to coordinate, synchronize and integrate their activities to produce desired outputs
by incorporating service quality initiatives.
32 A. Sachdeva and S. K. Gandhi

2.4.4 Concluding Remarks

An attempt was made to study service quality in the simple supply chain of manufac-
turing unit. Service quality has a special role to play in continuous improvements. It
provides a useful framework to explore the consequences of service quality for both
upstream and downstream the chain and reports a strong significance.
The results of this study have demonstrated that for Indian manufacturing orga-
nizations, orientation to service quality is one of the means through which they can
strategize their supply chains. The results of this study confirm that service quality at
all sections (supplier, manufacturing unit, and distributor) of the supply chain can be
used as a differentiation strategy. For example, improving service quality may lead
to a reduction in lead time, improved delivery reliability, less reworks, etc., and thus
contribute to improvements in supply chain differentiation parameters, viz., flexible
design, timely delivery, and patronage intention.
This study and analysis of assessment and modeling of service quality for different
sections in supply chain highlights that manufacturing organizations have to focus
not only on their own service quality but also service quality of both upstream and
downstream partners. A focus on the singular link may not represent the holistic
perspective.
From this study, the key factors to manage service quality are identified as follows:
(a) Focus on both technical and functional quality,
(b) A pool of motivated employees,
(c) Know-how of service quality attributes operating in the supply chain,
(d) An effective feedback and implementation system,
(e) “Knock-their-socks-off” treatment among supply chain partners.
It may be noted that service quality is a continuous journey to a manufacturing
unit’s success and will act as an essential step in the enhancement of supply chain
management initiatives.

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Chapter 3
A Novel Framework for Evaluation
of Failure Risk in Thermal Power
Industry

Dilbagh Panchal, Mohit Tyagi and Anish Sachdeva

Abstract The aim of this research work is to develop a novel integrated frame-
work for improving the availability of Water Circulation System (WCS) of a thermal
power industry located in the northern part of India. Qualitative information related
to system’s operation has been collected on the basis of feedback from maintenance
experts/log book record and using that information, Failure Mode and Effect Anal-
ysis (FMEA) sheet was generated. Fuzzy ratings have been assigned by the experts
on the basis of designed linguistic scale for three risk factors, namely occurrence
probability (O), severity probability (S), and detection probability (D). Fuzzy Risk
Priority Number (FRPN) has been computed for each failure cause and ranking was
done in descending order. Further, for testing the stability and robustness of ranking
results fuzzy Evaluation Based on Distance from Average Solution (EDAS) approach
has been applied within fuzzy FMEA approach. Appraisal score values have been
computed as EDAS output and ranking of failure causes was done. Ranking results
were compared for effective decision-making of critical failure causes. The implork
shows its effectiveness in overcoming the limitations of rule base FMEA approach.
The ranking results would be supplied to the maintenance manager of the plant for
developing an effective maintenance program for WCS. The analysis result will be
highly useful in minimizing the total operational cost of the considered unit.

Keywords Thermal power industry · Water circulation system · Fuzzy FMEA ·

Failure · EDAS · Availability

D. Panchal (B) · M. Tyagi · A. Sachdeva

Department of Industrial and Production Engineering, Dr. B. R. Ambedkar National Institute of
Technology, Jalandhar 144011, Punjab, India
e-mail: panchald@[Link]
M. Tyagi
e-mail: mohitmied@[Link]; tyagim@[Link]
A. Sachdeva
e-mail: asachdeva@[Link]

© Springer Nature Singapore Pte Ltd. 2019 37

A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
38 D. Panchal et al.

3.1 Introduction

In India, coal-fired thermal power plants are the main source of power generation. The
economy of India is totally based on these thermal power plants as they contribute
nearly 70 percent of the total power supply generated from different sources. For
fulfilling the demand of power supply to each and every sector, availability of these
power plants plays a key role. Operation of heavy process plant like thermal power
industry is very complicated and due to this complexity failure prediction is a tough
ask from the system analyst. Failure is a common phenomenon for an industrial
system and has a serious impact on the operational/production cost of industry.
Sudden failure in the plant operation not only results in raising the operational cost
of the plant, but may also lead to serious accidents in the plant. For the decrease
in production cost of a process plant, it is essential to minimize its maintenance
cost which contributes more than 15% to the total production cost [10, 12, 21].
Hence, for this decrease, a quality maintenance policy is needed to be developed for
which identification of critical failure causes/critical equipment of a system is a must.
Furthermore, the identification of critical components of a complex industrial system
is a difficult task for the maintenance management of a plant. It is due to the issues like
vagueness of operational information/data, human error, etc. [13, 15, 19]. Hence, for
addressing these issues it is essential to develop a knowledge-based decision support
system for the considered system. For the accuracy in the identification of critical
failure causes/critical equipment of a system operational knowledge of a plant is
highly useful. Therefore, considering the operational knowledge of experts as a key
factor, knowledge-based risk analysis of an industrial system is essential to be carried
for improving plant availability and profitability.

3.2 Research Background

In the past, it has been reported that various researchers have implemented different
frameworks for performing risk analysis in different sectors. Xu et al. [22] devel-
oped Fuzzy MATLAB Toolbox based framework for carrying the risk analysis of
an automobile engine system. Sharma et al. [16] presented the application of fuzzy
FMEA approach for analyzing the risk associated with the paper plant [20]. Sharma
et al. [17] again expounded the application of fuzzy-based decision support system
for identifying the critical component of the paper industry. Adar et al. [1] presented
the application of fuzzy FMEA for performing the risk analysis of water gasifica-
tion subsystem of a sewage treatment plant. Panchal and Kumar [9] presented the
application of fuzzy methodology based framework for analyzing the risk issues of
water treatment plant of thermal power plant. Panchal and Kumar [12] developed
an integrated framework for the risk analysis of compressor house unit in a thermal
power industry. The framework so developed in the above studies prove to be very
useful for studying the risk issues of complex industrial system and the results so
3 A Novel Framework for Evaluation of Failure Risk in Thermal … 39

Qualitative information from plant experts and maintenance log book

FMEA sheet generation

Matrix generation

Designing of fuzzy linguistic scale

for risk factors Crisp values averages for risk
factors
Fuzzy Rating assignment to risk
factors PDA and NDA values calculation
Fuzzy
EDAS
Computation of fuzzified FRPN Fuzzy FMEA Tabulate weighted sum and
value
normalize values

Computation of defuzzified value

Appraisal score outcome
for failure causes

FRPN ranking EDAS Ranking

Fig. 3.1 Integrated framework

obtained with the implementation of these frameworks are very helpful for designing
the maintenance policy for the system. In the above-cited work, IF-THEN fuzzy rule
based FMEA approach based framework has been implemented for studying the risk
issues of industrial systems. Although, the proposed framework is very useful there
are some other limitations which are associated with this framework like similar
ranking for more than one failure cause? Complete dependency on the quality of IF-
THEN rules is also a big concern for the accuracy of decision-making results. Direct
involvement of experts was also missing here. Considering these issues as a scope for
further improvement there is a need to develop a new decision-making framework,
which can overcome these limitations in an effective and efficient manner.
From the above-cited works, it has been noticed that the proposed framework is
not developed yet and its application is not found in any area. Current research work
presents a novel framework with its application on a WCS of a coal-fired thermal
power plant located in the northern part of India. The proposed integrated framework
with it layout is represented in Fig. 3.1.
First, qualitative information collected from the experts and log book record has
been used to generate fuzzy linguistic scale for three risk factors (O, S, and D). Using
expert’s knowledge FMEA sheet has been generated; fuzzy ratings were assigned
to tabulate the FRPN for each failure cause. Second, fuzzy EDAS approach was
40 D. Panchal et al.

implemented within improved fuzzy FMEA and matrix were generated for each set
of failure causes listed under a subsystem. Positive Distance from Average (PDA)
and Negative Distance from Average (NDA) values were tabulated. Relative weight
values for three experts have been considered for computed weighted sum values
for PDA and NDA. Further, appraisal score values were tabulated, and on the basis
of these values, ranking of failure causes was done and compared with improved
FMEA approach based result for judging the stability of the risk results.

3.3 Fuzzy Concepts and Decision-Making Methods

3.3.1 Triangular and Trapezoidal Membership Functions

Membership functions under fuzzy set theory play an important role in considering
the vagueness or uncertainty in the expert’s judgment. Triangular and trapezoidal
membership functions have been used in the present work because of its ease and
a wide range of consideration of the uncertainty in the collected information. The
equations for triangular and trapezoidal membership functions are represented as
[11, 14, 17, 23–25].
⎧
⎪
⎨ b0 −a0 , a0 ≤ t ≤ b0
x−a0

−x
μ Š (t)  cc0−b , b0 ≤ t ≤ c0 (3.1)
⎪
⎩ 0,0 0 otherwise
⎧
⎪
⎪
x−a0
, a0 ≤ t ≤ b0
⎪
⎨ b0 −a0
1, b0 ≤ t ≤ c0
μ Š (t)  d−x (3.2)
⎪
⎪ , c 0 ≤ t ≤ d0
⎪
⎩ d−c
0, otherwise

where μ Š (t) → membership function with triangular and trapezoidal fuzzy number
represented as (a0 , b0 , c0 ) and (a0 , b0 , c0 , d0 ), respectively.

3.3.2 Improved Fuzzy FMEA

FMEA, first developed by NASA in 1963 since then it has been used effectively for
the system and safety analysis of various systems in different sectors such as thermal
power industry, paper industry, aerospace, medical, automotive, and nuclear [2, 7, 8,
14–16, 18]. To overcome the limitations of traditional FMEA and rule base FMEA
as mentioned in Sect. 3.2, there is a need to develop an improved FMEA approach.
The various steps of the improved FMEA approach are as follows.
3 A Novel Framework for Evaluation of Failure Risk in Thermal … 41

Table 3.1 Defined linguistic

Linguistic Probability of failure Fuzzy ratings
terms for O
terms
Very high (VH) Nearly unavoidable (8,9,10,10)
failure
High (H) Failure recur (6,7,8,9)
Moderate (M) Rare failures (3,4,6,7)
Low (L) Few failure (1,2,3,4)
Remote (R) Improbable failure (1,1,1,2)

Table 3.2 Defined linguistic

Linguistic terms Failure probability Fuzzy ratings
terms for S
Risk without High severity (9,10,10)
warning (RWOW) without any
warning
Risk with warning High severity with (8,9,10)
(RWW) warning
Very high failure System (7,8,9)
(VH) unavailability with
grave failure
High damage (H) System (6,7,8)
unavailability with
equipment damage
Moderate damage System (5,6,7)
(M) unavailability with
minor damage
Low damage (L) System inoperable (4,5,6)
without damage
Very low (VL) Significant (3,4,5)
degradation in
system’s
performance
Minor (MR) Slight degradation (2,3,4)
in system’s
performance
Very minor (VMR) Inoperable system (1,2,3)
with a few minor
problems
None (N) No effect (1,1,2)

Step 1 Assign fuzzy ratings on the basis of defined linguistic terms (Tables 3.1,
3.2, and 3.3) for three risk factors O, S, and D [23].
Step 2 The equations for computing the aggregated fuzzy ratings for three risk
factors are represented as
42 D. Panchal et al.

Table 3.3 Defined linguistic

Linguistic terms Severity effect Fuzzy ratings
terms for D
Completely No possibility (9,10,10)
uncertain (CU)
Very remote (VR) Very remote (8,9,10)
possibility
Remote (R) Remote possibility (7,8,9)
Very low (VL) Very low possibility (6,7,8)
Low (L) Low possibility (5,6,7)
Moderate (M) Moderate (4,5,6)
possibility
Moderately high Moderate–high (3,4,5)
(MH) possibility
High (H) High possibility (2,3,4)
Very high (VH) Very high (1,2,3)
possibility
Almost certain Almost sure (1,1,2)
(AC)

⎛ ⎞

k 
k 
k 
k 
k
Ťio  p j Ťioj  ⎝ p j Ťioj L , p j Ťioj M1 , p j Ťioj M2 , p j ŤiojU ⎠ (3.3)
j1 j1 j1 j1 j1
⎛ ⎞

k 
k 
k 
k 
k
Ťi S  p j Ťi Sj  ⎝ p j Ťi Sj L , p j Ťi Sj M1 , p j Ťi Sj M2 , p j Ťi SjU ⎠ (3.4)
j1 j1 j1 j1 j1
⎛ ⎞

k 
k 
k 
k 
k
Ťi D  p j Ťi Dj  ⎝ p j Ťi Dj L , p j Ťi Dj M1 , p j Ťi Dj M2 , p j Ťi DjU ⎠ (3.5)
j1 j1 j1 j1 j1

where Ťioj , Ťi Sj and Ťi Dj → fuzzy rating of n failure mode for three risk factors O, S
and D
k
p j → relative importance weights for k experts with satisfying the condition pj 
j1
1 and p j > 0.
Step 3 Equation for computing FRPN output is represented as
 ϕ O  ϕS  ϕ D
F R P Ni  Ťio × Ťi S × Ťi D , i  1, 2, 3 . . . n (3.6)

where ϕ O , ϕ S and ϕ D → risk factors fuzzy weights.

The FRPNS are computed using alpha-level sets equations for each risk factor as
  L  L  L 
(F R P Ni )αL  E X P ϕ O .ln Ťi O + ϕ S .ln ŤiS + ϕ D .ln Ťi D , where i  1, 2 . . . n
α α α
(3.7)
3 A Novel Framework for Evaluation of Failure Risk in Thermal … 43
  U  U  U 
α  E X P ϕ O .ln Ťi
(F R P Ni )U + ϕ S .ln ŤiS + ϕ D .ln Ťi D , where i  1, 2 . . . n
O
α α α
(3.8)
Step 4 Equation for computing the defuzzified values of fuzzified FRPN is given
as [4, 15]
 ∫c yρ (y)dy
b Q̃
ȳ0 Q̃  c (3.9)
∫b ρ Q̃ (y)dy

where ȳ0 Q̃ → defuzzified value.
Step 5 Prioritize the failure causes in decreasing order of FRPN values.

3.3.3 EDAS Method

EDAS method is another effective decision-making approach. This method is useful

to deal with the conflicting criteria. This method is useful in comparison to other
decision-making method such as Technique for Order of Preference by the Similarity
to Ideal Solution (TOPSIS) and VIseKriterijumska Optimizacija I Kompromisno
Resenje (VIKOR), because under it best alternative is selected on the basis of average
solution rather than the Negative or Positive ideal solution values [5, 6]. In the
present work, this method is applied because alternative selection becomes easy as
less calculation is required to be done [6]. Procedural steps of EDAS approach are
as follows [5, 6].
Step 1 Defuzzify fuzzy rating values obtained for three risk factors (O, S, and D)
under improved fuzzy FMEA approach. Trapezoidal and triangular fuzzy ratings are
converted into crisp values [3].
Step 2 Generate a decision matrix (A) for the set of failure causes associated with
each subsystem and is represented by equations as
⎡ ⎤
A11 A12 · · · A1m
  ⎢ A21 A21 · · · A2m ⎥
⎢ ⎥
A  Ai j n×m ⎢ . .. .. .. ⎥ (3.10)
⎣ .. . . . ⎦
An1 An2 · · · Anm

where Ai j → crip value of the ith failure cause of the particular subsystem on jth
risk factor.
Step 3 Compute the average of the crisp values under each risk factor as
n
Ai j
AV  i1 (3.11)
n
44 D. Panchal et al.

Step 4 Tabulate positive and negative distances from average (P D A, N D A)

according to the type of risk factor (beneficial and non-beneficial). The equations
according to the required criteria are shown as
 
PDA   pda i j (3.12)
n×m
 
N DA   nda i j (3.13)
n×m

Since in the current study, three risk factors are considered as non-beneficial,
therefore, under such condition P D A and N D A are computed as
  
max 0, AV j − Ai j
P D Ai j  (3.14)
AV j
  
max 0, Ai j − AV j
N D Ai j  (3.15)
AV j

Step 5 Compute the weighted sum of P D A and N D A for each failure cause by
using equations as


m
W Pi  g j × P D Ai j (3.16)
j1
m
W Ni  g j × N D Ai j (3.17)
j1

where g j → relative importance weight values of three risk factors.

Step 6 Normalize W P and W N values for all failure causes by using equations
as

W Pi
N W Pi  (3.18)
maxi (W Pi )
W Ni
N W Ni  1 − (3.19)
maxi (W Ni )

Step 7 Compute appraisal score (as  i ) for all failure causes by using Eq. 3.20 and
 i values in ascending order.
rank the failure causes on the basis of as

1
i 
as (N W Pi + N W Ni ) (3.20)
2
 i ≤ 1.
where 0 ≤ as
3 A Novel Framework for Evaluation of Failure Risk in Thermal … 45

Turbine
Cooling Tower

BLR Drum Condenser

Hot
High pressure heater water

Economizer HPH-6 HPH-5 Condensate

extraction
pump

DM Plant
BFP-A BFP-B BFP-C LPH-1

LPH-2
Boiler feed pump
Low pressure heater
LPH-3

Deaerator

Fig. 3.2 Schematic diagram of WCS

3.3.4 Case Study

For the application of the proposed framework, WCS an important functionary unit of
a coal-fired thermal power plant (Capacity-1368.8 MW) located in the northern part
of India has been considered in the present work. WCS of considered industry consists
of five main subsystems namely Condensate extraction pump, Low-pressure heater,
Deaerator, Boiler feed pump, and High-pressure heaters. The schematic diagram of
the Water Circulation System is shown in Fig. 3.2.

3.4 Proposed Framework Application

3.4.1 Improved FMEA Application

Under improved FMEA, various failure causes associated with different subsystems
of the considered system have been listed by carrying a brainstorming session with
the plant’s operational experts. FMEA sheet has been prepared (Table 3.4) in which
three experts were asked to allocate fuzzy ratings (on the basis of defined linguistic
46 D. Panchal et al.

terms shown in Tables 3.1, 3.2, and 3.3) to three risk factors. Due to space limitation,
FMEA sheet with the fuzzy rating provided by Expert-1 is shown in Table 3.4.
Further, considering risk factors (O, S, and D) fuzzy ratings, weight values as
ϕ O  0.45, ϕ S  0.35, and ϕ D  0.20 and expert’s relative importance weights
as ( p1  0.25, p2  0.35, and p3  0.40) aggregate fuzzy rating were computed

Table 3.4 FMEA sheet

Components Function Potential Potential Potential O S O
failure effect of cause of
mode failure failure
Condensate To pump Leakage Operational Seal failure M VH VH
extraction out the efficiency [CP1 ]
pump condensate loss
Gland M M M
failure
[CP2 ]
Jamming Bearing H MR MH
seizure
[CP3 ]
Rotor H VH VH
jamming
[CP4 ]
Improper M RWOW M
greasing
[CP5 ]
Low-/high- To increase Leakage System Tube M H H
pressure the efficiency puncture
heater temperature decrease [PH1 ]
of the
condensate
Gas kit L RWW VH
failure
[PH2 ]
Chocking System Improper H H M
efficiency cleaning of
decrease safety valve
[PH3 ]
Deaerator To remove Blocking Operational Improper L L L
the efficiency cleaning of
dissolved decrease spray
gases from nozzle
the feed [DT1 ]
water
Presence of VH H R
foreign
particles
[DT2 ]
(continued)
3 A Novel Framework for Evaluation of Failure Risk in Thermal … 47

Table 3.4 (continued)

Components Function Potential Potential Potential O S O
failure effect of cause of
mode failure failure
Valve Operational Safety L M L
failure efficiency valve
decrease wear/tear
[DT3 ]
Boiler feed
pump
Filter To filter the Blocking Efficiency Filter VH VH VH
water decrease chocking
[BP1 ]
Buster To increase Leakage Operational Mechanical M VH H
pump the flow of efficiency seal leakage
water decrease [BP2 ]
Hydraulic H M M
coupling
leakage
[BP3 ]

using Eqs. 3.3–3.5. Here expert’s relative importance values have been considered
on the basis of their seniority in terms of their experience, whereas weights values for
three risk factors were considered on the basis of expert’s feedback. Further, by using
Eqs. 3.7 and 3.8 upper and lower bound values for different α cut (range lies between
0 and 1) were computed for each failure causes and are used in Eq. 3.6 for computing
FRPN outputs. The fuzzified FRPN values so obtained has been defuzzified by using
Eq. 3.9 and the priorities were allocated to listed failure causes in descending order
as shown in Table 3.5.

3.4.2 Fuzzy EDAS Application

Further, for testing the stability of the ranking results, fuzzy EDAS approach has been
applied. Under the EDAS approach, fuzzy ratings assigned under improved fuzzy
FMEA approach has been used in fuzzy EDAS and are converted into crisp values by
using the relations [3]. Using crisp value for the defined linguistic term matrix was
developed (using Eq. 3.10) for the set of failure causes listed under each subsystem
of WCS. Using Eq. 3.11, the average of the crisp values has been tabulated under
three risk factors (O, S, and D). Here, the three risk factors have been considered
as non-beneficial criteria and PDA and NDA values were computed for the listed
failure causes by using Eqs. 3.12 and 3.13. Further, considering expert’s relative
weight values the same as used under improved fuzzy FMEA weighted sum PDA
and NDA values have been tabulated for each failure causes (considering risk factor
48 D. Panchal et al.

Table 3.5 Improved FRPN and fuzzy EDAS approach based ranking
Sr. No Failure FRPN score FMEA  i values
as EDAS
causes values ranking (EDAS ranking
output)
1 CP1 4.6189 4 1.0000 5
2 CP2 5.6585 3 0.3755 3
3 CP3 6.5817 2 0.2966 2
4 CP4 4.2017 5 0.7240 4
5 CP5 7.4095 1 0.0000 1
6 PH1 4.4109 3 1.0000 3
7 PH2 6.1027 1 0.1127 2
8 PH3 5.3853 2 0.0474 1
9 DT1 5.2359 3 1.0000 3
10 DT2 6.5433 2 0.4881 2
11 DT3 6.8841 1 0.1420 1
12 BP1 6.4457 3 1.0000 3
13 BP2 6.8553 1 0.1193 1
14 BP3 6.2545 2 0.3087 2

as non-beneficial criteria) by using Eqs. 3.14 and 3.15. Using Eqs. 3.16 and 3.17,
normalized values for weighted sum PDA and NDA values have been computed.
 i ) values for each failure cause
Using these values in Eq. 3.20, appraisal score (as
have been tabulated and ranking of failure causes was done in ascending order and
comparison of results has been done as shown in Table 3.5.

3.5 Result Discussion

Table 3.5 compares the raking results given by fuzzy FMEA and EDAS analysis.
From comparison, it has been observed that the causes CP5, DT3, and BP2 of conden-
sate extraction pump, deaerator, and boiler feed pump have been prioritized/ranked
as 1 with improved FMEA outputs (4.6189, 6.8841, and 6.8553) and fuzzy EDAS
outputs (1.0000, 0.1420, and 0.1193), respectively. Comparison of ranking results
clearly shows that out of total 14 listed failure causes only 4 failure causes are with
different rankings, whereas 10 failure causes show similar ranking. The similarity in
ranking results shows the stability of ranking results and thus the robustness of the
proposed integrated framework is also confirmed in this work.
3 A Novel Framework for Evaluation of Failure Risk in Thermal … 49

3.6 Conclusion

The current study focuses on the application of the proposed framework on WCS of
a coal-fired thermal power plant under uncertain environment. Triangular and trape-
zoidal membership functions are used with the proposed framework for considering
uncertainty/vagueness in the collected information/experts feedback. Causes CP5 ,
DT3, and BP2 are identified as the most critical one as they have been ranked as first.
A similarity in ranking results validates the application of the proposed framework.
Table 3.5 results show no overlapping of ranking with the proposed framework,
which means that the limitations of traditional FMEA, fuzzy rule base FMEA–Grey
Relation approaches based framework has been overcome in an effective and effi-
cient manner. As the analysis ranking results show consistency, therefore framework
proves to be highly useful for the management of the considered thermal power
industry and there would be no confusion for maintenance managers in designing
the time interval for an optimal maintenance policy. The proposed framework-based
analysis results totally depend upon the correctness of the data obtained from dif-
ferent sources. For considering the point of the correctness of information fuzzy
set, theory-based concepts have been incorporated within the proposed framework.
In future, the proposed framework could be implemented on other real industrial
systems of different process industries and also it can be modeled with other math-
ematical theories for further improvements.

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Chapter 4
Modeling and Analysis of Critical Success
Factors for Implementing the IT-Based
Supply-Chain Performance System

Mohit Tyagi, Dilbagh Panchal, Ravi Pratap Singh and Anish Sachdeva

Abstract The key concern in competitive market is to maximize the performance as

well as growth of the organization. To perform better among their competitors, every
industry/company is trying to identify the critical success factors (CSFs) which will
enable them to implement the latest technology changes in order to set a long-term
sustainable edge. The present research identifies the critical success factors to enact-
ment of Information Technology (IT) structure for better supply-chain performance
system in auto industry particularly under Indian context. The aim of present research
work is to recognize and examine the CSFs for implementing the IT-enabled supply-
chain performance system. To achieve the aim, various success factors (SFs) were
recognized on the basis of literature review/expert’s opinions and “Interpretive Struc-
tural Modeling” (ISM) with preference rating has been applied as a hybrid approach.
Through ISM, interrelationships among the identified SFs have been determined. To
know the driving and dependence behavior of considered success factors, this model
was developed and to visualize the “driving power” and “dependence power” rela-
tions, MICMAC analysis was accomplished. After that based on ISM model leveling
(through cluster), a list of “critical success factors” (CSFs) was formulated in order to
prioritize them using preference rating approach. The findings of the present research
work may be helpful for managers in forming strategies/policies for implementing
the IT-enabled supply-chain performance system effectively and efficiently.

Keywords Supply-chain management · Information technology · Critical success

factors · ISM approach · Preference rating approach

M. Tyagi (B) · D. Panchal · R. P. Singh · A. Sachdeva

Department of Industrial and Production Engineering, Dr. B. R. Ambedkar National Institute of
Technology, Jalandhar 144011, Punjab, India
e-mail: mohitmied@[Link]
D. Panchal
e-mail: panchald@[Link]
R. P. Singh
e-mail: singhrp@[Link]
A. Sachdeva
e-mail: asachdeva@[Link]
© Springer Nature Singapore Pte Ltd. 2019 51
A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
52 M. Tyagi et al.

4.1 Introduction and Background

Indian automobile industry is one of the key contributors to National Economy; it

accounts for 7.1% of the GDP, 45% of the manufacturing GDP, contributed 4.3%
to exports, and 13% to excise revenues. Indian government with “Make in India”
program is designed to simplify asset, adoptive innovation, improve skill enlarge-
ment, defend intellectual property, and form best in period manufacturing setup. Auto
industry is giving lot of thrust to become more competitive and to use best in class
processes and practices.
Many authors have defined supply-chain management (SCM) in different con-
texts. According to Womack and Jones [37], SCM is a crucial module to build orga-
nization more operative and competent in current business environment. To stay with
competitive environment, most of the companies are putting lot of efforts and time
to expand their supply-chain recital in order to reduce the overall operational cost.
Tyagi et al. [32] defined Information Technology (IT) as equipment used to support
information gathering, processing, and distribution, with composition of hardware
and software technologies. Bayraktar et al. [3] found that firms are concentrating to
build an IT-based platform in order to achieve the SCM training to improve their
performance in worldwide viable marketplace.
According to Chen and Paulraj [4], application of information technology is emit-
ting the positive effect on performance system of an organization in order to enhance
their competitiveness and being more effective toward financial structure improve-
ment because supply-chain performance system contains the various extents like
“cost, quality, flexibility, and delivery.” Pereira [29] stated that IT is a competent
instrument which improves the info stream and also builds a vigorous and resistant
supply-chain network. The IT-based system takes proficiency toward equal superior
performance of the main organization and its associates of supply-chain network
[13].
In the recent years, IT takes grew a higher visibility and effectiveness toward
improving the supply-chain performance system under different contexts. In current
visualizing practices, SCM-based actions are altered from “electronic data inter-
change (EDI) systems” and “enterprise resource planning systems” to internet–in-
tranet to care supply-chain management [6]. Mentzer et al. [21] detected that practice
of contemporary skills in supply chain can clue to gains like price saving, superiority
enhancement, transfer and maintenance, and better cheap gain. Du et al. [7] stated
that IT-based supply chain is very beneficial in terms of providing a flexible platform
for better responsiveness and dynamic competitiveness [33].
The role of IT system inter-organizational factors is becoming more important in
favor to integrate the companies on both sides, upstream and downstream. Effica-
cious execution among different organizational systems entails the cooperation and
promise of exchange associates [5]. Therefore, it is easy to say that amiable relation-
ships and partnerships form the basis of successful implementation (Gunasekaran
and Ngai [11]; Panchal and Kumar [27]). Based on literature review, it has also been
found that IT-enabled supply chain gives a visualized picture of trusting relation-
4 Modeling and Analysis of Critical Success Factors … 53

ship among the trading partners which works as the main success factor in order to
build a long-term relationship. Its implementation helps in creating the clear vision
and strategy for a company in order to satisfy the stakeholders and customers as
well. Leidner and Kayworth [17] found that success rate of an organization may be
enhanced with the implementation of IT system [28]. Soliman and Janz [30] devel-
oped a model in order to visualize the trusteeship relationship based on IT system
among the organizations.

4.2 Proposed Methodology

In this research work, a combination of “Interpretive Structural Modeling (ISM)”

and “Preference Rating Approach” has been applied as a hybrid platform in order to
achieve the objective.

4.2.1 Interpretive Structural Modeling Approach

ISM is an approach which is useful in analyzing the intricate socio-fiscal system [36].
It is an erudition practice that frequently recycled to provide vital kind of intricate
conditions, as well as to place composed a passage of achievement for resolving the
problems [16, 15].
There are various existing phases of interpretive structure modeling [14, 34] as
summarized below: first recognize and conscript the success factors/issues related
to IT-based supply-chain management and develop an appropriate association for
each couple of factors recognized earlier. Further, it is mandatory to cultivate the
structural self-interaction matrix (SSIM) for factors/issues based on pairwise inter-
actions among the considered factors. After that based on SSIM a reachability matrix
is structured with a check of transitivity rule, which follows the concept “Zeroth law
of thermodynamics.” Then, flow graphs have been formulated without indicating
transitive links, and then ISM model has been developed by converting the result-
ing diagraphs. For one sight understanding, a flowchart of ISM approach has been
structured as shown in Fig. 4.1.

4.2.2 Preference Rating Approach

The preference rating approach is newly developed method by Nahm et al. [24]
to govern the comparative importance scores among the considered factors/issues.
Under this method, graph theory-based representations are to be used to exemplary
the human’s imperfect or indeterminate preference edifice, and these graphical rep-
resentations are known as preference graphs (PGs) Nahm and Ishikawa [22, 23]. As
54 M. Tyagi et al.

Recognition of success factors

related to IT implementation in
Literature
review and
Expert’s
Create appropriate relationship
Opinion
between Success factors (i,j)

Generate a Structural Self

Interaction Matrix

Formulation of reachability
matrix and compute driving and
dependence power of SF’s

Divide the Reachability Matrix

into altered stages/levels

Conical formulation of
Reachability Matrix

Eradicate existence Transitivity

Swap factor Nodes with

Association declarations

Any
conceptual
Inconsistency?

Symbolize Association
statement into modell for SF’s
of IT implementation in SCM

Fig. 4.1 ISM flowchart

4 Modeling and Analysis of Critical Success Factors … 55

Table 4.1 Set of recognized

Sr. no. Factors impacting IT Authors
success factors (SFs)
implementation
1 Top management Wang and Elhog [35],
commitment/support Gunasekaran and Ngai
[10]
2 Clear vision and Griffin [9]
business strategy
3 Effective project Al Khalil [2]
management
4 Organizational culture Cheng [5], Hartono
et al. [12].
5 Change management Magnan et al. [20]
6 Effective Devaraj and Kohli [6]
communication
7 Education and training Okur et al. [25]
8 Focused performance Okur et al. [25], Olugu
measures et al. [26]
9 Cooperation and Gunasekaran and Ngai
commitment of trading [11]
partners
10 Trust among channel Akkermens et al. [1]
members
11 User support and Ellram [8]
involvement
12 Project team Lohman et al. [19]
composition

an advantage, this method provides degree of dominance of each factor over another
factor which helps in prioritizing the considered factors. A step-to-step route of this
approach is explained in the next section with numerical illustration.

4.3 A Case Illustration

To drive the implementation of the present methodology, an example of auto industry

situated at National Capital Region (NCR) of India was considered. The various
substantial critical success factors related to IT-enabled supply-chain performance
system were recognized on the root of previous work done and conversation by park
professionals and are set as in Table 4.1.
In this present work for recognizing the appropriate relationship among the SFs
of IT implementation in SCM, twofold groups of experts from college circles and
four groups of experts from auto industry have been referred, each group having
three to four experts. The selected experts (academia and industry) have appropriate
56 M. Tyagi et al.

Table 4.2 Structural self-interaction matrix (SSIM)

Factors 12 11 10 9 8 7 6 5 4 3 2
Top management 1 V X A V X V A V V V V
commit-
ment/support
Clear vision and 2 V A O V V A A V O V
business strategy
Effective project 3 V V A X X O A V A
management
Organizational 4 V A X V O X A V
culture
Change 5 O A A A V A A
management
Effective 6 V V V V X O
communication
Education and 7 O X O O A
training
Focused 8 A A A A
performance
measures
Cooperation and 9 A X A
commitment of
trading partners
Trust among 10 O V
partners
User support and 11 O
involvement
Project team 12
composition

knowledge toward the IT-based supply-chain system in Indian auto industry. On

the basis of appropriate relationship among the factors, Structural Self-Interaction
Matrix (SSIM) has been established. There are standard symbols to represent the
track of association between the factors (i and j) (Table 4.2):
V Feature i will help to accomplish factor j
A Feature j will help to accomplish factor i
X Feature i and j will help to accomplish each other and
O Feature i and j are disparate
Based on SSIM, an initial reachability matrix was established using the following
instructions:
• If the {i, j} cell value in the SSIM is V, then fix the {i, j} score 1 in the reachability
matrix and the { j, i} score to 0.
4 Modeling and Analysis of Critical Success Factors … 57

• If the {i, j} cell value in the SSIM is A, then fix the {i, j} score 0 in the reachability
matrix and the { j, i} score to 1.
• If the {i, j} cell value in the SSIM is X, then fix the {i, j} score 1 in the reachability
matrix and the { j, i} score to 1.
• If the {i, j} cell value in the SSIM is O, then fix the {i, j} score 0 in the reachability
matrix and the { j, i} score to 0.
After that by applying the rule of transitivity, final reachability matrix has been
structured as exposed in Table 4.3. To determine the reachability set, partitions have
been made in final reachability matrix. For level partition, the factors have equal
reachability set and intersection set subsists at level “I” and conquer the highest level
in ISM-based model [14]. The factors established at “level-I” are superfluous from
the next process, which have been made with the lasting factors and by retelling the
above procedure and make these repetitions continuous till the stages/levels of each
factor were finalized. A summary of level partition is exposed in Table 4.4.
Based on level divination rule, an ISM-based model has been structured for the
success factors of IT-based supply-chain performance system. The model shows
relationship among the success factors. Using final reachability matrix, an organized
model is formed and diagraph is developed. The diagraph was converted into ISM
model as exposed in Fig. 4.2, which displays the driving and dependence behavior
of the considered factors.
From Fig. 4.2, it is clear that top management commitment practices the ground
of ISM ladder and is the main success factor for IT-enabled supply chain. ISM
hierarchy helps to explain mutual relationship among SFs. Top management com-
mitment/support drives organizational culture, effective communication, and trust
among channel partners which form the level II at ISM hierarchy. These three SFs
are interrelated that is effective communication helps to achieve trust among chan-
nel members. Similarly, organizational culture helps in effective communication
and vice versa. These three SFs help to achieve clear vision and business strategy
formed by top management at level III of ISM hierarchy. Then, vision and business
strategy forms the base for cooperation and commitment of trading partners, edu-
cation and training, and project team composition at level IV. At level IV, SFs have
mutual relationship that is based on project team composition education and training
is decided. The SFs exist on level IV helps to achieve SFs of level V that is user
support and involvement, effective project management and change management.
Effective project management helps user support and involvement, which in turn
helps to change management. At Level V, SFs help to achieve focused performance
measures set for IT implementation, which is at level VI of ISM ladder.

4.4 MICMAC Analysis

MICMAC analysis reveals the classification of factors on the basis of driving and
dependence power in four segments as shown in Fig. 4.3. To determine the value
 58

Table 4.3 Final reachability matrix

SF 1 SF 2 SF 3 SF 4 SF 5 SF 6 SF 7 SF 8 SF 9 SF 10 SF 11 SF 12 Driving power
SF 1 1 1 1 1 1 1 1 1 1 1 1 1 12
SF 2 1 1 1 0 1 1 1 1 1 0 1 1 10
SF 3 1 1 1 1 1 1 1 1 1 0 1 1 11
SF 4 1 1 1 1 1 0 1 1 1 1 1 1 11
SF 5 1 0 1 0 1 1 1 1 0 0 0 0 6
SF 6 1 1 1 1 1 1 1 1 1 1 1 1 12
SF 7 1 1 1 1 1 0 1 1 1 1 1 1 11
SF 8 1 1 1 1 1 1 1 1 1 1 1 1 12
SF 9 1 1 1 1 1 1 1 1 1 0 1 1 11
SF 10 1 1 1 1 1 1 1 1 1 1 1 1 12
SF 11 1 1 1 1 1 1 1 1 1 1 1 1 12
SF 12 1 0 1 0 1 1 1 1 1 0 1 1 9
Dependence power 12 10 12 9 12 10 12 12 11 7 11 11
M. Tyagi et al.
4 Modeling and Analysis of Critical Success Factors … 59

Table 4.4 Level partition (Iteration II–VI)

CSFs “Reachability set” “Antecedent set” “Intersection” “Level”
1 1, 2, 3, 4, 5, 6, 7, 9, 10, 11, 12 1 1 VI
2 2, 3, 5, 7, 9, 11, 12 1, 2, 4, 6, 10 2 IV
3 3, 5, 9, 11, 12 1, 2, 3, 4, 5, 6, 7, 9, 10, 11, 12 3, 5, 9, 11, II
12
4 2, 3, 4, 5, 6, 7, 9, 10, 11, 12 1, 4,6, 10 4, 6, 10 V
5 3, 5, 9, 11, 1, 2, 3, 4, 5, 6, 7, 9, 10, 11, 12 3, 5, 9, 11, II
6 2, 3, 4, 5, 6, 7, 9, 10, 11, 12 1, 4, 6, 10 4, 6, 10 V
7 3, 5, 7, 11, 12 1, 2, 4, 6, 7, 10, 12 7, 12 III
9 3, 5, 9, 11 1, 2, 3, 4, 5, 6, 9, 10, 12 3, 5 III
10 2, 3, 4, 5, 6, 7, 9, 10, 11, 12 1, 4, 6, 10 4, 6, 10 V
11 3, 5, 9 1, 2, 3, 4, 5, 6, 7, 9, 10, 11, 12 3, 5, 9 II
12 3, 5, 7, 9, 11, 12 1, 2, 3, 4, 5, 6, 7, 10, 12 3, 7, 12 III

Level-I Focused performance measures

Change User Support and Effective

Level-II Involvement
Management Project
Management

Project team Education and Cooperation and

Level-III Commitment of
composition Training
Trading Partners

Level-IV Clear Vision and Business Strategy

Organizational Effective Trust among

Level-V Culture Communication Channel
Members

Level-VI Top management commitment/Support

Fig. 4.2 ISM-based model

60 M. Tyagi et al.

Fig. 4.3 Driver and dependence power graph

of “driving” and “dependence” power of considered success factors, final reacha-

bility matrix was used. Classification of segments under MICMAC analysis is as
follows: Segment 1: independent factors; Segment 2: dependent factors; Segment
3: association factors; and Segment 4: driver factors. The SFs have weak driving,
and dependence power occurs in the Segment 1. These types of SFs have rare links
with the additional SFs existing in another segments and also disengaged from the
classification. The SF’s devouring weak driver power and strong dependence power
will exist in Segment 2. The SFs have strong driver power as well as dependence
power will exist in Segment 3 and in last SFs that have resilient driving and weak
dependence power occurs in Segment 4 [14].
As CSFs of Segment 4 contain high driver power, they strongly touch the SFs of
another segment. Therefore, it is needed to focus more toward SFs that conquer the
upper place in ISM model to accomplish the improved outcomes.
Based on Fig. 4.3, it is observed that no success factor exists in Segment 1. The
six SFs explicitly effective project management, change management, education
and training, cooperation and commitment of trading partners, focused performance
measures, and user support and involvement lie in Segment 2. Hence, these SFs
require low driver power and strong dependence power. In Segment 3, only one SF’s
project team composition has high driver power and dependence power. Five SF’s top
management commitment/support, organizational culture, effective communication,
clear vision and business strategy and trust among channel members lie in Segment
1, which has robust driver nature and low dependence nature. Hence, they formed
the top levels in ISM hierarchy.
4 Modeling and Analysis of Critical Success Factors … 61

Further on the basis of ISM leveling (cluster of SFs exist on same level), a set of
six “critical success factors” (CSF’s) was arranged. Those are, namely, as top man-
agement commitment support (CSF6), trust among organization through effective
communication (CSF5), clear vision and business strategy (CSF4), cooperation and
commitment among team members based on their education and training (CSF3),
project management through user support and involvement (CSF2), and focused
performance measures (CSF1). The coding of CSFs has been done as per their level
existence.
Based on brainstorming session, three groups each having four to six experts have
been structured. The three groups considered are represented as GP1 , GP2 , and GP3 ,
and preference graphs represented by these groups may be represented as PG1, PG2,
and PG3 as exposed in Fig. 4.4.
The preference graph (PG1 ) over “N” CSFs (in this case, N  6) can be structured
by group one. Let us say, a PG to be denoted by “r” groups, GPr . In order to that,
suppose PGr be nearest matrix for the preference graph and “N” be a optimistic
number. Hence, the item pgij (i, j  1, 2,…, n,…., N) of PGN r offers the amount of
“N” step supremacies of element i over j.
Hence, dominance matrix Dr is structured as

Dr  PG1r + PG2r + . . . PGnr . . . + PGN

r (1)

The summation of items (drn ) in row “n” of dominance matrix means the entire
amount of conducts that n is dominant over 1, 2,…, N stages [31, 18]. In this study,
dominance stages are considered as (N−1) for the PG. Based on ISM model leveling,
six CSFs were considered; hence, five dominance stages will occur. The nearest
matrix of PG1 can be represented by
⎡ ⎤
000100
⎢0 0 0 1 0 0⎥
⎢ ⎥
⎢ ⎥
⎢1 1 0 0 0 0⎥
PG1  ⎢
1
⎥ (2)
⎢0 0 0 0 0 0⎥
⎢ ⎥
⎣0 1 0 0 0 0⎦
001010

In this case with N  6, the dominance matrix (D1 ) of PG1 can be calculated by

D1  PG11 + PG21 + PG31 + PG41 + PG51 (3)

From Eq. 3, dominance matrix (D1 ) of first preference graph is found as given
below:
62 M. Tyagi et al.

PG1 PG2
CSF6 CSF3

CSF5
CSF6
CSF3 CSF5

CSF1 CSF2 CSF2 CSF4

CSF4 CSF1

Group-1 Group -2

PG3
CSF6

CSF2
CSF5

CSF4 CSF3

CSF1

Group -3

Fig. 4.4 Demonstration of relative prominence of CSFs

4 Modeling and Analysis of Critical Success Factors … 63
⎡ ⎤
0 0 0 1 0 0
⎢0 0⎥
⎢ 0 0 1 0 ⎥
⎢ ⎥
⎢1 1 0 2 0 0⎥
D ⎢
1
⎥ (4)
⎢0 0 0 0 0 0⎥
⎢ ⎥
⎣0 1 0 1 0 0⎦
2 2 1 4 1 0

Based on the above equation, the degrees of dominances of one critical success
factor have been deliberate as “d11  1, d12  1, d13  4, d14  0, d15  2 and d16  10.
It can be visualized as CSF1 is dominated in 0 + 1 + 0 + 0 + 0 + 0  1 way.” CSF3
may be dominated in four ways, similarly CSF6 in ten ways. The above computation
procedure is repeated similarly for other preference graphs PG2 and PG3 .
Dominance matrix (D2 ) of second preference graph is determined as

D2  PG12 + PG22 + PG32 + PG42 + PG52 (5)

From Eq. 5, dominance matrix (D2 ) of second preference graph is found as

⎡ ⎤
000000
⎢2 0 0 1 0 0⎥
⎢ ⎥
⎢ ⎥
⎢6 2 0 4 1 1⎥
D ⎢
2
⎥ (6)
⎢1 0 0 0 0 0⎥
⎢ ⎥
⎣3 1 0 2 0 0⎦
310200

In order to visualize the degree of dominance based on preference group (PG2 ),

a matrix has been structured as shown in Eq. 6, “d21  0, d22  3, d23  14, d24  1,
d25  6, and d26  6. Similarly, for PG3 , degree of dominances has been obtained as
follows: d31  0, d32  4, d33  1, d34  1, d35  3, and d36  9.”
The “relative degree of preference” (RDP) of every group (r) can be found by the
following mien to be the extreme of one using formula as given below:

(1 + dnr )
Rdprn  max r
r  1...R (7)
m1....N (1 + dn )

For the explanatory suitability, RDP symbolization of each company (k) is a

vector:

RDPr  rdpr1 , . . . rdprn , . . . rdprN (8)

Relative degree of preference for PG1 , PG2 , and PG3 are as follows:


2 2 5 1 3 11
RDP1  , , , , ,
11 11 11 11 11 11
64 M. Tyagi et al.

1
1 Ratings
0.9
0.8
0.666
0.7
0.6
0.461
0.5 0.384
0.4
0.3
0.141 0.171
0.2
0.1
0
CSF1 CSF2 CSF3 CSF4 CSF5 CSF6

Fig. 4.5 Rating of critical success factors


1 4 15 2 7 7
RDP2  , , , , , and
15 15 15 15 15 15


1 5 2 2 4 10
RDP3  , , , , , (9)
10 10 10 10 10 10

On the basis of RDP of each group, relative importance ratings of the CSFs
may be determined easily. Since “R” firms are occupied into description, the relative
importance rating (RIR) of each CSF can be examined through normalization process
by using the expression as given below:
R r
r 1 r d pn
RIRn  max
R (10)
r
n1.....N ( r 1 r d pn )
RIR  (rir1 , rir2 , . . . rirm , . . . , rirN ) (11)

In this research work, computation was made to get the RIR value through Eq. 9,
and then normalization has also been in order to reduce the variation among the
ratings of considered CSFs which comes as follows:

RIR  (0.141, 0.384, 0.666, 0.171, 0.461, 1.000) (12)

From above computation, it has been observed that the critical success factor “six”
(CSF6) has higher value of relative importance rating as compared to the other CSFs
and “CSF1” seems least desirable with a relative importance rating of 0.141 among
all considered CSFs. For ease in comparative understanding of the ratings of CSFs,
a bar diagram is made as exposed in Fig. 4.5.
4 Modeling and Analysis of Critical Success Factors … 65

4.5 Results and Discussion

MICMAC analysis directs the comparative prominence and interdependencies of

critical success factors. The analysis reveals many outcomes as deliberated below:
• Among considered critical success factor, no one lies in independent group, i.e., in
Segment 1, this delivers an optimistic immoral for learning, and this means all the
factors considered are consistent and play an significant role in implementation of
IT in supply-chain management.
• SF’s effective project management, change management, education and training,
cooperation and commitment of trading partners, focused performance measures,
and user support and involvement lie in Segment 2, which means they have strong
dependence and low on driving power.
It may be accomplished based on critical success factors which have high driving
power. As depicted in ISM model, they are being driven by other factors which lie
below them in model.
• Success factor project team composition lies in Segment 3, which means they
have strong dependence and driving power; project team composition plays an
important role in implementation as it gets driven by the factor and it also drives
other factors for successful implementation.
• SF’s top management commitment/support, organizational culture, effective com-
munication, clear vision and business strategy and trust lie in Segment 1 which
contains high driver power and low dependence power. It means they drive other
CSFs and plays most important role for implementation of IT for SCM.
On the other corner, based on degree of dominance and relative importance of
structured critical success factors, it is pragmatic that “top management commitment”
support comes out with a high relative importance rating and focused performance
measures with lower relative rating as shown in Fig. 4.5.

4.6 Conclusion

In this research work, a hybrid approach as a combination of interpretive structural

modeling (ISM) and preference rating was applied in order to analyze the consid-
ered success factors well along with critical success factors. Through ISM, driver and
dependence nature of considered factors have been visualized while preference rating
approach was applied in order to arrange them constructed on grade of dominance.
From Fig. 4.2, it was noted that “top management commitment and support” plays a
role of driver in order to focus on the performance measures through various consid-
ered factors those exist on in-between levels. Equation 12 summarizes the relative
importance ratings (RIR) of all structured critical success factors. The periodization
of these factors can be shown as CSF6 > CSF3 > CSF5 > CSF2 > CSF4 > CSF1.
66 M. Tyagi et al.

From Fig. 4.5, a clear view of these ratings can be envisioned. Hence, it is easy to
say that “top management commitment support” with a higher RIR and “Focused
performance measures” with lower RIR plays their significant part in implementing
the IT-based supply-chain performance system effectively and efficiently.

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Chapter 5
Lean-Sigma for Product Improvement
Using the VoC for Enhancing the Product
Competitiveness

Aldo Salcido-Delgado, Li Zhou and Noé G. Alba-Baena

Abstract Managers are using metrics such as productivity, quality and low costs, to
reach their objectives and keep companies success; however, customer expectations
in the twenty-first century are not only including deliveries on time, good quality,
and low costs; but they are also looking for values such as long term commitment,
strategic integration and innovation as competitive values. For the mentioned con-
ditions, today’s managers need to learn how to adapt to such challenges by using
flexible methodologies that help them to integrate more qualitative requirements to
the conventional metrics. For this challenge recently, Lean-Sigma has proven to be
a flexible and adaptable methodology that can incorporate such requirements. For
proving this concept, this chapter describes a case study in which the initial valuation
of the metrics shows that a product has been delivered as expected with the qual-
ity and productivity values in the best levels. However, the customer perception is
different and product competitiveness is at risk, signals that the operations manage-
ment presented as a priority requiring actions and a later solution. Using the Voice
of the Customer (VoC) and Lean-Sigma, this study focuses in an operation framed
in the automotive industry. The assembly process is the target in specific in the cut-
ting step of rubber hoses, which have to measure different lengths depending on the
product models. At first sight, with a production rate of 1000 pieces per hour, the 7

A. Salcido-Delgado · N. G. Alba-Baena (B)

Department of Industrial and Manufacturing Engineering,
Autonomous University of Ciudad Juarez, Av. Plutarco Elías Calles #1210 Fovissste Chamizal,
CP 32310 Ciudad Juárez, Chihuahua, México
e-mail: nalba@[Link]
A. Salcido-Delgado
e-mail: aldo35197@[Link]
L. Zhou
Department of Mechanical Engineering, Hunan Institute of Engineering, Xiangtan 411101, China
e-mail: zhoulina.0401@[Link]

© Springer Nature Singapore Pte Ltd. 2019 69

A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
70 A. Salcido-Delgado et al.

complains in a year looks as expected for the variability in the process. However, the
quality perception and confidence of the customer are at risk. Actions were taken and
in two weeks the team incorporated the qualitative requirements to the operations’
quantitative targets and responded to the customer concerns and kept the product
competitiveness. The adjustments and implementations results are reflected in the
measured values at the cutting process, achieving an 80% reduction in the process’
variation, and an increment in the capability index (Ppk) from 0.97 to 1.97.

Keywords Lean-Sigma · Variation reduction · Production process

5.1 Introduction

In the world-class manufacturing and actual competitive environment, the difference

between a profitable operation and the bankruptcy can be decided by the customer
perception, moreover, having a well balanced factors in the managerial triangle (pro-
ductivity/delivery, quality/functionality, and costs/profit) is not a measurement of a
successful operation. Today, the more efficient processes and profit margins are just
mere base for entering the market; the success is now a mirror of the ability of the
company to influence the customer’s perception, trust and reliability as advantages
over other competitors. Such strategy is based in the customer service offered for
fast responding to the customer concerns. A successful relationship then, is defined
by the ability of the companies to balance between customer-care concessions and
the profit resulting from this relationship. The challenge for the managers is to inte-
grate the mentioned market reality into the operations’ goals, actions and measure
targets. However, actual approaches consider only the management triangle (quality,
productivity, and costs) for their decision-making process and goals in the opera-
tions strategies. Moreover, operations managers can dissect actions and reactions in
their management programs using approaches in three different categories: problem-
solving, improvement, and optimization processes. Such programs may include Lean
manufacturing as a response methodology for process challenges, Six Sigma can be
used for improvement projects, and the Taguchi approach or surface respond method
(RSM) for optimization ventures and more recently, Lean-Six Sigma variations for
solving complex problems [18]. In the search for an efficient methodology for includ-
ing more actively the VoC in the operations management, Lean-Sigma is presented
as a feasible option. This chapter describes the use of the Lean-Sigma approach and
its adaptability for solving problems at different managerial levels and for different
conditions. Lean-Sigma has been developed from the principles of Six Sigma and
Lean manufacturing that have been extensively used successfully companies around
the globe, especially in Japan and the USA. For this purpose, a brief description of
these managerial strategies will help us to describe the key factors that make the
integration of these strategies in the Lean-Sigma approach.
5 Lean-Sigma for Product Improvement … 71

5.1.1 The Six Sigma Strategy

The Six Sigma term is attributed to Bill Smith who helped Motorola Corporation to
achieve an estimated $16 Billion in savings during the 1980s. After, several USA
companies, including GE and Allied signal, have successfully implemented this
philosophy and methodology. According to Arnheiter and Maleyeff [3], the concepts
behind Six Sigma can be traced to C. Gauss who introduced the normal curve and its
statistical meaning; followed by the works of W. Shewhart in the Western Electric
Company, who introduced in 1924 the Control charts as visual representation of
defective items in the Hawthorne facilities. Later, his work sets the bases for the
statistical quality control, and to the total quality management (TQM) approach and
the Six Sigma statistical metric originated at Motorola Corporation. Today, the use of
Six Sigma helps to effectively identify and eliminate the variability in the production
processes, and has grow to the point that companies around the world have built entire
cultures around this founding concept. Moreover, according to Dahlgaard and Mi
Dahlgaard-Park [6], Six Sigma is more than a narrowly focused quality management
program, but is extended to a definition of a methodology, later a philosophy, and
broad long-term decision-making business strategy. Literature reports have shown
that the use of the Six Sigma approach has taken many organizations to operate at
very high levels of efficiency. As mentioned by Brun [5] who also lists several of the
factors for a successful in implementation of Six Sigma and those for limiting the
benefits. Among them, the main considerations are the management involvement,
linkage to the customer and business plan, training, and cultural change. In this
terms, Del Angel and Pritchard [8] highlighted the importance of the listed and
potential failure factors. The same author refers that the majority of all corporate
Six Sigma initiatives (60%) fail to yield the desired results due to these factors.
As an example, the management acceptance and incorporation of the Six Sigma
culture as successful factor for impulse the implementation to its maturity. However,
contradicting this rationale, managers have discovered that the very culture of little
to no variance that allowed them to achieve their efficiency goals can be the main
factor for suffocating their growth potential as the process variance is essential for
promoting the innovation and growth of the business [18]. In other hand, the influence
of the cultural effects is exemplified by a case in the 3 M corporation, where the
initial profits grew approximately 22% a year, but then languished drastically. Such
reduction was attributed to the strategy that emphasized on efficiency, strangling
3 M’s employees’ creativity and innovation initiatives [8].

5.1.2 Lean Manufacturing Strategy

From a historical perspective, Lean manufacturing has been evolved and used expo-
nentially, since Krafcik [12] introduces the term Lean production system in the USA.
Krafcik describes the importance of the transition process from the Fordist production
72 A. Salcido-Delgado et al.

system and the further enhancements the largely efficient adaptation into the Toyota
Production System (TPS). This highly efficient constant-flow production process
was also characterized by its flexibility for producing a variety of products. Among
its practices, this system included smaller inventories and less preparation areas, it
also increases dramatically the teamwork approach even for the work standardization
processes. The increment of the teamwork and data analysis characterized the Lean
approach and has been contributed to the “Leanness” of the production management
policies and to increase the manufacturing facilities’ performance and productiv-
ity of a variety and flexible models’ mix and complexity. From such experiences,
western companies were attracted to the Lean practices having reported success-
ful implementations [12]. The 2007 manufacturing census [4] revealed that almost
70% (69.6%) of the US companies that successfully used Lean manufacturing had
improved their target values. Lean then, has become the most common approach in
the operations management field, which is twice popular of the second in use (Total
Quality Management with 34.2%). However, Blanchard [4] also points out that such
popularity does not correspond to successful implementations. 2% of the responding
companies achieved their goals using a Lean approach and 24% have significant
achievements; however, for the left 74%, the results were not as expected. Quoting
James Womack, Blanchard attributes these results to several misconceptions, such
as, “Lean management is not a quick solution for cost reduction.” Moreover, other
consulting practitioners such as Pay [16] and McMahon [14] have not only high-
lighted the Lean Manufacturing approach failure rates but the common causes for
such results. First, they point out that managers must analyze if the Lean approach
will contribute directly to reinforce the company’s strategy, avoiding with this the
failures due to management commitment and Lean principles implementation. The
second point is to match and agree the management practices to the team decision-
making approach practiced in Lean manufacturing. Then, to be aware of the internal
and surrounding culture, which determines the impact and change-resistance when
the managers incorporate the Lean principles and practices in the company. And
finally, to keep use customer focus and avoid to have conflicting metrics among
other suggestions.
In the struggle for avoiding the negative impacts and failure rates in the imple-
mentation processes, practitioners consider to merge both approaches attempting to
using the best practices of both approaches. If we consider that the general strategies
of Six Sigma and Lean manufacturing started from two different needs: Lean from
the need to increase product flow and productions speed by the elimination of all
non-value-added activities (mudas), and Six Sigma from the need to ensure the final
product quality; focusing in achieving high product conformance or less defective
products [3], the integration seems difficult, however higher quality at increased
speed is the promised land.
5 Lean-Sigma for Product Improvement … 73

5.1.3 Merging Lean and Six Sigma

Considering that the original methodologies differ by the structure and objectives,
while Six-Sigma project considers that the “improvement happens project-by-project
and in no other way” [18]. Lean management focuses on the reduction of the pro-
duction times and variation by establishing standardized work procedures and a
single-piece flow approach to achieve improvements. Tools and decision processes
in Six-Sigma quality systems are characterized by deep statistical analysis and the
use of statistical process control (SPC). For measuring the quality and variation of
the process, Six-Sigma uses acceptance sampling procedures for batches of the final
products. On the other hand, Lean approach used fixtures and other mistake proof-
ing (Poka-Yoke) sources, for achieving higher quality and by these means a 100%
inspection of the final products. In the Lean approach, the Zero Quality Control
(ZQC) characterize the incorporation of the Poke-Yokes to the production process
as value-added activities [3] instead of a delay and costly dedicated inspection sta-
tions in the production process (as seen in the Six Sigma approach). As described
by Arnheiter and Maleyeff [3], the Lean manufacturing philosophy is more suitable
when the production process is simple with few components. However, the tendency
for the personalization of the products and the diversification of the markets, the
production processes are now characterized by the increment of components and
increased complexity in actual products. Actual productivity strategies requires that
components come from different vendors using different materials and processes’
variation; creating a complex interaction of components and variables in the product
increasing the potential of quality and later, reliability problems. In this context, the
Lean decision-making process fails due to the limited approach to quality analysis,
however, the use of statistical tools can be borrowed from the Six Sigma experience.
In the case of Six Sigma, the rigid sequenced methodology and the statistical analysis
reduces the flexibility in the solution process makings use inefficient for cases where
the main goal is to keep the flow or for fast reaction to an unexpected condition.
In order to find the middle way, Pepper and Spedding describes the integration of
Lean and Six Sigma [17], the authors mentions how researchers have looked several
models and approaches for finding and determining the theoretical compatibility or
mutual content for implementing a combined methodology or method. Among the
attempts that have been reported since 2003 for creating specific Lean/Six-Sigma
subcultures reports shown that some have been successful, but also reported that
can cause a conflict of interest and a drain on resources of the organizations. The
literature reveal that academic reports and documented practical results are few as
compared to the originating philosophies documentation. Pepper and Spedding [17]
emphasizes that there is an opportunity for practitioners and academic researchers
to take find integrations to make Lean-Sigma to reach its full potential. Among the
attempts that have been reported since 2003 for creating specific Lean/Six-Sigma
subcultures which can be successful, but also can cause a conflict of interest and a
drain on resources of the organizations.
74 A. Salcido-Delgado et al.

5.1.4 Lean-Sigma Approach

Taking advantage of both approaches, Lean-Sigma has been defined as a methodology

for improving the speed, quality, and cost of manufacturing and service industries.
Such operations are characterized by the high-frequency or repetitive events and a fix
variety of products and/or services [15]. For demotivating this, Pavlovi and Božani
reported several cases, benefits and successful implementations in their review for
the pharmaceutical industries [15]. Snee [18] also concludes that several benefits
can be reported of the use if this combination of Lean and Six Sigma, showing that
the beneficiary companies can expect economic returns of $50 k for each green belt
project and $175 k per black belt project, also to expect to pass the break-even point in
an average of 6–12 months. Moreover, companies are expected to get returns from 1 to
4% sales/year, depending on the operation sizes: for large companies, is expected an
average return of 1–2% in sales/year, and for the small-to medium-sized companies, a
return of 3–4% in sales/year. Finally, Snee [18] considers that the key for the success
in merging Lean and Six Sigma is to use a holistic improvement process, a continuous
improvement culture, and the leader development by increasing the use of Lean-Six
Sigma to become an expert. The synergy between Lean and Six Sigma was discussed
by Estrada-Orantes and Alba-Baena [9] describing Lean-Sigma as the strategy for
solving a problem in the shortest time as possible creating a synergy between the
quick-fix approach of the “Lean strategy” and the deep statistical analysis of the “Six
Sigma strategy”.
For the last two decades, Lean-Sigma has been used and applied successfully in
companies all around the world. Several examples have been reported describing
successful implementations of Lean-Sigma resulting in economic growth, quality,
and, however, the response to the competitive markets, and other considerations like
commitment, service, and response to the customer concerns have barely reported
as implicit consequence of such implementations. Lean-Sigma success has been
used in world-class companies and in the developed countries and in restrictive
environments such as in Latin America. Such approach has been reported in several
documents, especially in the restrictive Latin-America industrial conditions. Among
the reported successes Gracia et al. [11], De la Cruz-Rodríguez et al. [7], and Alba-
Baena et al. [2] are the more representatives. In the referred documents, Lean-Sigma
is presented as a flexible solving problem strategy, the goals for each project may be
different depending on the process needs, however, Lean-Sigma steps can be used in
the same way following a well defined methodology (see Estrada-Orantes et al. [10]).
The project goals may be the production flow speed-up or to bring the variability of
the process back to control, or to an specific value such as a process’ performance to
a specific Sigma level. The flexibility of this approach can be seen, for example, if the
goal is to achieve a quality level, this Lean-Sigma strategy uses an incremental-step
approach to move the process’ quality to the desired level through several kaizen or
improvement events.
5 Lean-Sigma for Product Improvement … 75

An example has been reported by Alba-Baena et al. [1], who used this strategy to
solve a problem in the assembly of outdoor lamps, focusing on the variation of colors
and tones resulting from a patina process. By applying Lean-Sigma, the team was
able to increase from 50 to 97.2% the probability of obtaining product that meets the
customer’s specifications. Also, the same group [2] reported the case in a process of
insertion of fuse covers reporting that by the use of a Lean-Sigma methodology, the
productivity and quality of the product moves from a quality level of 683,576 per
million pieces produced (ppm) to 33.35 ppm. Also, Kumar et al. [13] reported with
a different metric a successful implementation savings in $140,000 dollars per year
when applying the Lean-Sigma in a die-casting operation in India. These reports,
which are coming from restrictive conditions, exemplify the potential adaptability of
Lean-Sigma to the different managerial conditions and approaches. Moreover, the
practice and use of Lean-Sigma has proven to be an efficient approach that can be
improved and there are opportunities to define new strategies and tool combinations
to make more efficient use of Lean-Sigma in other industrial settings. It is possible to
develop other methods and tool sequences for solving situations and give solutions
in a short, mid, and long-term spans.
Furthermore, this Lean-Sigma approach can help managers in the adaptation to the
XXI century competitiveness. As mentioned before, in this century, the “classical”
metrics (quality, Productivity and Costs) efficient as they are, keep the manager’s
vision limited to measuring internal outputs and metrics in acceptable levels, and
justify the responses in the operations’ level, while the reality in the markets for the
product expectative is moving faster into other directions and to more sensible lev-
els. Then a slow reaction to other metrics such as customer perception, satisfaction,
and competitors’ service improvements, for example, can create challenges or weak-
nesses and gaps up to the point where the product can be expelled and drained from
the markets. These metrics challenges are given an opportunity to attend the customer
needs, to convert such concerns and expectative to an opportunity for improvements
in the operations. It is an opportunity for, at the same time, learn how to convert a
competitive challenge (or external problem) into an internal opportunity (by listen-
ing to the voice of the customer) and take positive actions for improving the internal
operations. It is possible to act in consequence of the market pressures and challenges
without sacrificing the revenue and having a fast return on investment (ROI) after
any correction, or improvement to the operations using the Lean-Sigma strategy.
Alba-Baena et al. [1] proposes to change the focus of these strategies and method-
ologies from measuring the success and profits based on the trilogy: costs, quality
and productivity (management triangle), and use the same principles to include vari-
ables that defines the actual competitiveness. Managers can make more efficient
decisions, if include other elements such as the customer’s perceived quality or the
product competitiveness as the product is compared to the leading or close following
competitors, and have the ability to fast react to the customer concerns and needs. If
we consider this phenomenon, managers are now facing challenges which includes
more qualitative (attribute) values in addition to the described tangible, short term
economic (profitable) values. Then, the VoC is critical in operations management
and it is necessary to adapt more efficient strategies. There is need for adapting
76 A. Salcido-Delgado et al.

the strategies for attending the market needs, and extending the objectives of the
methodologies in use.
The described examples and others have shown that Lean-Sigma is an approach
flexible enough to be adapted to the strategies for the XXÏ century industries. Its
methodology and tools can be extended to include the market’s conditions and to
convert the VoC in actions at the operations areas. Lean-Sigma tools are adaptable
and flexible not only for keeping the operations flow but for finding deep root causes
and describing the statistical conditions of the processes. However, each case requires
the management to use a series of flexible Lean-Sigma toolkits that according to the
experience in the process and use of the tools, the manager will choose the tools and
sequences that more effectively help to address the case.
For better describe this concept and to illustrate the ability of Lean-Sigma strat-
egy for adapting to such conditions, the following case study presents an example
of the situation where a customer is highlighting the presence of nonconforming
product units coming from the manufacturing facility (seven unit complains). The
management perception is that the seven occurrences (from a total of 1.6 M sold
pieces) have been found in the 100% inspection at the customer site, reflecting a
high-quality performance or a sigma level close to Six Sigmas (5.95). Such levels
must reflect that the internal controls and metric goals are as best as possible, and
these occurrences are as expected from the production system. However, the initial
data analysis reflects a different scenario; this chapter also presents the methodology
and solution for the given case study. The team addressed this situation and used
a methodology based on Lean-Sigma approach for, first, converting the customer
complain into an internal solution process, then, by using a sequence of tools for
achieving the metric goals and in consequence, improving the customer satisfaction
and keeping the product competitiveness.

5.2 Case Study

5.2.1 Introduction

A manufacturing company in the automotive sector prepares and assembles vent

hoses for different automobile models. The cutting area has a process of cutting
rubber hoses which are prepared to specific lengths depending on the model number.
Such procedure begins with a hose reel. The reel is supplied as is it by a vendor and
consists of a 500 m hose rolled into a cardboard core. The process has an average
production rate of 1000 pc/Hr. The hose is feed to the cutting area using a pair of
feeding bands (see Fig. 5.1) the rubber bands help in controlling the feeding rate by
exerting friction axially on the hose. As a control, the feeding system includes an
decoder that serves as device for measuring the hose length feed. The function of this
control is to provide feedback for comparing the input to the desired distance and to
signal the cutting knife and do the cut. The cutting device consists in a stainless steel
5 Lean-Sigma for Product Improvement … 77

Fig. 5.1 Scheme of the hose cutting machine

knife which cuts the hose in a single movement. Also, for input the hose parameters,
the system has two controllers, one for the speed at which the operator sets the feeding
rate of the hose and the main controller in which the desired length of the hose is
configured.
In order to operate this equipment, the operator enters the distance at which the
hose is to be cut in the controller, enters the desired speed in the speed controller,
and makes a modification of the vertical distance between the bands to be able to
exert a friction on the hoses, then feed the hose from the reel and starts try outs
for the verification and validation process. Once the operator start the continuous
cutting process, takes the first sample of four hoses, measures them, and compares
them with the specifications; if these samples comply with the established measures,
the process keep continued; otherwise, the process is stopped and the parameters are
adjusted.

5.2.2 Problem Description

During the last year, and according to the customer, this hose cutting process has
produced several complaints (seven) due to the short-length of the hose which stops
the assembly of this hose assembly in the final product (automobiles) for which it
is intended. These complaints are one sided because the product which is larger
or above the specifications allows to make some adjustment in the final assembly
process, Throughout the year, there were seven complaints related to this cause. If
consider the reported sales volume (1.6 million pieces/yr) and the previously valued
performance level is close to 5.95 Sigma level. With the given information, the
operations management consider these as normal outliers from this process. However,
the perception and confidence of the customer has been diminished considering
that robustness of the process is not acceptable, looking for a corrective action and
a problem solving procedure. Even that from the customer’s perspective this is a
problem, it is necessary to “translate such complain to an opportunity at the operations
level and prepare such actions as an opportunity for optimize the process and give,
78 A. Salcido-Delgado et al.

LSL Target
Process Data Overall Capability
LSL 772 Pp *
Target 779 PPL 0.75
USL * PPU *
Sample Mean 778.549 Ppk 0.75
Sample N 102
Location 776.873 Exp. Overall Performance
Scale 3.6961 PPM < LSL 23810.42
PPM > USL *
Observed Performance PPM Total 23810.42
PPM < LSL 19607.84
PPM > USL *
PPM Total 19607.84

768 772 776 780 784 788 792

Fig. 5.2 Initial data for the hose lengths, sampled from the received product at the customer’s
warehouse

at the same time, a corrective procedure for the customer complaint. This seems
contradictory, if we consider that in the operations management a solution is normally
given for conditions that represents unexpected costs and optimizations are part
of the continuous improvement process, meaning, to increase the profits from the
operations. For this, the manager in charge gathered a multifunctional team to give
the solution to this situation, highlighting the need for finding the root cause of this
variation and at the same time to establish an efficient solution for increasing the
customer confidence in the robustness of this process, via pushing the operations to
the next level in terms of quality goals. An initial diagnosis was conducted at the
customer’s front door measuring only the length of the hoses of the received product
(Fig. 5.2). The performance the process has a capability index, Ppk in 0.75 and an
expected rejection rate in 19608 parts per million. Data also show that the process
is not reliable as expected and the variation in the cutting process is large enough to
reduce the confidence in the process, then it is possible to determine the objective,
to identify the root cause for the variation, to find a solution, and bring the process
in control in the shortest possible time.
5 Lean-Sigma for Product Improvement … 79

5.3 Methodology

The methodology used consists of a series of steps based on Lean-Sigma; the

sequence is presented in Fig. 5.3. In this diagram, the first step emphasizes the
need for truly identify the problem, understanding the VoC and “convert” his needs
or perspective in terms of the operations’ measurable variables. Then, it is necessary
to do a comparison between the specifications of the product, design and characteris-
tics with the data provided (or expected values) by the customer. Determining in this
way the strategic actions that will follow. However, in general the first action is to
measure the actual values (input variables and outcomes) coming from the process.
With the inputs coming from the process it is possible to have a comparison triangle
that will determine the focus and goals of the forthcoming project. In this case, such
data will help in determine the problem and the project goal that is to reduce the vari-
ation in the cutting process. For accomplish this goal, a series of tools can be used in
sequence, in this case: for listening the VoC we have used the QFD, check lists, the
design and product specifications; and from the process main variables identification
and measurements we used charts, descriptive statistics normality test for the data
and the calculated process capability. The description of the initial conditions by the
descriptive statistics not only allows the understanding of the behavior of the critical
characteristic of the product (hose length) but give measure values to use and monitor
while achieving the targets and with the normality test, it is possible to determine
the statistical values to consider. The process capability also helps in determine the
directions for achieving the goal, actions followed will look for centering the out-
comes to an expected value, then, to adjust the process variation to a span controlled
in a range expected for the cutting process. After setting target (quantitative) goals,
it is possible to find actions that will take the process to the proposed goals, for this
it is necessary to determine the “causes” for having the process in the actual state. In
this case, by understanding the effect of the different input variables (say in this case
cutting conditions, feeding speed and feeder conditions among others) it is possible
to adjust them ordered by the impact that they have in outcome (hose length, in this
case). For the input variables-identification step we used the brainstorming and 5
Whys techniques as core tools. Following the described process, once the causes of
the variation and the input variables were identified, a sequential DOE was used for
measure the effect and impact of the input variables in the outcome. First, a fractional
design allows the measuring of each effect for then discriminate the less impacting
ones from the main variables. The later step may use the main variables for running
a full factorial design and determine the best possible outcome with the given equip-
ment and conditions. With the data provided by the sequential DOE, the relationship
of the system inputs with the characteristics of the product could be quantified and in
turn, stratified the impact on this characteristic, which allowed the team to propose
various solutions to the problem or to achieve the proposed target. Actions were
taken for implementing the most promising solution (based in the possible impact in
the main input variable). After analyzing the design of the machine, the feasibility
the solution was implemented. After the stabilization period, data of the outcomes
80 A. Salcido-Delgado et al.

yes
Proposal of
Identification of Description of Potential causes
Start possible causes Identification of factors
the problem the initial state were found?

no

yes
Development of Is the solution Proposal of
Positive change? Data comparison Data collection
a solution feasible? solutions
no

yes no

Promotion to
Update of
Training continuous Finish
documentation
improvement

Fig. 5.3 Steps of the methodology used in the solution of the described case

was collected to later use the mentioned statistical tools for presenting the results and
then for making an statistical comparison to the initial process conditions and to the
target values. In the case when the comparison shows that the goal is not reached,
the team has to use the next feasible solution and continue the cycle up to the point
of reaching the expected goal. Once the target is achieved, the composed solution is
documented, the changes are also standardized for the process and training is pro-
grammed for the operative team. The final statistical values and comparisons are
gathered for measuring the effect and benefits of the implemented solutions, also
costs and ROI is reported to the management and to the customer. Finally, a kaizen
even is used for transfer the knowledge and for officially close the project. In the
case presented, the knowledge is transferred to a twin process that assembly different
models of the same product.

5.4 Problem Analysis

Because this product is processed in two different cutting devices, it is necessary to

decide for which machine (identified as “A” and “B”) the team will do the analysis
and adjustments for later transfer the knowledge to the second one. For such compar-
ison, data from machine “A” is used for calculating the process capability level (see
Fig. 5.4), indicating a Cpm index of 0.56 showing a large data dispersion; in addition
to this, the same Figure evidence a Ppl distance of 0.54 supporting the Cpm index.
The data obtained from these indices in conjunction with a Cpk of 0.58 and a ppm
value of 53,840, indicating that machine “A” doesn’t have the sufficient robustness
to keep the process in statistical control; on the other hand, the indices obtained from
5 Lean-Sigma for Product Improvement … 81

the machine “B” shows a distance Ppl of 0.97, and a Cpk of 0.93. The resulting ppm
value of 1838 is not within the expected robustness, but machine “B” is more stable
as compared to the machine “A” then, the team focuses the project in the process
that includes the cutting machine “A”.
Once the decision was made, a different sample is taken considering only the
product and model in observation. A normality testing was carried out on the data
which can be observed in Fig. 5.5. The test indicates a P-value of 0.024 which
indicates that the data do not follow a normal distribution, so it was necessary to find
the curve to which they fit more accurately and describe better the data behavior.
After, the Largest Extreme Value curve was used for describing the data and to be
used as the characteristic representative curve, of this data. An index of capability
(Ppk) was calculated (Fig. 5.6) considering the target value of 310 mm for this
specific model. The data obtained from the capability analysis results in a Ppk of
0.83 which confirms that the process is not able to meet specifications, also shows a
ppm of 10770 which indicates potential defective parts for this process. Then, such
data will be used for comparison after using the different solutions and the final
implementation.

5.4.1 Root Cause Analysis

The team used brainstorming, an Ishikawa diagram and 5 whys as a combination of

tools for finding the root cause of the hose length variation. Firstly, the brainstorming
to identify possible factors that could affect the length of the hose. Then the Ishikawa
diagram for arrange the potential causes using as branches the 6Ms, Fig. 5.7 shows
a representative image of the Ishikawa filling process. The 5 Whys technique helped
in finding deeper and the main causes and later to determine the root cause of the
problem. With the analysis after the use of the 5 Whys, the team found that a combi-
nation of factors in the cutting machine, was the root cause of the problem. To detect
the principal variables that affect the variation on the characteristic of the product,
a second brainstorming session was used for obtaining a list of six input variables:
feeding speed, encoder position, the use of a locking device for vertical distance
adjustment between the bands, hose diameter, hose length, and the human factor and
one response variable: hose length. To weight the input variable and its effect in the
response variable, the team decided to run a sequential two-level fractional design
of experiments (DOE), a fractional design and later a full factorial design. The first
one for determining which of these variables are more impacting on the variation
in the cutting machine. The second one for determine the interaction dependency
among the components of the machine. Table 5.1 presents the arrangement of the
factors used in the experiment, with the used levels and the response variable results
obtained (in mm). The results of the analysis of the effect evaluation of the first DOE
can be seen in Fig. 5.8. The chart reveal that the factor that contributes most to the
variation is the length of the hose (or model). This effect is attributed to the variation
and slipping of the hose during the feeding process. Then, the larger the hose the
82 A. Salcido-Delgado et al.

Fig. 5.4 a Process capability study for data obtained from (a) Machine “A” and (b) Machine “B”
5 Lean-Sigma for Product Improvement … 83

Fig. 5.5 Results for the normality test on the product and model under observation coming from
the cutting process in Machine “A”

Fig. 5.6 Process capability index (Ppk) for Machine “A”

84 A. Salcido-Delgado et al.

Fig. 5.7 Representative Ishikawa diagram for the process of finding the root cause

Table 5.1 Fractional design arrangement for the selected factors and response outcome
Input variables Response variables
Speed Encoder Lock Diameter Hose length Operator Hose length output
(rpm) position (mm) (mm) (shifts) (mm)
210 2 2 8 1467 1 1432
30 1 2 8 310 2 315
30 2 1 10 1467 2 1442
210 2 1 8 310 2 288
210 1 1 10 310 1 304
30 1 1 8 1467 1 1491
30 2 2 10 310 1 304

larger the variation, resulting from the components’ conditions of the process. To
better understand the effect that the components of the machine have on the variation
of the length of the final product, the team decided to consider only factors related
to the equipment and leave the operator off, because this factor depends in a training
procedure (which will be integrated to the solution after the mechanical component
are adjusted). The team decided to fix the solution to one model and reduce the input
variables to three, the feeding speed, the locking device and the encoder position.
5 Lean-Sigma for Product Improvement … 85

Fig. 5.8 Chart of effects resulting from the first fractional DOE used in the stratification of the
input variables of the cutting process

For the second experiment, the interaction of the remaining factors is considered
as it is shown in Fig. 5.9. In addition, it was decided to adjust the conditions and
perform trainings so that the operator is not a serious factor in the study; Also, the
interaction between the remaining factors was included, and a new sequential DOE
was performed with only the factors of feeding speed, encoder position, the use of a
locking device for vertical distance adjustment between the bands, and the interaction
between them; the results of this implementation can be seen in Fig. 5.9. The results
obtained indicate that from the mechanical components, the feeding speed is the
main contributing factor to the hose length variation. However, the interaction of the
lock use and encoder position have to be tracked and have to be considered in the
solution, because its importance and effect in the hose length response.

5.5 Developing a Solution

Data indicates that the feeding speed is the variable contributing largely to the varia-
tion of the product, so a mechanical analysis and controlling components calibration
was proposed. The machine components that affects the hose feeding are identified
as: Speed controller, electric motor, power transfer bands, pulleys and feeder belts.
According to the documented instructions, preventive and corrective maintenance
activities were programmed and executed. When performing the analysis and effi-
ciency of the components, it was found that even after the maintenance, they were not
able to maintain a constant speed. Deeper mechanical and electrical adjustments were
made for reducing the components and its interaction effects in the obtained data.
86 A. Salcido-Delgado et al.

Fig. 5.9 Chart of effects from the DOE using the feeding speed, the position of the encoder, the
use of a locking device, and the interaction between them

Later, new data is collected. As seen in Fig. 5.10, descriptive statistics were calculated
and for visual comparison the image includes the target and lower limit determined
by the customer. Next Figure shows for comparison the initial (Fig. 5.11a) and the
calculated capability index, Ppk (Fig. 5.11b) after modifications. Comparing data it
can be noticed that the mean length of the hoses shift from 310.04 to 310.81 mm
moving away from the lower limit. Also the comparison reveals that the standard
deviation shrinks from 1.12 to 0.66. Also Fig. 5.11, is showing the change in the
capability index of the process, an increase in the Ppk index from 0.83 to 1.97, and
a decrease of the opportunities for defective from 10.7 to 0.0001% nonconforming
parts, which reflects an increase in the robustness of the process and a decrease in
the variation close to 80%.

5.6 Verify the Solution

An I-MR chart is composed for monitoring the process (Fig. 5.12) and for observ-
ing the outcome behavior. In the Figure, the I-MR chart plots the individual val-
ues of the observations and moving ranges from the initial and after the imple-
mentation of the adjustment. Illustrated by the visual comparison, it is noticeable
the mean shift in the hose lengths and the reduction of ranges. For exemplifying
the mentioned shift in the product lengths, initial data section in Fig. 5.12 shows
three data points outside the specifications (see the left side of the graph “M”),
this is reflecting an instability of the process and potential for customer complains.
Comparing this to the second section in the same graph, the mean values move
away from the lower limit, showing no outsider points and exhibiting the stabil-
ity achieved after the modifications. If a comparison is exercised in the second
graph of the same Fig. 5.12, the graph “R” also shows three data points of data
5 Lean-Sigma for Product Improvement … 87

Fig. 5.10 Descriptive statistics comparing data behavior before and after the mechanical and elec-
trical adjustments

Table 5.2 Two-sample t test, comparing the initial conditions and data after the implementations
Two-sample T for after versus before
N Mean St Dev SE mean
After 100 310.81 0.661 0.066
Before 100 310.04 1.12 0.11
Difference  µ (After) − µ (Before)
Estimate for difference: 0.768
95% CI for difference: (0.511, 1.025)
T-Test of difference  0 (vs): T-Value  5.90 P-Value ≤ 0.001 DF  160

outside the range limits in the initial data section (left side of the graph). After
the implementation, the ranges shown to be reduced and there are no points out
of specification, presenting an aleatory distribution in a reduced range. In order to
statistically validate the mean shift and the decrease in the variation, two sample
t testing for equal variances (Fig. 5.13) and mean comparisons (Table 5.2) were
calculated by using and comparing the initial data and data after the implementa-
tion. Results indicate that the variance was modified after the implementations, it is
smaller and shifted as seen in the Figure. Since the calculated p-values was ≤0.05,
the testing demonstrates that by statistical means, there is not enough evidence to
consider that the compared means remain equal, then, it is also expected a shift in
the means.
88 A. Salcido-Delgado et al.

Fig. 5.11 Graphical representation of the Capability Index and data performance for two process
conditions: (a) initial data and (b) after mechanical and electrical adjustments
5 Lean-Sigma for Product Improvement … 89

Fig. 5.12 I-MR graph showing data from the initial and after the implementation conditions

Fig. 5.13 Variances comparison for the initial and after the implementation conditions

5.7 Control Plan

Once the target conditions are achieved, the last step of the proposed methodology
is to monitor and follow up the process behavior and the outcome data, then, to
document the knowledge acquired and to disseminate this information across the
organization. Adjustments in the quality control charts were made, the maintenance
instructions were updated, and a new preventive maintenance routine was incorpo-
rated to the general maintenance plan. The main changes were in the adjustments in
the values of the reliability life time of the mechanical components, as well as the
changes in the calibration methods for the electrical components and their calibration
90 A. Salcido-Delgado et al.

frequencies. Also these actions had other non targeted impacts such as the relocation
to other activities in the plant of three collaborators (from the department of quality)
that were stationed in this area as support, helping in the contention plan activities,
inspection process, and the selection and reprocessing. Several studies were pro-
posed for move the maintenance goals from corrective and preventive maintenance
to actions towards reaching the stage of predictive maintenance. A kaizen event was
implemented in which these actions and plans were presented to the organization.
Explaining the importance of the preventive maintenance and pro-positive actions for
keeping the equipment components in good condition. The consequences of having
variations in the machine was addressed and in the same event were clarified how
to apply the corresponding measures on each of the elements and the interpretation
of the results obtained. Finally, after two weeks of receiving the customer complain,
the team presented the final report and achievements to the customer. Then, with
the approval of the customer, the operations manager congratulated the team for the
effort and the achievements.

5.8 Conclusions

The use of Lean-Sigma for solving problems has been proven by different authors,
however, its use can be extended to solve problems where the final goals includes
qualitative targets along with the well used quantitative targets (Cost, Quality, Pro-
duction). The described case study is used as an example of the combination of the
fast Lean strategy along with a selection of efficient tools and Six-Sigma methodol-
ogy a solution was achieved in two working weeks. Results show a process capability
change from the initial capability index (Ppk) of 0.54 for the general outcome of the
productions process (changing for each different model). Focusing on the leading
model and after applying the proposed Lean-Sigma methodology, data show a Capa-
bility Index moving from the cutting process show an increment of the Capability
Index from 0.83 to 1.97. The outcome data show a change in the mean and stan-
dard deviation, the reduction from 1.12 mm (standard deviation) to 0.66 mm means
an increase of the robustness of the process and the reduction of the variation in
about 80%. The process was validated by the comparison shown in Sect. 5.6. The
customer received a satisfactory response to his qualitative and competitiveness con-
cerns. The management reached the proposed objective for the project. Secondary
benefits included the resulting maintenance improvements, and to work towards the
predictive maintenance of this equipment as next the step in the continuous improve-
ment plans. Other benefit is the relocation of the personnel in charge of inspection and
reworking processes. In summary, it can be concluded that the Lean-Sigma method-
ology is a highly efficient way of solving problems with inherent positive results,
such as the robustness of the process, not only for quantitative targets, moreover, for
a combination go qualitative and quantitative goals.
5 Lean-Sigma for Product Improvement … 91

References

1. Alba-Baena, N., Estrada-Orantes, F., Valenzuela-Reyes, C.: Use of lean-sigma as a problem-

solving method in a restrictive environment. In: Managing Innovation in Highly Restrictive
Environments, pp. 35–57. Springer, Cham (2019)
2. Alba-Baena, N., Estrada, F.J., Torres, O.O.S.: Using lean-sigma for the integration of two
products during a ramp-up event. In: Handbook of Research on Managerial Strategies for
Achieving Optimal Performance in Industrial Processes, pp. 405–427. IGI Global (2016)
3. Arnheiter, E.D., Maleyeff, J.: The integration of lean management and Six Sigma. TQM Mag.
17(1), 5–18 (2005)
4. Blanchard, D.: Census of U.S. Manufacturers – Lean Green and Low Cost
(2007). [Link]
lean-green-and-low-cost. Accessed 24 July (2018)
5. Brun, A.: Critical success factors of Six Sigma implementations in Italian companies. Int. J.
Prod. Econ. 131(1), 158–164 (2011)
6. Dahlgaard, J.J., Mi Dahlgaard-Park, S.: Lean production, six sigma quality, TQM and company
culture. TQM Mag. 18(3), 263–281 (2006)
7. De la Cruz Rodríguez, M.I., Orantes, F.J.E., Mendoza, M.D., Saldaña, J.F.E., Rodríguez, R.R.:
Metodología para el mejoramiento continuo de procesos de manufactura, basado en lean sigma
y aplicada al proceso de elaboración de arneses automotrices. CULCyT 56 (2016)
8. Del Angel, C., Pritchard, C.: Behavior tests six sigma. Ind. Eng. 40(8), 41–42 (2008)
9. Estrada-Orantes, F.J., Alba-Baena, N.G.: Creating the lean-sigma synergy. In: Lean Manufac-
turing in the Developing World, pp. 117–134. Springer (2014)
10. Estrada-Orantes, F.J., García-Pérez, A.H., Alba-Baena, N.G.: The E-strategy for Lean-Sigma
solutions, Latin American case study in a new product validation process. In: Best Practices in
Manufacturing Processes, 297–322. Springer, Cham (2019)
11. Gracia, O.C., Orantes, F.J.E., Pérez, F.H.: Aplicación de la metodología Lean-Sigma en la
solución de problemas en procesos de manufactura: Caso de Estudio. CULCyT 57 (2016)
12. Krafcik, J.F.: Triumph of the lean production system. MIT Sloan Manag. Rev. 30(1), 41 (1988)
13. Kumar, M., Antony, J., Singh, R., Tiwari, M., Perry, D.: Implementing the lean sigma framework
in an Indian SME: a case study. Prod. Plan. Control 17(4), 407–423 (2006)
14. McMahon, T.: Top 10 reason why lean transformation fails (2013)
15. Pavlović, K., Božanić, V.: Lean and Six Sigma concepts–application in pharmaceutical industry.
Int. J. Qual. Res. 5(2), 143–149 (2011)
16. Pay, R.: Everybody’s jumping on the lean bandwagon, but many are being taken for a ride. Ind.
Week 5 (2008)
17. Pepper, M.P., Spedding, T.A.: The evolution of lean Six Sigma. Int. J. Qual. Reliab. Manag.
27(2), 138–155 (2010)
18. Snee, R.D.: Lean Six Sigma–getting better all the time. Int. J. Lean Six Sigma 1(1), 9–29 (2010)
Chapter 6
Structural Equation Modelling
Application to Assess Environmental
Aspects in Implementing Sustainable
Manufacturing

Keshav Valase and D. N. Raut

Abstract Manufacturing industries consume different types of resources while man-

ufacturing their products as well as offering services. This consumption of resources,
particularly diminishing natural resources, has been hazardous and causing serious
losses to the environment and hence to the earth as well as animal and plant life.
Most of the manufacturing organizations have realized the need of corrective actions
towards this destruction. They have also realized the importance of adopting sustain-
able practices for their manufacturing activities to survive in the intense competition
at local as well as global level. Thus, the Sustainable Manufacturing (SM) has been
gaining increasing importance. Research so far in SM does not offer an easy to adopt,
integrated and holistic approach towards implementing SM. Most of the researchers
have mentioned the need of a comprehensive framework or a model for the adoption
of SM practices with due importance to ‘manufacturing and technology’ domain
over to three conventional domains of sustainability, i.e. economic, social and envi-
ronmental. The main aim of this paper is to address this need by proposing a basic
framework of four domains and hence to develop a Partial Least Square—Struc-
tural Equation Modelling (PLS-SEM) model validated using SmartPLS software for
the analysis of empirical data of Indian Engineering Manufacturing industries. The
results of model fit analysis revealed quite satisfactory performance of the ‘manu-
facturing and technology’ domain with acceptable level of control over the adverse
impact on environment and a need for enhanced attention towards social domain.
Authors of this paper expect that this study will provide a systematic approach for
the implementation of SM in manufacturing industries so as to enhance the decision-
making towards controlling adverse impact of manufacturing-related activities.

Keywords Environmental · Manufacturing and technology · PLS-SEM ·

Structural equation model · Sustainable manufacturing

K. Valase (B) · D. N. Raut

Production Engineering Department, VJTI, Mumbai University, Mumbai 400019, India
e-mail: kgvalase2013@[Link]

© Springer Nature Singapore Pte Ltd. 2019 93

A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
94 K. Valase and D. N. Raut

Nomenclature

AMOS Analysis of Moment Structures

AVE Average Variance Extracted
CR Composite Reliability
MCDM Multi-criteria Decision-Making
MODM Multi-objective Decision-Making
PLS Partial Least Square
SEM Structural Equation Modelling
SM Sustainable Manufacturing
SMEs Small and Medium Enterprises
SMP Sustainable Manufacturing Practices
UNSD United Nations Statistics Division

6.1 Introduction

The advancements in fast-growing manufacturing technology, communication tech-

nology and continuously changing demand patterns are some of the major reasons
having a deep impact on manufacturing industries across the world. This situation has
led to ever-increasing competition making it very difficult for manufacturing organi-
zations to survive. These manufacturing industries from any nation have significant
contribution towards the economy of that nation. On the other hand, they consume
huge amounts of variety of resources such as men, machines, different materials,
money, energy, etc. This consumption has a multifaceted impact—wherein the first
and foremost is that most of the materials consumed are diminishing the stock levels
of natural resources, particularly non-renewable resources. Second, the consumption
of resources generates tremendous amount of variety of wastes, harmful gases, lead-
ing to poisoning of the biosphere. This in turn causes acid rain, global warming and
a bunch of similar environmental hazards. The fast depleting natural resources have
made it a further grave situation. Additionally, increasing awareness of these facts
by stakeholders has been developing unrest in the demand situations in the market.
Manufacturing organizations are compelled to attend and address the seriousness
of this state, and hence they are bound to show their concern towards enhancing
sustainability in manufacturing.
Almost all the manufacturing industries have adverse environmental impacts of
their manufacturing activities in varying degrees, contributing towards the destruc-
tion of the mother earth. Manufacturing organizations are trying to enhance their
concern over adopting practices of sustainability in manufacturing to reduce adverse
environmental impacts of their activities, which plays a crucial role in deciding the
economies of their nations [5, 11].
An international programme for a sustainable society was organized by United
Nations Statistics Division (UNSD) in 1992. During this programme, the need was
6 Structural Equation Modelling Application … 95

recognized to address unsustainable lifestyle and their side effects [37]. During sim-
ilar programme organized after 10 years, it was realized that for a sustainable devel-
opment, it is essential to change the unsustainable patterns of production and con-
sumption. It was also noticed that for achieving this goal, there is a need for further
intense research, business models and community initiative [37]. With traditional
approaches followed by many organizations, the product development is carried out
with cost/profit models. Most of these organizations have a delayed concern over
environmental assessment and are not integrated with their existing development
activities [33]. The manufacturing organizations need to consider the interactions of
their products, processes and allied activities to understand and control their effects
on environmental pollution. Manufacturing firms can offer these things with effi-
cient and effective consumption of manufacturing resources without compromising
the standards and health of upcoming generations [46]. Further to this, with changing
market conditions, manufacturing firms are expected to recognize the relationship
between manufacturing operations and the natural environment for the sustenance of
manufacturing businesses [5, 38]. This fact is leading to the considerations of multi-
faceted aspects of manufacturing activities while adopting sustainability. Despeisse
et al. [14] mentioned in their paper that the research in Sustainable Manufacturing
(SM) is crossing disciplinary boundaries. This adoption of SM practices has become
more challenging as most of the times these authorities from industry are in a state
of confusion basically for wherefrom to begin and second they do not know how to
handle the enablers and barriers of SM. They are required to be provided with the
comfortable ways and means of adopting and hence maintaining the SM practices.
Thus, simple to grasp and easy to practice information on SM is essential for the
industries and their managers to enhance sustainability in manufacturing. Follow-
ing sections deal with the literature review and proposed Structural Equation Model
(SEM) with results and future scope.

6.2 Literature Review

The changing global scenario has made it almost inevitable for the manufactur-
ing firms to adopt information technology, communication technology as well as
advanced manufacturing technologies [3] to sustain in the intense business compe-
tition. This can be well achieved basically by adopting effective and efficient ways
of consumption of resources [5] for incorporating sustainability in manufacturing.
However, adopting SMP has been challenging for organizations since most of them
are unaware of how to utilize the enablers and mitigate the effect of barriers of SM
[4]. Moreover, the research so far in this field has been confined to three domains
of sustainability, i.e. economic, social and environmental. There is a vital need for
addressing sustainability issues in manufacturing with additional domains so as to
establish a fine correlation amongst various parameters. The research in the field of
SM provides the principles for making manufacturing sustainable but it covers very
96 K. Valase and D. N. Raut

little practical guidance on their applications [2, 20]. The literature review is grouped
under two heads of SM and SEM.

6.2.1 Sustainable Manufacturing

The definition of SM given by U.S. Department of Commerce is ‘the creation of man-

ufactured products that use processes that minimize negative environmental impacts,
conserve energy and natural resources, are safe for employees, communities and con-
sumers and are economically sound’ [2, 4, 18, 30, 38]. All the major elements of this
definition are required to be well focussed and addressed by the concerned authori-
ties in manufacturing organizations. Manufacturing establishments from developing
countries are trying to inculcate new approaches towards the activities of production
and consumption [9]. The overall supply chain as well as product life cycle should
be thought properly so that due considerations to variety of predominant elements
are offered while adopting SM practices. Further to this, organizations intending to
practice environmentally friendly products and operations are required to understand
that they can recover costs quickly contributing to competitive advantage rather than
suffering a burden [46]. Very few quality reports are available on levels of SM activ-
ities exercised by the manufacturing organizations [13]. Despeisse et al. [14] have
explored the need to address different challenges in adopting SMP, from manufac-
turer’s point of view. Following Table 6.1 gives the compilation of the literature
review.
Thus, Table 6.1 highlights ample potential for research in the field of SM imple-
mentation in manufacturing industries that provide a standard and comprehensive
reference model. It also indicates the need for the consideration of manufacturing and
technology domains to be duly valued in the developing the framework. Research
gap also projects the importance of empirical studies with the survey data from
manufacturing industries.

6.2.2 Structural Equation Modelling (SEM)

There are plenty of techniques in statistics for studying the relationships between
dependent and independent variables. Regression models establish the relationship
between one dependent variable and one or more independent variables, whereas
structural equation modelling can be considered as an application of regression anal-
ysis to multiple latent variables defined by the researchers [31, 47]. These latent
variables may represent a set of dependent and independent variables. It can also
be said as a multivariate technique for the analysis of direct and indirect effects of
different variables in the model, using multiple regression analysis. de Carvalho and
Chima [12] have provided an overview of SEM for testing relationships between
indicator variables and latent variables with its scope beyond conventional field of
6 Structural Equation Modelling Application … 97

Table 6.1 Compilation of research papers for identifying the research gap
SN Major gap for SM implementation References
1. Development of standard/comprehensive Bhanot et al. [4], Chun and Bidanda [8],
reference model or systematic approach Despeisse et al. [14], Gunasekaran and
for SM Spalanzani [20], Vinodh and Joy [50],
Zubir et al. [52], Kibira et al. [34]
2. Identifying and addressing proper critical Dawal et al. [11], Ghazilla et al. [19],
variables such as safety, health, recycling, Bhanot et al. [4], Dewangan et al. [15],
manufacturing capability, Singh et al. [45], Kibira et al. [34],
remanufacturing, etc. Rusinko [39], Ijomah et al. [28]
3. Need of empirical studies for the Dubey et al. [17], Dubey et al. [16],
implementation of SM with Dewangan et al. [15], Gunasekaran and
different/developing countries Spalanzani [20], Jovane et al. [32]
4. Different qualitative/quantitative Dewangan et al. [15], Trianni et al. [49],
approaches for SM implementations like Dubey et al. [16], Mittal and Sangwan
SEM, MCDM/MODM* , etc. [36], Chun and Bidanda [8], Shi et al.
[43], Gungor and Gupta [21]
5. Limited work on integrating product and Jayal et al. [30], Jawahir et al. [29],
process design with sustainability Kaebernick et al. [33]
6. SM improvement opportunities in view of Sen et al. [41], Despeisse et al. [14]
manufacturer/manufacturing operations
7. Less work on sustainable Gunasekaran and Spalanzani [20], Clark
production–consumption et al. [9]
8. Research to improve understanding of Rosen and Kishawy [38], Chow and
SM; enhancing considerations of Chen [7]
technology
9. Less focus on effective technologies, Dewangan et al. [15]
manufacturing flexibility
10. To address unsustainable lifestyles with Mont et al. [37]
socio-technical approach

social sciences. In recent times, SEM has emerged as a viable tool for most of the
research problems requiring statistical analysis in almost all fields like social science,
management, production and operations management, etc. The model fit depends on
the fit indices selected during the analysis which has been discussed by Daire Hooper
[10] and Hox and Bechger [25]. A structural equation model has been developed by
Sen et al. [41] for testing the relationship between environmental pro-activity and
financial performance of manufacturing industries from India and UK. Singh and
Khamba [44] proposed SEM model providing focus on factors of manufacturing
competency and strategic success for automobile industry. Hussey and Eagan [27]
used SEM technique for validating environmental performance improvement model
for SMEs in plastics manufacturing industries highlighting the need to move beyond
just complying with environmental regulations.
Structural equation model has been developed by Vinodh and Joy [50] for analysis
of the factors in SM implementation in manufacturing industries from Tamil Nadu,
98 K. Valase and D. N. Raut

India. Thirupathi and Vinodh [48] have used PLS-SEM for the analysis of SM factors
from auto-component sector of Tamil Nadu. The relationship between skill levels
of employees, manufacturing flexibility and business performance has been studied
by Mendes and Machado [35] applying SEM to the data collected from automotive
sector of different countries.
PLS-SEM has been used by Dubey et al. [17] for studying impact of institutional
pressures on implementation of sustainable production and consumption with the
survey of industries in India. Similar efforts were put by Dubey et al. [16] in devel-
oping World-Class Sustainable Manufacturing framework with PLS-SEM approach.
Zeng et al. [51] and Severo et al. [42] also used SEM for the analysis of relationship
between cleaner production and business performance parameters. Thus, SEM in its
various forms has proved to be a tool which offers plenty of inroads for studying the
relationships of multiple variables of statistical models practically from all walks of
life. Hair et al. [22] have presented the scope of PLS-SEM in their paper, highlighting
its advantages and limitations. PLS-SEM can handle a non-normal data even with
small sample size as against AMOS and other SEM tools.
These discussions reveal that SEM has its applications in the field of SM with
wide scope for the development of an approach that is easy to understand and apply
for SM implementation. Thus, the main problem identified by authors for study is:
To develop a systematic approach for the application of SEM to SM implemen-
tation in Indian engineering manufacturing industries to study the environmental
issues with due focus on manufacturing- and technology-related aspects.

6.3 Methodology

It is very much essential for the manufacturing organizations to recognize the impor-
tance and prioritization of variables in SM implementation so as to address the
environmental impact of their manufacturing activities. For this, an integrated and
comprehensive framework for SM is necessary, which can offer an ease to under-
stand and practice for the industry personnel. Thus, the major objectives of the study
are as follows:
• To propose a simple to grasp framework for the implementation of SM;
• To develop PLS-SEM model for the awareness, ease of acceptance and implemen-
tation of SM, while addressing environmental issues.
In view of this, the flowchart for the research methodology is depicted in Fig. 6.1.
With due considerations of the proposed framework (discussed in the next section),
a questionnaire is designed for the collection of data from the survey of engineering
manufacturing industries from India. To meet the requirements of the industrial
practitioners and to bridge the gap between academics and industrial practices, it is
very much essential to have a liaison among experts from both the fields. Hence,
the questionnaire developed has been validated by personally interacting with the
experts from industry as well as academics. This resulted in alterations of the initial
6 Structural Equation Modelling Application … 99

Literature review on SM and SEM

Proposing a framework for SM

Identify variables under the domains of this framework for SM

Develop a questionnaire for empirical study

Pilot survey, Validation of factors and questionnaire

Develop a final validated questionnaire

Survey of Indian engineering manufacturing industries

Proposing SEM model based on the proposed framework

Analysis of data using SmartPLS 3.0 software

Validation of model with suitable parameters

Fig. 6.1 Flowchart for research methodology

set of variables and their grouping under various domains. Particularly, due to the
basic intention of addressing ‘manufacturing- and technology’-related aspects, these
interactions proved to be very fruitful in view of developing final proposed model. The
selection of respondents was very challenging as the questionnaire has a widespread
field referred, demanding an exposure of respondents to various fields in four domains
of the framework. Moreover, they were expected to correlate the issues with three
basic domains of sustainability. These experts from industry have been holding the
designations of Director, General Manager, Assistant General Manager, etc. Some
of them are the consultants in the field of statistical analysis which is a crucial part of
the study. The manufacturing industries covered included automobile sector, motor
and pump manufacturing industries, electrical/electronic equipment manufacturing,
machine tool manufacturing industries and others. Heterogeneity is expected based
on the type of industry, so as to avoid focus on only certain sectors of industry, which
covered large scale as well as SMEs. The survey was conducted via ‘Survey-Monkey’
platform for which annual subscription was also paid to avail better options in the
survey. In addition to the basic survey data as against the questionnaire, it provided
the data on IP addresses of the respondents, time for response (to the accuracy level
of seconds), some results on basic statistical analysis with charts and graphs and
many more options. This increased the validity of the survey which is the prime
requirement in empirical study and analysis type of research work. The survey data
was analysed using SmartPLS 3.0 software for testing the model fit.
100 K. Valase and D. N. Raut

6.4 Proposed Model and Hypotheses

Manufacturing industries across the world are facing the problems of continuously
changing the state of competition, and hence the paradigms and challenges [24].
The awareness of stakeholders is also contributing more towards the unrest. Addi-
tionally, government regulations have been imposing environmental restrictions on
their manufacturing and related activities. This has led to constraining the research
efforts in SM, thereby demanding efficient utilization of overall resources [8]. The
research work carried out so far has largely referred to three-domain framework in
sustainability including social, economic and environmental domains [2, 6, 7, 38,
50]. Recently, some of the manufacturing industries have started attending environ-
mental issues of sustainability also [38], as against earlier state of addressing only
economic issues. Following paragraphs brief about the proposed framework for SM
implementations as well as SEM model along with the hypotheses.

6.4.1 Proposed Framework for SM

To address the sustainability aspects in manufacturing, it has now become crucial

to address these issues at micro-level with a wide scope for addressing the maxi-
mum extent possible by considering more manufacturing activities which have high
impact of the environment. Hence, there has been an ever-increasing need to con-
sider SM implementation beyond conventional three domains of economic, social
and environmental aspects with more comprehensive and integrated approach [38].
Kibira et al. [34], Chun and Bidanda [8] and Sen et al. [41] have proposed con-
siderations of additional ‘Manufacturing’-related activities, whereas Jovane et al.
[32], Chow and Chen [7], Shi et al. [43], Ghazilla et al. [19] have referred ‘Tech-
nology’ domain-related variables in their overall frameworks. Technology is very
much related to manufacturing and is affected by products, processes and practices
[38] in manufacturing. With this, the authors of this paper propose a framework for
SM implementation, with additional domain of ‘Manufacturing and Technology’, as
shown in Fig. 6.2. The intention in proposing an additional domain of ‘manufacturing
and technology’ is to address the issues in view of the authorities in manufacturers
and to duly value their perceptions while facing the practical difficulties, and hence
taking proper decisions towards sustainability.

6.4.2 Proposed Inner (Structural) Model and Hypotheses

The proposed inner model (Fig. 6.3) has four domains, based on the proposed frame-
work shown in Fig. 6.2, considered with the intention of defining environmental
domain as the target endogenous construct. The aim is to understand the impact of
6 Structural Equation Modelling Application … 101

Fig. 6.2 Proposed framework of SM

Fig. 6.3 Proposed inner model and hypotheses

Table 6.2 List of proposed

H1 ‘Manufacturing and Technology’ domain activities and
hypotheses
social domain are correlated
H2 ‘Manufacturing and Technology’ domain activities and
environmental domain are correlated
H3 ‘Manufacturing and Technology’ domain activities and
economical domain are correlated
H4 Social domain activities and environmental domain are
correlated
H5 Economical domain activities and environmental
domain are correlated

‘manufacturing- and technology’-related decision-making ultimately on the environ-

mental aspects.
Based on this SEM model, Table 6.2 gives five hypotheses defined which are
then tested for the model fit. These hypotheses define the associations of different
domains in the model, and hence their performance in relation to each other.
Table 6.3 provides the list of variables under each domain referred in the proposed
model. In addition to the references of the researchers, these variables have been val-
idated by personally interacting with consultants, academicians and experts from
manufacturing field with the designations of Vice-presidents, Directors, General
Managers, etc., representing various engineering manufacturing industries. These
102 K. Valase and D. N. Raut

variables are the parameters deciding the state of manufacturing firms while address-
ing the environmental impacts of their manufacturing-related activities. The model
fit analysis establishes the correlation of these variables as well as the domains rep-
resented by them. Authorities from industry are expected to understand the priorities
for these variables so that they can strategically handle them so as to trade off the
variables in availing the best results in adopting SM practices, thereby surviving
in the heavy business competition. In this view, the selection of variables becomes
very much critical in the overall study. The groping of variables under new proposed
domain of ‘manufacturing and technology’ offers a due scope in dealing with the
issues in SM practices.

6.5 Results and Discussions

The proposed model has one exogenous construct of ‘Manufacturing and Technol-
ogy’ (MAT in Fig. 6.4) and three endogenous constructs (Environmental, Economical
and Social, i.e. ENV, ECO and SOC in Fig. 6.4), wherein the environmental construct
is a target endogenous construct. After running the model, for outer (measurement)
model evaluations, output from PLS algorithm is shown in Fig. 6.4, which indicates
the variables finally retained in the model fit analysis.
The values of outer loadings for the final observed variables under different latent
variables are presented in Table 6.4, which indicates satisfactory values (>0.7) for
most of the shortlisted variables. For four variables, these values are around 0.6 but
they are retained to study their effect on other parameters. The variables with these
values less than 0.4 must be eliminated as that level of values indicates no worth for
studying the association of such variables.
For construct reliability and validity, the values of Composite Reliability (CR),
Average Variance Extracted (AVE) and Cronbach’s alpha are determined and pre-
sented in Table 6.5, which all indicate satisfactory levels compared to recommended
values, i.e. Cronbach’s alpha and composite reliability values are all greater than 0.7
and AVE greater than 0.5 [23], except one value of AVE for MAT is little less than
0.5.
Discriminant validity is tested by two ways of Fornell–Larcker criterion and cross-
loadings. In Fornell–Larcker criterion, the AVE of each latent construct is higher than
the constructs highest squared correlation with any other latent construct [23]. These
values of model evaluations are given in Table 6.6 and they satisfy the requirements.
Cross-loading evaluations are provided in Table 6.7 which clearly indicates that the
indicator loadings within the construct are higher than indicator values for other
construct, satisfying the validity requirements.
Under inner (structural) model evaluation, R-square for three endogenous con-
structs ECO, ENV and SOC are 0.407, 0.619 and 0.389. R-square values of 0.75, 0.50
and 0.25 for endogenous constructs can be taken as substantial, moderate and weak,
respectively [23]. Here, all R-square values are moderate as they are near 0.5 which
can be taken as quite satisfactory and justifying in manufacturing- and technology-
6 Structural Equation Modelling Application … 103

Table 6.3 Domain-wise list of variables

Variable References
Manufacturing and Technology Domain
1. Inventory quantity Amrina and Yusof [2], Kibira et al. [34]
2. Labour turnover Singh et al. [45], Amrina and Yusof [2],
Kibira et al. [34]
3. Material waste Singh et al. [45], Amrina and Yusof [2],
Feng et al. [18], Kibira et al. [34], Seidel
et al. [40]
4. Internal material handling Abdulrahman et al. [1]
5. Non value-adding time (NVAT) elements Amrina and Yusof [2]
6. Technology awareness Ghazilla et al. [19], Bhanot et al. [4],
Abdulrahman et al. [1], Mittal and Sangwan
[36], Shi et al. [43],
7. Skill/expertise Ghazilla et al. [19], Abdulrahman et al. [1],
Mittal and Sangwan [36], Shi et al. [43]
8. Training and education Bhanot et al. [4], Ghazilla et al. [19], Singh
et al. [45], Amrina and Yusof [2], Shi et al.
[43]
9. Research and development Ghazilla et al. [19], Dewangan et al. [15],
Amrina and Yusof [2], Jovane et al. [32]
10. Flexibility Ghazilla et al. [19], Dawal et al. [11], Singh
et al. [45], Amrina and Yusof [2]
11. Information and communication technology Dewangan et al. [15], Trianni et al. [49], Shi
(ICT) et al. [43], Jovane et al. [32]
Social Domain
1. Customer satisfaction Singh et al. [45], Rosen and Kishawy [38],
Amrina and Yusof [2], Jovane et al. [32]
2. Employee satisfaction Ghazilla et al. [19], Amrina and Yusof [2]
3. Health, safety, security of employees Rosen and Kishawy [38], Amrina and Yusof
[2], Feng et al. [18], Jovane et al. [32]
4. Work culture Ghazilla et al. [19], Rosen and Kishawy [38]
5. Corporate social responsibility (CSR) Ghazilla et al. [19], Singh et al. [45], Rosen
and Kishawy [38], Amrina and Yusof [2]
Environmental Domain
1. Pollutants Singh et al. [45], Rosen and Kishawy [38],
Amrina and Yusof [2], Feng et al. [18],
Kibira et al. [34]
2. Energy saving/generation Trianni et al. [49], Singh et al. [45], Vinodh
and Joy [50], Rosen and Kishawy [38],
Amrina and Yusof [2], Feng et al. [18],
Kibira et al. [34], Jovane et al. [32]
(continued)
104 K. Valase and D. N. Raut

Table 6.3 (continued)

Variable References
3. Environmental regulations Ghazilla et al. [19], Bhanot et al. [4], Mittal
and Sangwan [36], Kibira et al. [34]
4. Recycling, remanufacture, reuse Ghazilla et al. [19], Abdulrahman et al. [1],
Rosen and Kishawy [38], Hu and Hsu [26],
Jovane et al. [32]
5. Suppliers Ghazilla et al. [19], Amrina and Yusof [2],
Kibira et al. [34]
Economical Domain
1. Profitability Bhanot et al. [4], Kibira et al. [34], Jovane
et al. [32], Seidel et al. [40]
2. Financial constraints Ghazilla et al. [19], Bhanot et al. [4], Mittal
and Sangwan [36], Abdulrahman et al. [1],
Vinodh and Joy [50], Kibira et al. [34],
Jovane et al. [32], Shi et al. [43]
3. Government incentives Ghazilla et al. [19], Rosen and Kishawy
[38], Shi et al. [43]
4. Manufacturing costs Singh et al. [45], Amrina and Yusof [2],
Jovane et al. [32]
5. Quality costs Dawal et al. [11], Singh et al. [45], Rosen
and Kishawy [38], Amrina and Yusof [2]

related decision-making. The recommended values for ‘F-square’ are 0.02, 0.15 and
0.35 for weak, moderate and strong effects. Model evaluations for F-square indicate
that MAT → ECO  0.687 and MAT → SOC  0.637 are having strong effect;
MAT → ENV  0.163, ECO → ENV  0.245 have moderate effect, whereas SOC
→ ENV  0.136 value indicates weak effect.
Bootstrap analysis was carried out for 5000 subsamples, and the data analysed
for T-statistics and P-values corresponding to five proposed hypotheses are given in
Table 6.8 for the confidence level of 1%.
Considering the results from the above table and the complete model fit analysis,
one hypothesis of SOC → ENV is not supported by the empirical data, whereas rest
four hypotheses are well supported. It can be inferred from these results that there
is a need to enhance the decision-making towards social domain for the satisfac-
tory performance of the proposed SEM model while implementing SM to study the
environmental issues.
6 Structural Equation Modelling Application … 105

Table 6.4 Outer loading

ECO ENV MAT SOC
evaluations
ECO-1 0.824
ECO-2 0.689
ECO-3 0.772
ECO-4 0.770
ECO-5 0.841
ENV-2 0.654
ENV-3 0.826
ENV-4 0.718
ENV-5 0.807
MFG-4 0.577
MFG-5 0.606
SOC-1 0.740
SOC-2 0.790
SOC-3 0.835
SOC-4 0.868
SOC-5 0.715
TEC-1 0.713
TEC-3 0.783
TEC-5 0.677
TEC-6 0.706

Table 6.5 Construct

Cronbach’s Composite Average
reliability and validity
alpha reliability variance
extracted
(AVE)
ECO 0.841 0.886 0.610
ENV 0.750 0.840 0.570
MAT 0.767 0.837 0.463
SOC 0.850 0.893 0.626

Table 6.6 Discriminant

ECO ENV MAT SOC
validity—AVE values
ECO 0.781
ENV 0.736 0.755
MAT 0.638 0.682 0.681
SOC 0.725 0.619 0.624 0.791
106 K. Valase and D. N. Raut

Fig. 6.4 PLS algorithm evaluations for SEM model

6.6 Conclusion

Even in the state of intense survival issues in the local as well global market,
decision-makers from majority of the manufacturing industries have realized the
importance of controlling the unsustainable practices of manufacturing so as to min-
imize the adverse effects of their manufacturing activities. Literature review has
reflected that there has been a need to further enhance the research activities towards
addressing environmental issues related to decision-making in ‘manufacturing- and
technology’-related domains in industries. This paper basically proposes a four-
domain framework for studying environmental impacts of SM practices with a focus
on ‘manufacturing- and technology’-related issues.
The empirical data required for the model fit analysis is collected from Indian
engineering manufacturing industries using ‘Survey-Monkey’ platform and is anal-
ysed using SmartPLS 3.0 software. The model fit parameters in outer (measure-
ment) model are quite satisfactory. ‘Manufacturing and technology’ domain-related
parameters in inner (structural) model evaluations also reveal satisfactory results,
and corresponding three hypotheses (H1–H3) are supported by the data. Hypothesis
H4 is not supported which reflects the need to enhance the social domain-related
decision-making for enhancing the environmental domain-related issues, whereas
6 Structural Equation Modelling Application … 107

Table 6.7 Discriminant

ECO ENV MAT SOC
validity—cross-loadings
ECO-1 0.824 0.607 0.545 0.598
ECO-2 0.689 0.375 0.394 0.469
ECO-3 0.772 0.618 0.600 0.563
ECO-4 0.770 0.521 0.432 0.564
ECO-5 0.841 0.690 0.486 0.620
ENV-2 0.438 0.654 0.472 0.363
ENV-3 0.565 0.826 0.614 0.608
ENV-4 0.357 0.718 0.340 0.191
ENV-5 0.750 0.807 0.565 0.572
MFG-4 0.340 0.270 0.577 0.371
MFG-5 0.463 0.297 0.606 0.407
SOC-1 0.737 0.572 0.599 0.740
SOC-2 0.528 0.372 0.451 0.790
SOC-3 0.524 0.443 0.462 0.835
SOC-4 0.544 0.423 0.484 0.868
SOC-5 0.468 0.576 0.424 0.715
TEC-1 0.368 0.519 0.713 0.386
TEC-3 0.542 0.456 0.783 0.600
TEC-5 0.413 0.563 0.677 0.297
TEC-6 0.456 0.616 0.706 0.451

Table 6.8 T-statistics and P-values

Hypothesis T-statistics P-values CL* Hypothesis
H1  MAT → SOC 9.905 0.000 1% Supported
H2  MAT → ENV 2.842 0.004 1% Supported
H3  MAT → ECO 9.031 0.000 1% Supported
H4  SOC → ENV 0.468 0.640 1% Not supported
H5  ECO → ENV 3.16 0.002 1% Supported
*CL  Confidence Level

another hypothesis H5 is supported by the data. It can be concluded from this that
engineering manufacturing industries from India need to enhance their decision-
making in social domain-related issues towards improving its correlation with the
‘Environmental’ domain.
The future scope is observed in studying the mediating effects of various latent
variables as well as moderating effects of SMEs and large-scale manufacturing orga-
nizations. The SEM applications may be extended to different combinations of criti-
cal variables under each domain depending upon the eventual trade-off requirements.
108 K. Valase and D. N. Raut

This research work will provide an easy-to-grasp approach for SEM application to
SM implementations in manufacturing organizations to study environmental impacts
of their ‘manufacturing- and technology’-related decision-making.

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Chapter 7
Service Quality Through the Lens
of SAP-LAP Methodology: A Case Study

Ajay Gupta, Rajeev Trehan and Surjit Kumar Gandhi

Abstract In the customer-centric marketplace, it is getting increasingly important

to add value in services being delivered to customers. The service quality rendered to
consumers results in developing loyal customers, which helps to yield enhanced busi-
ness performance. The present study tries to study the service quality being imparted
to stakeholders by a well-established group of technical institutions located in North
India established since 2001. This study is carried out through a specific case study
tool named as SAP-LAP (Situation-Actor-Process–Learning-Action-Performance)
methodology from the stakeholders’ point of view. The analysis brings out six ser-
vice quality factors, namely, leadership, process management, people management,
resource management customer satisfaction, and customization to influence the out-
come in terms of placements, reputation, growth, and sustainability of such institu-
tions.

Keywords Service quality (SQ) · Technical education · DSMG model ·

SAP-LAP methodology

7.1 Introduction

The concept of TQM in higher technical education is rapidly gaining ground since
its outcomes are the human resources, who are the most valuable assets particularly
for the third world [13]. Abdullah [1] pointed out that there exist “invisible” com-
petitions between countries, and “quality of education” is the key deciding factor

A. Gupta · R. Trehan · S. K. Gandhi (B)

Department of Industrial and Production Engineering, Dr. B. R. Ambedkar National Institute of
Technology, Jalandhar 144011, Punjab, India
e-mail: skgandhi21@[Link]
A. Gupta
e-mail: guptaa@[Link]
R. Trehan
e-mail: trehanr@[Link]

© Springer Nature Singapore Pte Ltd. 2019 111

A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
112 A. Gupta et al.

to emerge as winner. Thus, the quality assurance and associated determining fac-
tors need to be explored [22]. Feigenbaum (1993) addressed the quality issues to
suit industrial environment for effective execution of quality management into the
critical dimensions of quality management strategies [10].
India has not yet registered its presence to World Trade Organization w.r.t. techni-
cal education sector. However, liberalization and globalization of knowledge leave no
option for technical institutions of developing world except changing mindsets and
enhancing the quality [28]. Academic institutions need to continuously invigorate
their traditional structures and develop innovative ways of serving their customers
more effectively thereby delighting them. If an education provider has to obtain a sus-
tainable competitive advantage, it must understand customer satisfaction especially
in terms of perceptions of services quality [27].
Researchers have identified a number of attributes affecting SQ of higher/technical
education, namely, knowledgeable teachers [8], quality of lectures [38], relevant and
industry-oriented syllabus [35, 36], emphasis on soft skills [36], prompt evaluation
and feedback of students [1], effective classroom management [4], internal quality
feedback programs [32], affordable fee [37], placement opportunities [40], ideal
campus location [11], layout [39], reputation (), hostel and recreational facilities
[16], and modern state-of-the-art technology [21] to name a few.
Given the importance of technical education, particularly the emerging economies
like India, and appreciating the critical junctures at which they find themselves today,
research effort to bring out SQ factors specific to their present dynamic circumstances
is well justified. The findings of the study would be useful for the management of
these institutions to continuously improve the quality delivery of services to their
stakeholders.
The purpose of an SAP-LAP model is to help analyzing and creating workable
ideas on the situation, actors, process, and their mutual interactions. SAP-LAP struc-
ture generates generic as well as specific models for managerial inquiry and problem-
solving [34]. The framework ultimately synthesizes the situation and facilitates the
action and learning process to consolidate the knowledge gained through the study.
SAP-LAP brings out the strengths and weakness of the system, in its paradigm. The
main difference between the SWOT (Strength–Weakness–Opportunities–Threats)
and SAP-LAP analysis is that latter comes out with possible suggestions and expected
performance of a system through the key learning issues [17].
The study aims at answering the following questions: What are the expectations of
top management of education organizations from the quality management function?
How can a service organization sustain and develop its systems? How effective can
the management strategy be in fostering the innovation culture within an institution?
The study addresses these questions under the analysis of SAP-LAP. The method-
ology covered the following features: legacy of the institution, philosophy, quality
management strategy, interdisciplinary teamwork, collaborate industrial alliances,
clarity in purpose of organization, innovation, flexibility in administration, research
projects and productivity, resources generation, relationship with neighboring insti-
tution, technology transfer, stakeholder development, and social responsibility.
7 Service Quality Through the Lens of SAP-LAP Methodology … 113

Learning Performance

Action

Situation Process

Actor

Freedom of Choice

Fig. 7.1 SAP-LAP architecture (Source Husain and Pathak [12], Sushil [34])

The scope of the study has been identified in ABC Group of Institutions (original
name disguised) in Punjab. The roles played by various individuals and associated
people involved have been described. The present situation of the institution and the
prevailing environment have also been highlighted. The takeaways from the study
in form of learning points have been charted out, the possible futuristic roadmap has
been suggested, and expected outcomes have been visualized. Figure 7.1 shows the
interaction of entities in the SAP-LAP architecture.

7.2 Literature Review

Table 7.1 tries to capture the multifaceted conceptualization of literature on service

quality in technical education in the twenty-first century.
Sushil [34] pointed the need for a framework which supports flexibility and adapt-
ability in enquiring the situation of technical education in the changing environment.
The flexibility in the management operates through the interaction in learning, action,
and performance. The implementation of the SAP-LAP models can be done through a
group exercise by considering multiple perspectives of various actors. The SAP–LAP
models have been characterized for general problem-solving, change, and flexibility
[34]. Change and flexibility are inevitable in modern organizations, which ideally
suits SAP-LAP. In view of that, this case study introduces the Situation-Actor-Process
(SAP)–Learning-Action-Performance (LAP) as the framework for developing mod-
els of managerial inquiry. Husain et al. [12] conducted a case study using SAP-LAP
analysis of the technology management strategy on the three Indian automobile
industries. They observed that flexibility in managerial enquiry is not reported in
the conventional case study process; however, the SAP-LAP methodology helps to
analyze the change and flexible situations in an organization.
114 A. Gupta et al.

Table 7.1 Studies on service quality in higher/technical education

Author and year Factors considered Academic parameters
Datta [7] Tangible, empathy, attitude Responsiveness, reliability,
outcome quality
Sohail and Shaikh [31] Physical evidences, access to Curriculum, responsiveness,
facilities contact personnel, reputation
Lagrosen et al. [18] Campus facilities, ITC Intrinsic and extrinsic
effectiveness, best practices evaluations, IT facilities,
e-resources in library
resources, industrial
collaboration
Joseph et al. [14] Campus servicescape, Size/schedule, peer group
facilities, social prestige, fee
Sahney et al. [26] Attitude, content Competence, delivery,
reliability
Abdullah [1] Nonacademic aspects Program issues, reputation
academic aspects, access
Mahapatra and Khan Personality development, Learning outcomes
[20] responsiveness
Angell et al. [2] Cost, leisure Academics, industry links
Singh et al. [29] Supplementary processes, Teaching–learning process,
financial resources infrastructure, tangibles,
institutional governance
Tsinidou et al. [36] Infrastructure, location, Carrier prospects, curriculum
administration service structure, library services,
academic staff
Sumaedi and Bakti Supporting facilities, social Academic content and
[33] activities knowledge center, class
program and facilities
Jain et al. [13] Academic facilities, input Outcome, reputation
quality, curriculum, industry
interaction, support facilities.
Extracurricular activities,
interaction quality
Kamakoty et al. [16] Learning resources, teaching Training and placement,
resources, infrastructure, curriculum delivery,
faculty competence, faculty curriculum design
development
7 Service Quality Through the Lens of SAP-LAP Methodology … 115

Flexible and
QualitaƟve
ObservaƟons

Relevance to DSMG
SAP-LAP Case study Model
Annual Report

Summary

Informal
Financial Experts
Interviews
Statement

Fig. 7.2 Methodology adopted for SAP-LAP case study

In general, the effectiveness of a case study depends on the deep-rooted under-

standing and creative group learning about the important aspects of the problem. The
purpose of an SAP-LAP model is to help in the process of analysis and for creating an
idea on the situation, action and process, and their interactions. SAP-LAP framework
can be used to generate generic as well as specific models for managerial inquiry and
problem-solving. The model ultimately synthesizes the framework and facilitates
the action learning process to consolidate the knowledge gained through the study.
SAP-LAP facilitates the strengths and weakness of the system, in its paradigm. The
main difference between the SWOT (Strength–Weakness–Opportunities–Threats)
and SAP-LAP analysis is that latter comes out with possible suggestions and expected
performance of a system through the key learning issues, e.g., in an engineering col-
lege, there may be more doctoral degree holders, and it may be claimed as a major
strength, but in a real scenario, there may not be any further research contributions
from the doctoral degree faculty members. This issue is highlighted with expected
performance in SAP-LAP. Figure 7.2 shows the methodology adopted for the case
study.
Relevance to Driver System Measure Goal (DSMG) Model
The critical success factors of service quality have been arranged in the order of
DSMG model of service quality as perceived by the user. The major findings of this
model are presented below:
116 A. Gupta et al.

(i) Leadership (Driver)

(ii) Process management and people (System)
management
(iii) Measurement of resources (Measure)
(iv) Customer satisfaction (Goal)

The central hypothesis in DSMG model is that each dimension positively influ-
ences an individual’s attitude toward using a new model, which in turn influences
to use it. The objective of this research is to test the quality management model
as presented by the DSMG. The independent factor in the model is leadership and
measurement of resources. The dependent factors are process management, people
management, and customer satisfaction.
In a nutshell, the Driver System Measure Goal (DSMG) model indicated the
following:
DRIVER
Leadership: Administrative capability of the institution, i.e., it examines how the
institutions can achieve continuous quality, through the driving forces of the senior
personnel and the involvement of all levels of the institution to achieve performance
excellence.
SYSTEM
Process management: How efficient the processes are being managed in the insti-
tutions? That is, it examines how the various key processes, management, and eval-
uation are improved to achieve service excellence.
People, management: How the human resources are being managed and made
capable of doing things? That is, it examines how the institution plans and develops
its human resources to achieve the maximum potential of its employees.
MEASURE
Measurement of resources: Effective creation, utilization, and sustenance of phys-
ical, human, and financial resources. That is, it examines the management of various
resources in the institution, namely, financial, physical, human, and technology in
order to support and the effective operation of processes.
GOAL
Customer satisfaction: Satisfaction on the process and effectiveness. That is, it
examines how the institution takes care of customer requirement and gets responsive
to customer needs to maintain high levels of service through a variety of indicators.
The following identification of components of DSMG model SAP-LAP is applied
to capture the qualitative and quantitative aspect of the service systems and suggested
actions for the expected performance.
The SAP-LAP methodology has been applied by various researchers to various
applications as given in Table 7.2.
7 Service Quality Through the Lens of SAP-LAP Methodology … 117

Table 7.2 Select SAP-LAP applications

Author and year Issues Application
Sushil [34] Inquiry of flexible system MIS planning, i.e., evolve and
management implement the models
Duggal et al. [9] Management of information The impact in issuing driving
technology license using smart cards
Husain and Pathak [12] Handling technology Three Indian automobile
management practice firms
Chatterjee and Prabhakar [6] Examines the experience of a ICT deployment in
number of internet portals in agricultural marketing
e-marketing
Arshinder et al. [3] Procurement in supply chain Explored the status of
management coordination supply chains
Karthikeyan et al. [17] Improvement of placement Case study of engineering
activities in engineering college
education industry–institute
interaction
Charan [5] Information sharing and Supply chain performance
technology, collaborative issues in an automobile
partnerships, and vendor company
management
Palanisamy [25] Building information systems SME sector
flexibility
Mahajan et al. [19] Performance parameters of Frozen corn manufacturing
SCM participants and its supply chain
Singh and Shalender [30] Marketing flexibility Success of Tata Nano car
Kabra and Ramesh [15] Importance of information Humanitarian supply chain
and communications management
technology (ICT)

7.3 A Case Study on Technical Institution Using SAP-LAP

7.3.1 Background of ABC Group of Institutions, Punjab

For over 17 years, the ABC Group of Institutions (original name disguised) has been
in the forefront in technical education in Punjab. The institute came into existence in
2001 and began its philanthropic work on teaching and training. It delivered the first
batch of technical graduates in 2005. Since then, the group has been contributing
to the cause of engineering education, with a management commitment to process,
technology, and quality. After a decade of its establishment, the group was in a
strong position of continuous growth with an annual placement of 300+ students out
of 480 in undergraduate education. To maintain a high level of harmony between
faculty, students, and management, the group innovated its own processes, managed
collaborations, and put efforts for the development of faculty and students.
118 A. Gupta et al.

The group stands not for just producing technical graduates, but aims to attain a
high degree of philanthropy value for serving the society. This in the contemporary
view is known as “participative management”—the concept of management includes
student’s cooperation, and faculty development through focused as well as interdisci-
plinary training and industry collaborations. The prerequisites for growth in today’s
business environment are cutting-edge technologies and result-oriented processes.
Incorporating state-of-the-art technologies and process management into all teaching
and learning processes, the group focused its quality strategy on developing campus
facilities with high level of commitment.

[Link] Stakeholders

Students, parents, industry, and society in general are the important stakeholder for
the institutions. Most of the students joining the ABC Group hail from rural and
semi-urban areas through online counseling process of affiliating university. Parents
are mostly literate, but predominantly hail from the rural areas. Reputed engineering
industries are periodically visiting the campus for placement, training, students and
staff internship, project work, etc.

[Link] Objectives

The objective of this case is to assess the quality management practices in Indian
technical institutions with a special focus on the following aspects:
• Institutional management;
• Curriculum development;
• Capability of innovative teaching methodologies;
• Industrial collaborations—sponsored projects, testing, internship, and training;
and
• Research projects and consultancy with external agencies.

[Link] Issues

• Mission of the group of institutions: The group’s mission is for slogan sake,
often misunderstood and for the management perspective, the group has achieved
the mission and there is no real evidence in translating the mission through goals
and objectives.
• Institutional benchmarking: Benchmarking with competitive institutions is
highly regional one and the group has never attempted to benchmark the best
practice with well- established and reputed institutions.
• State-of-the-art technology for upgradation: The ABC Group is under the notion
that the technology upgradations are to be imposed from the regulatory bodies or
7 Service Quality Through the Lens of SAP-LAP Methodology … 119

affiliating agencies. Institutions are not proactively coming forward to upgrade

the laboratories and equipment, even though there are many schemes are through
external funding agencies and industries.
• Faculty development: The group is least bothered about its faculty develop-
ment academically, as there is no budgetary allocation for faculty development
programs. Institutions are under the impression that faculty development is the
responsibility of the university/regulatory bodies.
• Innovations in quality improvement: The top management is mainly involved in
their routine exercise of budgeting and introduction of new programs rather than
any innovation for quality improvement in their system.
• Building competencies/skills of students: The feedback from the industries is
highly discouraging, about 75% of the graduates being “unemployable”; still the
focus is not on developing the competencies and skills of technical students.
• Research capability and productivity: Though faculty members are sincere in
teaching and associated activities, but when it comes to the research, the group is
not in a position to tap the potential of their own faculty members due to the lack
of leadership at every level.

7.3.2 Tool: Situation-Actor-Process–Learning-Action-

Performance
(SAP-LAP)

SAP analysis has been carried out covering for a period of 17 years for batches
starting from 2001 to 2017. The methodology is based on study by Palani Natha
Raja et al. [24].

[Link] Context

Making of an internationally renowned engineering institution through quality man-

agement.

Situation Prevailing

• The group has a mission and perspective plan for its growth.
• Multiple regulations are enforced by government agencies and affiliating bodies
for retaining approval, obtaining accreditation, acquiring autonomy status, and
affiliation of all the programs.
• Budget for the last financial year 2017–2018 was clearly framed out of the tune
of Rs. 5 crores, which encompasses, staff salary, equipment, consumables, infras-
tructure development, training, travel allowances, skill development programs, and
administrative expenses.
120 A. Gupta et al.

• Periodically, reviews are taking place through College Development Council and
Departmental Advisory Committee for effective monitoring.
• The group has consolidated its human resource and financial strength being purely
self-financing.
• There has been always a focus on teaching innovation due to changing needs of
students being admitted.
• Resources generation efforts have been taken and collaborations on research and
development projects with national and international automotive agencies are vis-
ible.
• Admissions to the group are no longer competitive as no differentiating strategy
was employed.
• Collaborative tie-ups with few leading industries ensuring availability of state-of-
the-art knowledge in terms of technology and management practices.
• Leading industrial partners ensure a long-term relationship with the group for
their business solutions vide training, faculty and student internships, technical
competitions, sponsored projects, and research tie-ups.
• Harmonious relations exist with stakeholders like parents and industrialists. Par-
ents demand better institutional performance in terms of scholarship, placements,
and skill development. Employable (technical and soft skill developed) students
are being expected by the industries.
• Teaching and learning innovations through model creation, software management,
industry defined projects, etc., create conductive opportunities to meet the dynamic
industrial requirements.
• A rich resource of trained faculty exists to take the challenges posed by the indus-
trial partners. The group has more than 125 faculty members involved in teaching
and research. One-fifth of the total faculty members possess a doctoral degree.
More than 60% of the remaining faculty has registered for doctoral degrees. The
faculty–student ratio is 1:20.
• Head of the institution ensures the best practices from around the globe are imple-
mented and also key learning in terms of quality issues, stakeholders’ requirements,
etc., are implemented.
• Institution funds approximately 2% of the total budget for the faculty development
programs. Faculty development program includes attending short-term courses,
conferences, seminars, symposia, industrial training internship visits, undertaking
industry, and socially relevant projects.
• Appointment of consultants for carrying out specific initiative. (For instance,
administrative reforms, ISO, 5S, TQM activities, and mock accreditation pro-
cesses.)
• State-of-the-art information technology infrastructure in terms of high-end servers.
• The group is no longer on the preference list of admission seekers.
• The declining financial health of the group hinders in launching new initiatives.
• Introduction of contemporary areas/subjects is made by the university more effec-
tive by way of consultation with eminent researchers, industrial experts, alumni,
and academicians through the academic council. The entire syllabi are revised
every 5 years. The contemporary subjects are introduced as elective.
7 Service Quality Through the Lens of SAP-LAP Methodology … 121

• New administrative setup has been effectively decentralized by appointing campus

directors after 10 years of existence.
• There are around 20000 alumni and their database is maintained by each institution.
• Alumni chapters are functioning effectively. Alumni contribution toward the alma
mater is in the form of counseling and mentoring to the students, live projects
training, feedback on the syllabus, software development with the help of students,
live projects, training, feedback on the syllabus, software development, etc.
• An outsourced MIS has been developed for the administrative automation.
• Student attendance and continuous assessment details can be accessed through the
Internet portal of the institute.
• The institution is ISO 9001:2000 certified. It has procedure and processes for
the entire activities of the college: general administration, teaching, and learning.
Students’ activities, industry collaboration, research and development, hostels are
effective. However, monitoring of the processes is seriously lacking.
• The group could not get accredited even after graduating 13 batches of students.
• Long pending problem such as improvement in placements is plaguing the group.
• Academic calendar is available to know the schedule and cocurricular activities.
Minor deviations are observed due to the improper planning as tests and exami-
nations clash with the placements schedule.
• Classroom and lab ambience are conductive in nature for all the programs. Beyond
working hours in laboratories are the culture embedded among the students to
participate in the technical competitions and mini projects.
• Merit and means, single girl child, and deprived classes scholarships are available
for about 50% of the students.
• Student’s amenities such as canteen, transport, dispensary, nearby post office,
stores, shops, and restrooms are in place.
• National-level student’s symposium is being organized once in a year. Intra-
department contest among the students too is organized as part of the interdis-
ciplinary programs.

Actors

• The management of the charitable trust provides a clear strategy along with focused
direction and facilitates to meet the requirements of the group. Commencement
of new course, the establishment of new laboratories, physical infrastructure for
classrooms, and manpower requirement are decided by the management.
• The Board of Governors comprises veteran academicians, corporate senior offi-
cials, government nominees, and regulator representatives. The BoG keeps pace
with the stakeholder’s demand and provides the requisite resources.
• The curriculum, subjects of study, and syllabi are developed and approved by
the Academic Council of the affiliating university for a specified period. Eminent
academicians, industrial experts, scientist from R&D organizations, university
representatives, and heads of institutions are the members of the council. Periodi-
cally, new members are included in the council to have fresh ideas and suggestions
122 A. Gupta et al.

in academic development. The syllabus is continuously updated in tune with the

modern need of industries and feedback received from the council members. Also,
this council deals with all other academic related matters including discipline and
malpractices.
• This campus administration includes all the heads of the department and institu-
tional heads periodically. They review the progress of the institutional activities in
the areas of planning and administration, academic issues and development and
its interaction, and students’ activities. It provides the input to the management
for further development of the institutions such as array of new MoUs with other
institutions based on the review and monitoring of professional activities.
• The Heads of Institution (Director/Principal) sustains the teaching–learning pro-
cess, forecasted stakeholders’ grievances, alleviate the student issues, draft the
policies, and implements effective procedures. They receive feedback from alumni
and involve them in academic processes, corpus generation for scholarship, men-
toring the students for placements, and skill developments, research projects, and
training. They also head technological incubations, entrepreneurial role models
are the activities, mainly motivate and initiated by the institution.
• The Head of the Department works closely with faculty members and students
to monitor the functioning of the department. HoD is responsible for creating a
strategy for further expansion. She/he encourages faculty growth and guides the
faculty to meet external demands. The external demands are in the form of research
projects and industrial problems and testing the products.
• The Department Advisory Committees provide directions and advice to the depart-
ment on the innovations and implementation issues relating to infrastructure devel-
opment, teaching–learning process, industry–institute interaction, R&D, faculty
development and students activities so as to achieve the mission and objectives
envisioned in the policies of the institution.
• The Faculty acts as a facilitator for the students and mentors them to learn funda-
mental and newer technologies. They help the students to bring out their creativity
through teaching and develop their skills and also inculcating the habits of self-
study. The faculty also acts as an agent for behavior modification.
• The Students are actively involved in asynchronous learning of modern technolo-
gies. They are associated and involved with Special Interest Groups and societies
like SAE, IE (India), ISTE, etc. Students participate in the innovative design con-
test, project exhibition, and various professional activities. Students are supportive
in research projects undertaken by the faculty members. Each student is monitored
personally by a mentor personally and academically once a student enters into the
department discipline.
• The Librarian is responsible for issuing, ordering, procuring, and weeding out old
books, journals, periodicals and proceedings, etc. She/he facilitates the students
and faculty members in viewing the tele-education programs beamed by agencies
like EDUSAT, NPTEL, UGC, and other institutions.
• The Sports Officer is responsible for talent scouting of various games. He conducts
coaching camps for the students and proposes for infrastructure and equipment
for procurement.
7 Service Quality Through the Lens of SAP-LAP Methodology … 123

• Consultants from regulatory and accreditation bodies are also hired for quality
improvement.

Process

• Any educational institutions fundamental duty is to conceptualize the teaching and

learning processes and sustain the process with an effective monitoring mecha-
nism. The university’s Board of Studies (BOS) frames the learning objectives by
understanding the changing industrial trends. The learning objectives are available
for each subject.
• Most of the objectives are conversed with the creation of new knowledge, pro-
viding better content to the students, developing problem-solving ability, creative
thinking and skills development through training, imparting information and edu-
cate weaker students, providing links with industrial and research organization,
and institute of higher learning.
• Every department identifies theme areas and interest groups for accomplishing
objectives for the same. Asynchronous learning of students has been visualized
through mini projects and innovative design contests.
• Academic calendar is prepared well ahead of the commencement of classes. Class-
room and lab ambience and infrastructures are conductive for teaching and learn-
ing. Basic teaching aids and models are available for teaching.
• Lecture videos/CDs are provided to the students by the faculty members in
advance. Professional society activities had planned for the whole academic year
and schedule for the activities are reflected in the academic calendar.
• Invited Lectures are being arranged by every department in association on their
respective domain. Open source courseware is being collected from various reputed
institutions to enhance their learning on recent topics.
• Industry interactions result in singing of MoUs, student internships, student exclu-
sive contests, faculty exposed to specific training, involving the experts in boards
of students, identifying futuristic projects, etc.
• The group has prepared blueprint for every activity associated with teaching and
learning process. This includes planning and administration, quality system, enter-
prise resources planning for education system and support, faculty development
activities, academic issues, admissions, amenities, continuous assessment exami-
nations, academic and sponsored research, industry–institute interaction, profes-
sional society activities, department association activities, and student activities.
Collaboration, student awards, and fellowships are implemented.

Learning Issues

• The study reveals that awareness about the importance of faculty and their contri-
bution to the institution making is well recognized. However, the institutions need
124 A. Gupta et al.

to develop focused approaches and strategy to harness and upgrade the knowledge
more vigorously.
• Financial performance is under pressure due to non-release of post-matric scholar-
ship meant for SC/ST students who comprise 40% of the total strength at campus.
• Top management commitment for collaboration strategy with industry giants has
helped the institution in institutionalizing many collaborations. The collaborative
workplace has proved to be most effective in the transfer of tacit knowledge in the
area of high technological processes.
• Top management vision keeps the institution in learning mode and ready to
embrace the change.
• People-centric policies, their effective participation, commitment, involvement,
and creativity has kept the institutions in good stead. Rewards and incentive scheme
started in 2006 has worked well for the group.
• The perspective plan of the institution needs to be translated to the faculty, sup-
porting staff, and students. The effectiveness of quality initiatives depends on the
organization’s readiness for change.
• The revenue generation in the group institutions other than student’s fee is nascent.
More potential could be tapped for resources generation from industry in form of
consultation.
• Public relations and press interface are seriously lacking for the outreach of the
institution.
• Departmental budgets are overlapped.
• Benchmarking initiative in teaching and learning processes are insufficient and
more renowned institutions could be consulted and implemented.
• The alumni database is ill-maintained. All addresses and their current positions are
not in place. The group support is desired for alumni chapters since the deliberation
had held sporadically. Feedback from alumni needs formal mechanism structuring.
Alumni should be enthused to participate in the institutional activities and efforts
should be taken to tap their interest.
• Accreditation by NBA, NAAC, etc., is missing. Efforts could be initiated to
undergo the accreditation processes.
• The existing knowledge base of theme areas and Special Interest Groups (SIG)
are to be continuously updated in different streams. As and when new groups
are formed, the suitability of the group may be integrated for interdisciplinary or
multidisciplinary areas. The Special Interest Groups should be in conformity with
cutting-edge academic/industrial trends.
• In the process of evolving new educational models, constant stakeholders’ feed-
back particularly industry is to be structured to redefine objectives of the institu-
tions.
• Interest is not fully explored for assigning/procuring industry defined collaborative
projects to develop academic interests of students and faculty.
• The basic functions like role prescription and role definition of faculty are not
clearly spelt out.
7 Service Quality Through the Lens of SAP-LAP Methodology … 125

• An existing mechanism needs more focus for dissemination of information with

regard to college functions from the stakeholder to the stakeholder (parents, stu-
dents, and faculty).
• Realizing the illustrious functioning of the group industries Volvo, MUL, etc., are
coming forward to support academic research projects.
• More of the student placements are in the software development domain whereas
in convention engineering discipline, it is very less.
• Best practice implementation and its sustainability need more strategic monitoring.

Action

• More focus is required on developing faculty and students by imparting recent

knowledge in the respective field and skill through training schedule.
• More technological support should be provided for effective teaching and learning.
The online assignment should be encouraged.
• Student’s participation in laboratory performance may be encouraged. PG students
shall be involved in the laboratory demonstration and exercises.
• Independent products development through industry defined projects need to be
promoted. Innovative assignment and projects should be assigned to the students.
Certain members are practicing it; however, it is warranted that many more faculty
members should contribute to sustain the quality.
• Industry case studies need to be presented to have more practical experience to
the student. In house case studies should be prepared by the students.
• Identify the domain companies for students and faculty training projects and
research areas. At present, the decision on training to the students is decided
by themselves. The respective HoD should identify the industries relevant to their
Special Interest Groups (SIG) so that the students training and the faculty projects
may be of the same interest to grow further.
• More exploration on the possibility to collaborate faculty/students exchanges with
reputed higher learning institutions in India and abroad should be done.
• Develop a mechanism to get stakeholder feedback to improve the system. The
present MIS does not have any follow up on the suggestions given by the stake-
holder feedback.
• Involvement of nonteaching faculty is required in developing the projects.
• Predominantly more than 70% of the students are from semi-urban/rural areas.
Their basic study has been in the local language. The group should formally
address this issue, as many students are struggling to forge into the system in
beginning, because the medium of instruction is in English.
• The growth of various technologies is in fact pace. Institutions should capture the
recent trends with the present capabilities to accommodate in their theme areas.
• Since a number of technical institutions have mushroomed in region in the last
decade, the healthy competition from upcoming is in place. The institutions should
change the policies on various issues such as students’ admissions, research areas,
industry tie-ups, etc.
126 A. Gupta et al.

• Arrival of foreign universities is on the scene through General Agreement for

Trade and Services (GATS) and globalization. Institute should revise the strategy
to meet the anticipated fall in demand.
• Strategic planning is required to meet the increasing demand of Internet bandwidth
by the students and faculty.
• More involvement of alumni is required to tap the potential know-how from the
alumni. The mechanism for involvement of alumni (for instance, video confer-
encing mentoring, projects review, laboratory improvement, industrial trends, and
mentoring leadership’s qualities) should be evolved.
• Institutional image building and outreach of the institutions need more concentra-
tion since the national public magazines do not paint a rosy futuristic picture for
the group.

Expected Performance

• The group has significant capabilities to emerge as a model for higher learning
institutions.
• Institutions have high revenue from post-matric scholarship scheme and Skill India
scheme, and there is a scope for investment in the quality management system.
• The group shall explore new industries for knowledge transfer on product devel-
opment.
• Amount of revenue generated on sponsored research and consultancy may not
increase sufficiently.
• Pass %age of students should increase beyond 70% in the next three years.
• Average placement of students in reputed companies has been 75% of eligible
students in the last three years.
• The number of doctoral degree holder faculty shall increase by 25% in the next
3 years.
• International collaborations with reputed institutions under various schemes shall
be exploited.
• Proper mechanism to be evolved to tap the university/industry supported R&D
projects.
• More involvement is required in consultancy and testing for all the domains. It
results in a continuous watch for current technologies. Capable laboratories shall
aim for accreditation exclusively to have more projects consultancies and testing
in recent areas.
• It is observed that in the past three years more than 80% of the passing out students
have been placed in the information technology/information technology-enabled
service. Students shall be educated to take up the job in core conventional discipline
(mechanical design, hardware interface, projects management, and challenging
engineering jobs) in addition to the software aptitude, since job market in core
domain is starving for motivated and knowledgeable young engineers.
• Centers of excellence shall be set up in few strong domains of engineering.
7 Service Quality Through the Lens of SAP-LAP Methodology … 127

7.4 Key Learning Issues

Quality initiatives are driven by top management commitment at ABC Group of

Institution, Punjab. The learning issues on the quality attributes have been synthesized
and are depicted in Table 7.3.
Influence of managerial concepts
Informal telephonic interviews were carried out with faculty at all levels, graduating
students and parents for their feedback. A sample of 100 was selected. The inter-
view covered 14 questions as enumerated in Table 7.4. The influence of managerial
concepts in engineering institution has also been listed in Table 7.4 based on values
(Mode) the informal interviews with the faculty, supporting staff, students, parents,
and society in general.

7.5 Conclusions, Limitations, and Future Directions

In this study, SAP-LAP methodology has been applied in a group of Institutions to

appreciate the roles played by various individuals and associated stakeholders. The
key learning issues thus synthesized make an important contribution to theory and
practice. SAP-LAP architecture of the service quality issues fills the gaps that exist in
the conceptualization of SQ practices in professional institutions. The findings also
help improve the understanding of how stakeholders in such institutions evaluate
service delivery and performance. The identified parameters can act as diagnostic
tools for identifying poor and/or excellent performance to benchmark across various
cells or functional areas within a single institute. Furthermore, any of these parameters
can also be compared across time. The findings are in line with those by [1, 13, 16,
23].
The findings of the study must be interpreted keeping in mind certain limitations.
Being a case study only, it is not sufficient to set up a full structure for modeling
service quality issues in technical education. Telephonic interviews conducted using
a small convenience sample technique are another limitation of the study. Perhaps the
use of one of the probabilistic techniques would provide the chance of generalizing
the results more confidently. Studies with similar objectives and agenda with large
sample size may be more beneficial for generalizations of the SAP-LAP items.

7.6 Learning from This Research

Education represents the main components of the society. From this case study, it
is concluded that there are certain common quality parameters woven in a common
thread in these service domains. Particularly, the processes and people management
help to identify and prioritize the quality factors for education setup. For instance, in
128 A. Gupta et al.

Table 7.3 Synthesis of key learning issues in engineering institutions

S. No. Quality factors Status/implication
1. Situation/environment Competition pressure from private
universities, mushroomed engineering
institutions, and upcoming foreign
universities
2. Centers of excellence Powerful futuristic concept to provide
requisite focused knowledge and
resources in particular identified
domains of engineering
3. Technical dimensions for quality Institutions have built infrastructure for
implementing quality initiatives.
However, a centralized application
center needs to be integrated
4. Lifelong learning through training for Faculty development should be on a
faculty and students continuous basis. The usage of
infrastructure needs to be enhanced
5. Management of intellectual resources The group has given explicit focus to
further improve the management of
resources for managing the skills and
diverse knowledge skills of faculty
6. Top management commitment There is a high degree of commitment
from top management for the effective
sharing of information and forming
strategies and following up their
implementation
7. Development of faculty-centric policies The group believes in the role played by
for creativity and commitment the tacit knowledge performance of its
human resource. People-centric policies
should remain in place for their overall
development
8. Readiness for change Through flexible policy framework
institutions has archived employee
response capabilities keeps itself ready
for change
9. Interactions collaborating and Institutions have effectively managed
networking with partners their interactions with industries for
sharing and promotions of knowledge
and skills. It has successfully integrated
the diverse knowledge for working in
cutting-edge technologies. Faculty and
students are effectively involved in its
collaborative and sponsored projects.
The participation by its students and its
interactive industry should be on a
continuous basis
(continued)
7 Service Quality Through the Lens of SAP-LAP Methodology … 129

Table 7.3 (continued)

S. No. Quality factors Status/implication
10. Regulations and compliance of quality Formal rules and regulation and
policies compliance policies for quality are
needed to be strengthened. However, at
informal level, these are effectively put
in pace
11. Formalizations and compliance of Implicitly and explicitly, the group has
quality concept formalized powerful concept for
teaching and learning through various
integrating mechanism and committees.
The group should, however, develop a
scheme and methodology to evaluate the
outcome of development initiatives,
optimum mix of people, process and
technology needs to be evolved for the
desired level of performance dimensions
12. Rewards and recognition for faculty and Institutions have developed schemes for
staff rewarding the faculty, staff, and students.
There need to be incentives for
knowledge sharing and team
efforts/performance
13. Competitiveness—capability buildup The quality imitativeness by ongoing
and innovation commitment of top management keeping
people at the center has helped the
institution constantly improve its
capability of managing knowledge
resources. Involvement of internal and
external stakeholders has provided the
necessary capability of innovation,
response, flexibility, commitment, and
creativity leading to competitiveness
14. Success through operational efficiently The group has successfully managed the
competition from the neighboring
institutions, but is under pressure to
update with world class features at par
with global institutions. The group is
making efforts by interaction, MoUs for
improving its performance against
internal and external benchmarking. This
is a focus on new development and
growth of the institution with new ideas
130 A. Gupta et al.

Table 7.4 Influence of

S. No. Item Modal remarks
managerial concepts in
engineering education 1. Academic Good
leadership
2. Social prestige of Very good
the group
3. Change Good
management
4. Degree of More need to be
customization done
5. Degree of Good
academic planning
6. Effectiveness of Good
technical alliances
7. Research output Good
8. Investment in More need to be
technology done
9. Technology More need to be
availability done
10. Students’ More need to be
technology done
awareness
11. Student’s Good
satisfaction
12. Conduciveness for Good; proven
making
innovations
13. Flexibility in Quite good
system/procedures
14. Group’s vertical Saturated
growth

the engineering education, there is an immediate response in different areas such as

networking with experts, consortium approach, CBT, video conferencing/streaming,
etc., which are initiated by the colleges. The DSMG measurement scales have been
constructed for self-supporting engineering colleges (for lower level engineering
colleges). The DSMG measurement scale can, however, be extended to IITs/NITs,
nevertheless, by altering the weightages with respect to the leadership, process man-
agement, people management, measurement of resources, and customer satisfaction.
7 Service Quality Through the Lens of SAP-LAP Methodology … 131

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Chapter 8
Selection of the Optimum Hole Quality
Conditions in Manufacturing
Environment Using MCDM Approach:
A Case Study

Ravi Pratap Singh, Mohit Tyagi and Ravinder Kataria

Abstract In the current competitive structure of the manufacturing industries, the

qualitative decision-making has become an issue of paramount prominence to solve
the real-life industrial environment based problems. It becomes further more com-
plex when the decision maker has to be in concern with the multiple constraints at one
time. The present article has targeted to select the optimum hole quality conditions
for performing ultrasonic machining of a selected composite material through mul-
tiple criteria decision-making (MCDM) approaches. The experimentation has been
designed according to the Taguchi’s methodology. The hole quality based attributes
(out of roundness, hole over size and conicity) have been studied under the influential
situations of several selected input variables namely; thickness of workpiece, cobalt
content, tool profile, power rating, material of tool and grit size. In addition, two dif-
ferent MCDM approaches called as the additive ratio assessment (ARAS) technique,
and the TOPSIS method have been attempted for the selection of the best optimum
condition that can offer fruitful hole quality based outcomes for the considered man-
ufacturing environment problem. The optimality function and the specific alternative
to the perfect solution to observe the best available alternative have been computed
as per the ARAS, and the TOPSIS techniques, respectively. Results revealed that, for
both the explored MCDM methods, the 9th experimental run offers the highest value
of the calculated hole quality attribute index. This particular conducted test is entail-
ing of the parametric blend as; cobalt content—24%, workpiece thickness—3 mm,
tool profile—hollow, material of tool—stainless steel, abrasive grit size—500 (mesh
size) and power rating—80%.

R. P. Singh · M. Tyagi
Department of Industrial and Production Engineering, Dr. B. R. Ambedkar National Institute of
Technology, Jalandhar 144011, Punjab, India
e-mail: singhrp@[Link]
M. Tyagi
e-mail: tyagim@[Link]
R. Kataria (B)
School of Mechanical Engineering, LPU, Jalandhar, Punjab, India
e-mail: kataria.ravinder07@[Link]

© Springer Nature Singapore Pte Ltd. 2019 133

A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
134 R. P. Singh et al.

Keywords ARAS method · Decision-making · Manufacturing environment ·

MCDM approaches · TOPSIS method

8.1 Introduction

“Ultrasonic machining” (USM) is a nontraditional manufacturing method profi-

cient to process both the non-metallic and metallic materials retains hardness more
than HRC-40, i.e.; glass, ceramics, composite materials, silicon, semiconductors,
ferrites, etc. [15, 16, 18]. Tungsten carbide has extensively been finely recognized
for its incomparable wear resistance and hardness however inferior toughness. Medi-
ums of ductile metals, explicitly; cobalt, nickel, etc., greatly recover its toughness.
Therefore, WC–Co (tungsten carbide-cobalt) composite, which comprises of WC
grains implanted in a metal binder level, shows superior hardness to contest wear
and adequate toughness to endure intermittent cuts happening during the manufac-
turing process [15]. WC-Co is a material of excellent hardness, wear confrontation,
decent-dimensional constancy and better mechanical forte. Due to these properties,
it is becoming very desirable for a number of applications with expected growing
application in the future [2–4]. USM is a practicable alternative method for the pro-
cessing of WC-Co compounds, because the practice is free from several of issues
allied with the thermal energy-based process.

8.2 Literature Review

USM is non-thermal kind practice, so the processed surface do not possess any
unwished effects i.e.; HAZ, the creation of recast film, etc. [1, 7]. The accuracy of
the hole produced in USM was affected due to different factors; the accuracy of
the machine, grit size, the fixture used, the superiority of parts, transverse vibration
effects, depth of cut and tool wear. In USM hole oversize arises owing to flooding
of grains during the process.
The hole over size is the difference between the actual tool diameter before drilling
and hole diameter at the entry side. Abrasive grit size has been found as a foremost sig-
nificant variable which affects the accurateness of hole [15]. Adithan and Venkatesh
[18] reported that a rise in the processing time and static load consequences in reduced
over size of the hole. The four-sided tools produced more oversize than circular ones
[13]. Jadoun et al. [4] enhanced the method variables for production accuracy in
USM of ceramic-based composites using Taguchi approach. For hole oversize, the
consequences showed that, the grit size was more momentous than other parameters.
Ramula [7] reported that over cut increasing with decreasing the diameter of the
abrasive particle and the over cut range from 1.4 to 12.8 times of mean grit size.
Lalchhuanvela et al. [13] deliberated the influences of several method variables on
hole accuracy with a hexagonal profile of tool. Healthier correctness of hexagonal
8 Selection of the Optimum Hole Quality Conditions … 135

type profile hole was attained at an inferior concentration of slurry (30–40%), and at
a standard abrasive slurry flow. The grit size, tool feed and concentration of slurry
were the main controllable factors which affect the accuracy of hole profile [2–4].
Out of roundness (OOR) is the type of form inaccuracy of the circular holes. In
USM, OOR is first transpired on the tool and then trailed by the drilled hole [7, 12,
14]. Jadoun et al. [4] analysed conicity of the ultrasonically drilled hole in alumina.
Results exhibited that the conicity increase with growing alumina in work material
and the size of grit.
In the assessment of stated literature, for the valuation and selection of the opti-
mum alternatives for the hole excellence attributes in USM of composite material,
it is vital to inspect a range of method variables and their consequences on the hole
quality measures. MCDM tactics also deal a resolution to the above-deliberated issue
in an operative way [8, 10]. In addition, two different MCDM approaches called as
the additive ratio assessment (ARAS) technique, and the TOPSIS method have been
attempted for the selection of the best optimum condition that can offer fruitful hole
quality based outcomes for the considered manufacturing environment problem. The
ARAS and TOPSIS methodologies are one of the approaches accessible, which can
suggest clarification to the above-conversed issue [5, 6]. The optimality function and
the particular alternative to the ideal solution to observe out the best available alterna-
tive have been computed as per the ARAS, and the TOPSIS techniques, respectively.

8.3 Experimentation Work

The ultrasonic machining of WC-Co composite work samples has been performed to
understand the influence of the certain method variables on the measures of hole qual-
ity. The work samples having Co-content of 24 and 6%, with 3 and 5 mm thickness,
were selected for conducting the experimentation. WC-6%Co has 14.9 g/cm3 density,
1580 HV hardness, 630 GPa elastic modulus and for, WC-24%Co has 12.9 g/cm3
density, 780 HV hardness, 470 GPa elastic modulus. Table 8.1 displays the stud-
ied method factors considered for the study. The employed machine setup and the
enlarged view of machining zone comprising tool, workpiece and fixture are shown
in Fig. 8.2 (Fig. 8.1).
This work makes usage of Taguchi’s L-36 OA for experimental strategy. The
experimental design is demonstrated in Table 8.4.

8.3.1 Experimental Results

The two-level factors, such as; cobalt content, thickness of work and profile of tool,
were assigned to first, second and third column of the array, respectively. The three-
level factors, i.e. material of tool, size of grit and power rating were assigned to
fourth, fifth and sixth column of the array, respectively. As per the designed plan
136 R. P. Singh et al.

Table 8.1 Method variables taken for the study

Symbol Parameter Level 1 Level 2 Level 3
A Cobalt content 6% 24%
B Work thickness 3 mm 5 mm
C Tool profile Solid Hollow
D Tool Stainless steel Silver Nimonic-
steel 80A
E Grit size 200 320 500
F Power rating 40% 60% 80%
Persistent factors
Frequency 20 kHz Slurry concentration 25%
Static load 1.63 kg Slurry temperature 25 °C
Amplitude 25.3–25.8 µm Slurry flow rate 50 × 103
mm3 /min

Fig. 8.1 Major components of USM set-up

8 Selection of the Optimum Hole Quality Conditions … 137

Fig. 8.2 Representation of computed Sj values versus experimental runs

exposed in Table 8.2, through holes were drilled in work pieces. The final obtained
results for the studied outcomes has been reflected in Table 8.3.

8.4 Decision-Making With the MCDM Approaches

MCDM is an extensively employed decision procedure in innumerable grounds

namely business, industrial sector, economy, energy and environment, manufactur-
ing and many more [11, 17]. The MCDM methods and tactics advance the eminence
of choices by generating the expansion more effectual and competent, balanced
and explicit. A hefty sum of tactics and procedures has been familiarized in this
capacity of study. In recent times, the progress of modular and hybrid approaches
is flattering progressively imperative [9]. They are grounded on formerly devel-
oped renowned methods, for instance; SAW, AHP, graph theory & matrix approach
(GTMA), ANP, technique for order preference by similarity to ideal solution (TOP-
SIS), VIKOR, ELECTRE, PROMETHEE, DEMATEL, DEA and their adaptation, by
smearing fuzzy and grey theory. Moderately newly established MCDM procedures,
for example, COPRAS, additive ratio assessment (ARAS), RUTA, GRIP, MULTI-
MOORA, SWARA, MOORA, UTADISGMS and WASPAS are swiftly industrial-
ized and practiced to unravel the real-life industrial complications. However, for the
present research work, two MCDM methodologies (ARAS, and TOPSIS) have been
selected, explored and implemented for revealing and practice their capability to
solve practical industrial problems. The description and implementing steps of these
said methods are described below.
138 R. P. Singh et al.

Table 8.2 Experimental design matrix based on L-36 OA

Experiment no. A. Cobalt B. Work C. Tool D. Tool E. Size of F. Power
content thickness profile material grit rating
1 1 1 1 1 1 1
2 1 1 1 1 2 2
3 1 1 1 1 3 3
4 1 2 2 1 1 1
5 1 2 2 1 2 2
6 1 2 2 1 3 3
7 2 1 2 1 1 1
8 2 1 2 1 2 2
9 2 1 2 1 3 3
10 2 2 1 1 1 1
11 2 2 1 1 2 2
12 2 2 1 1 3 3
13 1 1 1 2 1 2
14 1 1 1 2 2 3
15 1 1 1 2 3 1
16 1 2 2 2 1 2
17 1 2 2 2 2 3
18 1 2 2 2 3 1
19 2 1 2 2 1 2
20 2 1 2 2 2 3
21 2 1 2 2 3 1
22 2 2 1 2 1 2
23 2 2 1 2 2 3
24 2 2 1 2 3 1
25 1 1 1 3 1 3
26 1 1 1 3 2 1
27 1 1 1 3 3 2
28 1 2 2 3 1 3
29 1 2 2 3 2 1
30 1 2 2 3 3 2
31 2 1 2 3 1 3
32 2 1 2 3 2 1
33 2 1 2 3 3 2
34 2 2 1 3 1 3
35 2 2 1 3 2 1
36 2 2 1 3 3 2
8 Selection of the Optimum Hole Quality Conditions … 139

Table 8.3 Experimental

Experiment Average of two readings
results (average raw data)
runs HOS (mm) ORR (mm) Conicity
1 0.5082 0.1002 0.1759
2 0.2950 0.0683 0.1605
3 0.1916 0.0481 0.0540
4 0.4031 0.0817 0.1081
5 0.1702 0.0304 0.0321
6 0.1091 0.0315 0.0326
7 0.2516 0.0125 0.1915
8 0.1833 0.0140 0.0812
9 0.0560 0.0107 0.0470
10 0.5202 0.0088 0.1284
11 0.3190 0.0076 0.0799
12 0.2500 0.0034 0.0669
13 0.2274 0.0285 0.1008
14 0.1687 0.0395 0.0668
15 0.1783 0.0122 0.0618
16 0.3695 0.1130 0.0738
17 0.3490 0.0221 0.1112
18 0.1079 0.0288 0.0433
19 0.2904 0.0648 0.1545
20 0.2276 0.0212 0.1384
21 0.0491 0.0392 0.0442
22 0.4086 0.0212 0.0802
23 0.2369 0.0164 0.0721
24 0.1634 0.0096 0.0427
25 0.5284 0.0188 0.3369
26 0.5339 0.0184 0.2050
27 0.1205 0.0131 0.0906
28 0.4198 0.0112 0.1104
29 0.4001 0.0046 0.1039
30 0.1728 0.0069 0.0327
31 0.4375 0.0141 0.2179
32 0.3570 0.0061 0.2065
33 0.1993 0.0093 0.0712
34 0.2575 0.0188 0.0597
35 0.2019 0.0120 0.0336
36 0.1188 0.0094 0.0299
140 R. P. Singh et al.

8.4.1 The ARAS Method

The ARAS technique is grounded on the measurable capacities and concept of utility.
The steps involved in the implementation of ARAS technique are given as below
1. For advantageous characteristics;
       
rjy  xjy − min. xjy max xjy − min. xjy ( j  1, 2, 3, . . . , m; y  1, 2, 3, . . . , p)
(8.1)
For non-advantageous characteristics, the normalization process is of two stages.
Perform primarily the reciprocal of individual condition w.r.t. involved substitutes
as:

1
x ∗j y  , (8.2)
x jy

and then compute the further values as:

  x ∗j y
R  r j y m×n  (8.3)

m
x ∗j y
j1

2 The weighted standardized matrix (D), as:

D  [ f j y ]m×n  r j y × w y (8.4)

3 Computation for the ideal function (Sj ) for jth substitute. Higher the Sj score, the
superior is the substitute


p
Sj  f jy (8.5)
y1

4 Estimate the utility grade (Uj ) for every substitute. It is resolute by an assessment
of the alternative with the best effectual alternative (So ). The rationalization
employed for scheming the value of Uj is given as below:

Sj
Uj  (8.6)
So

The variant possessing the uppermost score for utility is taken the finest choice amid
the available substitutions.
8 Selection of the Optimum Hole Quality Conditions … 141

8.4.2 The TOPSIS Method

The TOPSIS technique was developed by Hwang and Yoon (1981). This method
is grounded on the concept that the chosen substitute must possess the unswerving
Euclidean distance from the ideal resolution, and the furthest from the undesirable
ideal resolution. The steps involved in the implementation of TOPSIS technique are
given as below
1 All the experimental results are represented in a decision matrix form.
2 Calculate the normalized decision matrix. The normalized value R j y is calculated
as
⎡ ⎤1/2

p
R j y  m j y /⎣ m 2j y ⎦ (8.7)
y1

3 Provide the corresponding importance

 score to the several attributes. The weight
scores can be given as; wy , i.e. wy  1.
4 Calculate the weighted normalized decision matrix. The value Vjy is calculated
as below

V j y  wy R j y (8.8)

5 Determine the worst and perfect resolution in this phase as:

     
V+  max. Vjy y ∈ Y , min. Vjy y ∈ Y’ ;

 V+1 , V+2 , V+3 , . . . . . . . . . V+n (8.9)
     
V−  max. Vjy y ∈ Y , min. Vjy y ∈ Y’ ;

 V− − − −
1 , V2 , V3 , . . . . . . . . . Vn (8.10)

where Y  (y  1,2,3….p)/y is allied with advantageous qualities, and Y’  (y

 1,2,3….p)/y is allied with non-advantageous characteristics.
6 Obtain the parting measures. The separation of every alternative from the perfect
solution is given by the Euclidean distance in the following equations:

p
  2 1/ 2
S+j  Vjy − Vy
+
, j = 1,2, . . . . . . . . . m (8.11)
y1

Similarly, the separation from the negative ideal solution is given as

p   2 1/ 2
S−
j  Vjy − Vy-
, j = 1,2, . . . . . . . . . m (8.12)
y1
142 R. P. Singh et al.

7 The comparative nearness of a specific substitute to the perfect solution, Pi , can

be articulated in this step as
 
Pj  S−
j S+j + S−
j (8.13)

8 A bunch of substitutes is generated in the sinking order in this phase, as per the
score of Pj reflecting the most favoured and least favoured feasible solutions.

8.5 Method 1: Implementation Steps of Aras Method

for the Considered USM Case Study

The case study which has been considered for understanding the capability of selected
MCDM approaches is related with the experimental investigation conducted to pro-
cess the tungsten carbide based composite material with ultrasonic machining method
using Taguchi’s designed experiments. The output response data has been undertaken
from the experimental work, which has been reflected in Table 8.3. The following
are the implementing steps for practicing the ARAS method potentially. These are
as follows.

8.5.1 Normalized Matrix for Raw Data

As the case study is having attributes of the non-beneficial category, the experimental
raw data has been normalized as per the formulation discussed in Eqs. (8.2) and (8.3).
The normalized response data is illustrated in Table 8.4.

8.5.2 Weighted Normalized Matrix

The considered case study is consisting of three different hole quality measures
namely; hole oversize, out of roundness and conicity. The equal weightage has been
provided to all the three attributes, i.e. 0.33 for each response. Then using Eq. (8.4),
the weighted normalized matrix is attained as presented below in Table 8.5.
8 Selection of the Optimum Hole Quality Conditions … 143

Table 8.4 Normalized matrix for response data

Selected parameter levels Normalized hole quality
measures
Exp. runs A B C D E F HOS OOR Conicity
1 1 1 1 1 1 1 0.0106 0.0038 0.0109
2 1 1 1 1 2 2 0.0182 0.0055 0.0120
3 1 1 1 1 3 3 0.0280 0.0078 0.0356
4 1 2 2 1 1 1 0.0133 0.0046 0.0178
5 1 2 2 1 2 2 0.0315 0.0124 0.0599
6 1 2 2 1 3 3 0.0492 0.0119 0.0590
7 2 1 2 1 1 1 0.0213 0.0301 0.0100
8 2 1 2 1 2 2 0.0293 0.0269 0.0237
9 2 1 2 1 3 3 0.0959 0.0351 0.0409
10 2 2 1 1 1 1 0.0103 0.0427 0.0150
11 2 2 1 1 2 2 0.0168 0.0495 0.0241
12 2 2 1 1 3 3 0.0215 0.1106 0.0287
13 1 1 1 2 1 2 0.0236 0.0132 0.0191
14 1 1 1 2 2 3 0.0318 0.0095 0.0288
15 1 1 1 2 3 1 0.0301 0.0308 0.0311
16 1 2 2 2 1 2 0.0145 0.0033 0.0261
17 1 2 2 2 2 3 0.0154 0.0170 0.0173
18 1 2 2 2 3 1 0.0497 0.0131 0.0444
19 2 1 2 2 1 2 0.0185 0.0058 0.0124
20 2 1 2 2 2 3 0.0236 0.0177 0.0139
21 2 1 2 2 3 1 0.1093 0.0096 0.0435
22 2 2 1 2 1 2 0.0131 0.0177 0.0240
23 2 2 1 2 2 3 0.0227 0.0229 0.0267
24 2 2 1 2 3 1 0.0328 0.0392 0.0450
25 1 1 1 3 1 3 0.0102 0.0200 0.0057
26 1 1 1 3 2 1 0.0101 0.0204 0.0094
27 1 1 1 3 3 2 0.0445 0.0287 0.0212
28 1 2 2 3 1 3 0.0128 0.0336 0.0174
29 1 2 2 3 2 1 0.0134 0.0818 0.0185
30 1 2 2 3 3 2 0.0311 0.0545 0.0588
31 2 1 2 3 1 3 0.0123 0.0267 0.0088
32 2 1 2 3 2 1 0.0150 0.0617 0.0093
33 2 1 2 3 3 2 0.0269 0.0404 0.0270
34 2 2 1 3 1 3 0.0208 0.0200 0.0322
35 2 2 1 3 2 1 0.0266 0.0313 0.0572
36 2 2 1 3 3 2 0.0452 0.0400 0.0643
144 R. P. Singh et al.

Table 8.5 Weighted standardized matrix for response data

Selected parameter levels Weighted normalized
hole quality measures
Exp. runs A B C D E F HOS OOR Conicity
1 1 1 1 1 1 1 0.0035 0.0012 0.0036
2 1 1 1 1 2 2 0.0061 0.0018 0.0040
3 1 1 1 1 3 3 0.0093 0.0026 0.0238
4 1 2 2 1 1 1 0.0044 0.0015 0.0119
5 1 2 2 1 2 2 0.0105 0.0041 0.0346
6 1 2 2 1 3 3 0.0164 0.0040 0.0400
7 2 1 2 1 1 1 0.0071 0.0100 0.0205
8 2 1 2 1 2 2 0.0098 0.0089 0.0266
9 2 1 2 1 3 3 0.0319 0.0117 0.0572
10 2 2 1 1 1 1 0.0034 0.0142 0.0227
11 2 2 1 1 2 2 0.0056 0.0165 0.0301
12 2 2 1 1 3 3 0.0071 0.0368 0.0536
13 1 1 1 2 1 2 0.0079 0.0044 0.0186
14 1 1 1 2 2 3 0.0106 0.0032 0.0234
15 1 1 1 2 3 1 0.0100 0.0103 0.0307
16 1 2 2 2 1 2 0.0048 0.0011 0.0146
17 1 2 2 2 2 3 0.0051 0.0057 0.0165
18 1 2 2 2 3 1 0.0166 0.0043 0.0357
19 2 1 2 2 1 2 0.0062 0.0019 0.0122
20 2 1 2 2 2 3 0.0079 0.0059 0.0184
21 2 1 2 2 3 1 0.0364 0.0032 0.0541
22 2 2 1 2 1 2 0.0044 0.0059 0.0183
23 2 2 1 2 2 3 0.0075 0.0076 0.0241
24 2 2 1 2 3 1 0.0109 0.0130 0.0390
25 1 1 1 3 1 3 0.0034 0.0067 0.0119
26 1 1 1 3 2 1 0.0033 0.0068 0.0133
27 1 1 1 3 3 2 0.0148 0.0096 0.0315
28 1 2 2 3 1 3 0.0043 0.0112 0.0212
29 1 2 2 3 2 1 0.0045 0.0272 0.0379
30 1 2 2 3 3 2 0.0103 0.0182 0.0481
31 2 1 2 3 1 3 0.0041 0.0089 0.0159
32 2 1 2 3 2 1 0.0050 0.0205 0.0286
33 2 1 2 3 3 2 0.0090 0.0135 0.0314
34 2 2 1 3 1 3 0.0069 0.0067 0.0243
35 2 2 1 3 2 1 0.0089 0.0104 0.0384
36 2 2 1 3 3 2 0.0150 0.0133 0.0498
8 Selection of the Optimum Hole Quality Conditions … 145

8.5.3 Computation for the Optimality Function (Hole Quality

Attribute Index (HQAI)–Sj ) & Degree of Utility (Uj )

As the problem is related to the hole quality attribute selection, therefore the hole
quality attribute index (HQAI) is calculated using Eq. (8.5). After calculating the
weighting normalized matrix, the next and final step is to compute the optimality
function (Sj ) and the degree of utility (Uj ) using Eq. (8.6). The investigational test
possessing the uppermost score of the HQAI (Sj ) will be selected as the best available
optimum alternative. The computed results have revealed that the 9th experimental
run gives the highest value of the calculated hole quality attribute index (Table 8.6).

8.6 Method 2: Implementation Steps of Topsis Method

for the Considered USM Case Study

The considered case study for realizing the capability of selected MCDM approaches
is related with the experimental investigation conducted with ultrasonic machining
method using Taguchi’s designed experiments. The output response data has been
undertaken from the experimental work, which has been reflected in Table 8.3. The
following are the implementing steps for practicing the TOPSIS method potentially.
These are as follows:

8.6.1 Normalized Matrix

As the case study is having three different attributes of non-beneficial type, therefore,
the experimental raw data has been normalized as per the formulation discussed in
Eq. (8.7). The normalized response data is illustrated in Table 8.7 below.

8.6.2 Weighted Normalized Matrix

The considered case study is consisting of three different hole quality measures
namely hole oversize, out of roundness and conicity. The equal importance weightage
has been provided to all the three attributes, i.e. 0.33 for each attribute. Then using
Eq. (8.8), the weighted normalized matrix is attained as presented below in Table 8.8.
146 R. P. Singh et al.

Table 8.6 Calculated values

Experimental runs HQAI (Sj ) Uj
of HQAI (Sj ) and degree of
utility (Uj ) 1 0.0084 0.147
2 0.0119 0.208
3 0.0238 0.416
4 0.0119 0.208
5 0.0346 0.604
6 0.0400 0.699
7 0.0205 0.358
8 0.0266 0.465
9 0.0572 1.000
10 0.0227 0.396
11 0.0301 0.526
12 0.0536 0.936
13 0.0186 0.325
14 0.0234 0.408
15 0.0307 0.536
16 0.0146 0.256
17 0.0165 0.289
18 0.0357 0.624
19 0.0122 0.214
20 0.0184 0.321
21 0.0541 0.946
22 0.0183 0.319
23 0.0241 0.421
24 0.0390 0.682
25 0.0119 0.209
26 0.0133 0.232
27 0.0315 0.550
28 0.0212 0.371
29 0.0379 0.662
30 0.0481 0.841
31 0.0159 0.278
32 0.0286 0.501
33 0.0314 0.549
34 0.0243 0.425
35 0.0384 0.670
36 0.0498 0.870
8 Selection of the Optimum Hole Quality Conditions … 147

Table 8.7 Normalized matrix for response data

Selected parameter levels Normalized hole quality
measures
Exp. runs A B C D E F HOS OOR Conicity
1 1 1 1 1 1 1 0.2791 0.4404 0.2413
2 1 1 1 1 2 2 0.1620 0.3002 0.2202
3 1 1 1 1 3 3 0.1052 0.2114 0.0741
4 1 2 2 1 1 1 0.2214 0.3591 0.1483
5 1 2 2 1 2 2 0.0935 0.1336 0.0440
6 1 2 2 1 3 3 0.0599 0.1385 0.0447
7 2 1 2 1 1 1 0.1382 0.0549 0.2627
8 2 1 2 1 2 2 0.1007 0.0615 0.1114
9 2 1 2 1 3 3 0.0308 0.0470 0.0645
10 2 2 1 1 1 1 0.2857 0.0387 0.1762
11 2 2 1 1 2 2 0.1752 0.0334 0.1096
12 2 2 1 1 3 3 0.1373 0.0149 0.0918
13 1 1 1 2 1 2 0.1249 0.1253 0.1383
14 1 1 1 2 2 3 0.0926 0.1736 0.0916
15 1 1 1 2 3 1 0.0979 0.0536 0.0848
16 1 2 2 2 1 2 0.2029 0.4967 0.1012
17 1 2 2 2 2 3 0.1917 0.0971 0.1526
18 1 2 2 2 3 1 0.0593 0.1266 0.0594
19 2 1 2 2 1 2 0.1595 0.2848 0.2120
20 2 1 2 2 2 3 0.1250 0.0932 0.1899
21 2 1 2 2 3 1 0.0270 0.1723 0.0606
22 2 2 1 2 1 2 0.2244 0.0932 0.1100
23 2 2 1 2 2 3 0.1301 0.0721 0.0989
24 2 2 1 2 3 1 0.0897 0.0422 0.0586
25 1 1 1 3 1 3 0.2902 0.0826 0.4622
26 1 1 1 3 2 1 0.2932 0.0809 0.2812
27 1 1 1 3 3 2 0.0662 0.0576 0.1243
28 1 2 2 3 1 3 0.2305 0.0492 0.1515
29 1 2 2 3 2 1 0.2197 0.0202 0.1425
30 1 2 2 3 3 2 0.0949 0.0303 0.0449
31 2 1 2 3 1 3 0.2403 0.0620 0.2989
32 2 1 2 3 2 1 0.1960 0.0268 0.2833
33 2 1 2 3 3 2 0.1094 0.0409 0.0977
34 2 2 1 3 1 3 0.1414 0.0826 0.0819
35 2 2 1 3 2 1 0.1109 0.0527 0.0461
36 2 2 1 3 3 2 0.0652 0.0413 0.0410
148 R. P. Singh et al.

Table 8.8 Weighted normalized matrix for response data

Selected parameter levels Weighted normalized
hole quality measures
Exp. runs A B C D E F HOS OOR Conicity
1 1 1 1 1 1 1 0.0929 0.1467 0.0804
2 1 1 1 1 2 2 0.0539 0.1000 0.0733
3 1 1 1 1 3 3 0.0350 0.0704 0.0247
4 1 2 2 1 1 1 0.0737 0.1196 0.0494
5 1 2 2 1 2 2 0.0311 0.0445 0.0147
6 1 2 2 1 3 3 0.0200 0.0461 0.0149
7 2 1 2 1 1 1 0.0460 0.0183 0.0875
8 2 1 2 1 2 2 0.0335 0.0205 0.0371
9 2 1 2 1 3 3 0.0102 0.0157 0.0215
10 2 2 1 1 1 1 0.0951 0.0129 0.0587
11 2 2 1 1 2 2 0.0583 0.0111 0.0365
12 2 2 1 1 3 3 0.0457 0.0050 0.0306
13 1 1 1 2 1 2 0.0416 0.0417 0.0461
14 1 1 1 2 2 3 0.0308 0.0578 0.0305
15 1 1 1 2 3 1 0.0326 0.0179 0.0282
16 1 2 2 2 1 2 0.0676 0.1654 0.0337
17 1 2 2 2 2 3 0.0638 0.0323 0.0508
18 1 2 2 2 3 1 0.0197 0.0422 0.0198
19 2 1 2 2 1 2 0.0531 0.0949 0.0706
20 2 1 2 2 2 3 0.0416 0.0310 0.0632
21 2 1 2 2 3 1 0.0090 0.0574 0.0202
22 2 2 1 2 1 2 0.0747 0.0310 0.0366
23 2 2 1 2 2 3 0.0433 0.0240 0.0329
24 2 2 1 2 3 1 0.0299 0.0141 0.0195
25 1 1 1 3 1 3 0.0966 0.0275 0.1539
26 1 1 1 3 2 1 0.0976 0.0269 0.0937
27 1 1 1 3 3 2 0.0220 0.0192 0.0414
28 1 2 2 3 1 3 0.0768 0.0164 0.0504
29 1 2 2 3 2 1 0.0732 0.0067 0.0475
30 1 2 2 3 3 2 0.0316 0.0101 0.0149
31 2 1 2 3 1 3 0.0800 0.0206 0.0995
32 2 1 2 3 2 1 0.0653 0.0089 0.0943
33 2 1 2 3 3 2 0.0364 0.0136 0.0325
34 2 2 1 3 1 3 0.0471 0.0275 0.0273
35 2 2 1 3 2 1 0.0369 0.0176 0.0154
36 2 2 1 3 3 2 0.0217 0.0138 0.0137
8 Selection of the Optimum Hole Quality Conditions … 149

Fig. 8.3 Representation of computed Pj values versus experimental runs

8.6.3 Computation for the Particular Alternative to the Ideal

Solution (Hole Quality Attribute Index (HQAI)-Pj )

After calculating the weighting normalized matrix, the subsequent stile is to compute
the perfect and negative-perfect result using Eqs. (8.9), and (8.10). After this, the
parting of every substitute from the ideal one has been calculated using Eqs. (8.11),
and (8.12). The trial test having the uppermost score of the HQAI (Pj ) will be selected
as the best available optimum alternative. As the problem is related to the hole quality
attribute selection, the hole quality attribute index (HQAI-Pj ) is calculated using
Eq. (8.13). The computed results have revealed that the 9th experimental run gives
the highest value of the calculated hole quality attribute index (Pj ) (Table 8.9 and
Fig. 8.3).

8.7 Conclusions

In this present work, the selection of the optimum hole quality conditions in real-
life manufacturing environment problems through multiple criteria decision-making
(MCDM) approaches has been attempted. The case study has been selected from the
experimental work conducted in USM of composite material (WC-Co). Two different
MCDM approaches called as the ARAS technique, and the TOPSIS method have
been discussed and implemented. On the basis of the present research study, major
inferences are as follows:
1. A multiple criteria decision-making based methodologies are proposed and vali-
dated for the selection of best possible parametric alternative condition available
150 R. P. Singh et al.

Table 8.9 Calculated values

Experimental runs HQAI (Pj )
of HQAI (Pj ) for the case
study 1 0.2997
2 0.1721
3 0.3314
4 0.4609
5 0.8123
6 0.8238
7 0.6696
8 0.8408
9 0.9427
10 0.6485
11 0.7834
12 0.8379
13 0.7468
14 0.7479
15 0.8700
16 0.4188
17 0.7056
18 0.8350
19 0.5059
20 0.7259
21 0.7856
22 0.7076
23 0.8160
24 0.9009
25 0.4524
26 0.5544
27 0.8553
28 0.7009
29 0.7265
30 0.9040
31 0.5804
32 0.6340
33 0.8556
34 0.8073
35 0.8734
36 0.9344
8 Selection of the Optimum Hole Quality Conditions … 151

for the hole quality attributes in USM of composites. The adaptable ethos of these
methods makes them more appropriate for plentiful solicitations in offering the
optimum solutions to the practical industrial environment issues.
2. Current work deals with the innumerable characteristics, which outlines the hole
quality aspects of tungsten carbide based composite in ultrasonic machining are
identified. For both the explored MCDM methods, i.e. ARAS, and TOPSIS, the
computed results have revealed that the 9th experimental run gives the high-
est value of the calculated hole quality attribute index (HQAI). This particular
machine test is containing of the variable mixture as cobalt content—24%, work
thickness—3 mm, tool profile—hollow, material of tool—stainless steel, abrasive
grit size (mesh size)—500, and power rating—80%.
3. In addition to this, experiment runs 1st, and 2nd have been suggested as the
worst solution providing alternatives as per the methodology of ARAS, and the
TOPSIS approach, respectively.
4. The suggested multiple criteria decision-making (MCDM) approaches can be
utilized for any real-life industrial environment issue associated to the selec-
tion and optimization of numerous, interrelated attributes of attention, under the
inspiration of numerous situations of inputs.

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Chapter 9
Reliability Analysis of CNG Dispensing
Unit by Lambda-Tau Approach

Priyank Srivastava, Dinesh Khanduja, G. Aditya Narayanan,

Mohit Agarwal and Mridul Tulsian

Abstract CNG is considered a low maintenance cost and environment friendly fuel.
Its use as an alternative fuel has surged in cities having CNG stations. Due to limited
number of CNG stations, there is a substantial gap between demand and supply of
CNG fuel. CNG dispensing unit is an important system of CNG station. Extended
operation of dispensing unit is required for delineating this gap. For this, availability
and reliability of CNG dispensing unit should be high. The present study reviews and
exemplifies the fuzzy reliability analysis approach for behavioural analysis of CNG
dispensing unit. The reliability block diagram and fuzzy Lambda-Tau approach have
been used for evaluating reliability parameters. Fuzzy methodology has been used
for representing failure rate and repair time. In present research work a comparative
study of conventional fuzzy theory and vague theory has been expounded. The crisp
reliability input and output data have been fuzzified using extension principle and
alpha-cut approach. The fuzzy output has been defuzzified for assessing the sys-
tem behaviour. The results of the study were communicated to system analyst and
maintenance engineer.

Keywords CNG · Reliability · Fuzzy methodology · Lambda-Tau approach ·

Triangular fuzzy number · Vague theory · Alpha cut

P. Srivastava (B) · D. Khanduja

Department of Mechanical Engineering, National Institute of Technology Kurukshetra,
Kurukshetra 136118, Haryana, India
e-mail: psrivastava5@[Link]
D. Khanduja
e-mail: dineshkahnduja@[Link]
P. Srivastava · G. A. Narayanan · M. Agarwal · M. Tulsian
Amity University Noida, Noida 201301, UP, India
e-mail: adi1996dreadlock@[Link]
M. Agarwal
e-mail: mohit20c@[Link]
M. Tulsian
e-mail: [Link]@[Link]

© Springer Nature Singapore Pte Ltd. 2019 153

A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
154 P. Srivastava et al.

List of Abbreviations

FMEA Failure mode and effect analysis

RPN Risk Priority Number
FRPN Fuzzy Risk Priority Number
GRA Grey Relational Analysis
FIS Fuzzy Inference System
CNG Compressed Natural Gas
PM Particulate Matter
ISO International Standards Organization
IS Indian Standard
NASA National Aeronautics and Space Administration

9.1 Introduction

India is the world’s third largest consumer of petrol and diesel with a consumption
of 240 lakh barrel per year after US and China. India has grown into big market of
consumer and commercial vehicles. The sales of passenger and commercial vehicles
are showing an increase 2.8% (about 4 million units) over previous year. Due to this,
India has replaced Germany as fourth largest automotive market in world. Study
shows that by the year 2040, India will be the largest consumer of petrol and diesel.
The burning of these fuels results in large gas emissions which causes environmental
pollution. Increasing fuel prices and strict emission norms have necessitated for
use of fuels that have low running cost, low Carbon dioxide (CO2 ), Nitrogen oxide
(NOx), Sulphur dioxide (SO2 ) and particulate matter (PM) emission respectively.
Compressed natural gas (CNG) is a popular fuel having clean burning properties and
has low emissions of the above-mentioned gases and PM. It is distributed from the
storage tanks in CNG dispensing station. The ISO: 16923:2016, specifies the design,
construction, operation, maintenance and inspection stations for fueling CNG to
vehicles. The hazards at dispensing station are high and it can be attributed to two
reasons.
1. Complex arrangement of subcomponents.
2. Long operating duration of dispensing station.
3. The inherent properties of CNG.
A CNG dispensing unit is a complex system having various configurations (series
and parallel) of subcomponents like metering skids, compressor, priority panel, dis-
penser and cascade unit. High reliability and availability are required for operating
CNG dispensing units for longer durations. Being, lighter than air, there is always
possibility of leakage through faulty sub-systems of dispensing station. As CNG is
inflammable its leakage can lead to fire and explosion hazard at dispensing unit. This
can affect components of system, process, monitory functions, personals and people.
9 Reliability Analysis of CNG Dispensing Unit by Lambda-Tau … 155

Therefore, proper maintenance planning of CNG dispensing station is essential. For

this, proper knowledge of system behaviour is required for effective maintenance
planning. The present study exemplifies reliability analysis of CNG dispensing unit
in National Capital region of India. The paper is structured as Literature Review, that
discusses various research methods used for reliability analysis; Research Method-
ology, that proposes the flowchart of the research work; Illustrative Case Study, that
discusses application of approach to case study, Result and Discussion, that discusses
the analysis of the case study and Conclusion, that gives overall view and managerial
implication of study.

9.2 Literature Review

Reliability is defined as the probability of performance of system for required func-

tion, for a time period when used under stated operating condition. Reliability, avail-
ability and maintenance engineering are the important concepts for the real industrial
systems and to deal with their performance. In the industrial system, it is required
to consider uncertainty and unreliability as the major criteria for maintenance plan-
ning. The unavailability of a system can be reduced or minimized by eliminating
the various type of uncertainties associated with the operating system. This can be
done by integrating fuzzy methodology with reliability analysis of system. The next
sections discus about the tools used for reliability analysis and application of fuzzy
methodology.
The reliability tools of FTA and PN use it and the latter being considered better
tool, as cut sets and paths sets can be easily calculated. Most of the methods used
for reliability analysis use probabilistic models that require huge information. Fuzzy
methodology is capable of handling such imprecise and vague data in logical manner.

9.3 Reliability Tools

The reliability analysis is a powerful tool for the risk analysis, availability studies
and design of systems. A number of tools are used for description of subcomponent,
their relationship and configuration with the system, e.g. Reliability Block Diagrams
(RBD), Failure Mode and Effect Analysis (FMEA), Fault Tree Analysis (FTA) and
Petri Nets (PN) [1, 7, 8, 10, 18, 22]. The series–parallel combinations of various
subcomponents in a complex industrial system are represented by using OR/AND
symbols. This section discusses various tools used for reliability analysis. The dis-
cussion is restricted to the use of FTA, RBD and FMEA.
156 P. Srivastava et al.

Fig. 9.1 Series combination

RBD RY1 RY2 RY3

Fig. 9.2 Parallel

RY1
combination RBD

RY2

RY3

9.3.1 Reliability Block Diagram

Reliability block diagram is a method for calculation of system reliability and avail-
ability for complex and large system. It is the visual illustration of the components
or subcomponents and its reliability. To draw RBD for any system, knowledge of
functions, relations of each component is required. RBD technique uses series and
parallel configuration of systems which are depicted as blocks. It uses blocks which
are connected either in series or parallel to define the logical communication of failure
in a system. A series connection implies that all components in the connection must
be fully operational (Fig. 9.1). Whereas when the connection is parallel it implies that
all the components in the connection may not be operational or in standby (Fig. 9.2).
For series combination the reliability is calculated as shown below in Eq. 9.1.

RY Series  RY1 ∗ RY2 . . . ∗ RY N (9.1)

For parallel combination the reliability is calculated as shown below in Eq. 9.2.

RY Parallel  1 − {(1 − R1 ) ∗ (1 − R2 ) ∗ . . . ∗ (1 − R N )} (9.2)

9.3.2 Fault Tree Analysis and Petri Nets

Fault Tree Analysis (FTA) is a logical diagram in which the probability for the
final event is evaluated with the noted probability of failure in the components of
the system. It is widely used in aviation industry, chemical industry, manufacturing
plants, nuclear sciences, neurosciences, banking, etc. It was developed in 1960 for
the reliability assessment in aerospace industry. It clearly elucidates through graphics
the interrelationship of failure among the different components/parts/fault that helps
in analysing the specific fault step by step. FTA uses simple illustrations which makes
it easier and simple in understanding. This analysis enables the interpreter to be able
to understand the flow in which the system works and to identify the system links
9 Reliability Analysis of CNG Dispensing Unit by Lambda-Tau … 157

Table 9.1 Fault tree symbols and description

S. No Description Symbol
1 Top Event: The complete breakdown of
a system due to a fault in
part/sub-component. It is illustrated by a
rectangle
2 Basic Event: This is the lowest level of
an event where the failure is recorded
and causing the system to fail. This level
depicts the point of maximum resolution.
It is illustrated by a circle
3 Intermediate Event: This event whose
failure is the effect of a failure in the
lowest level of the system causing the top
event to fail. It is illustrated by an oval
4 AND Gate: This shows the relationship
between components/parts that may lead
to failure. It is illustrated by the above
symbol
5 OR Gate: This shows a standby
relationship between the
components/parts that may lead to
failure. It is illustrated by the above
symbol

prone to failure and to take appropriate maintenance steps. Fault Tree Analysis (FTA)
differs from cause and effect diagram as it does not illustrate all the possible causes
for the breakdown in the system or its effect. It is a tailor-made illustration which
depicts the top failure event and the events which lead to the failure of the top event.
This analysis considers only the realistic fault. FTA is not a quantitative model but a
qualitative model which can be assessed quantitatively. The fault tree symbols and
description has been shown in Table 9.1.
This technique has been used extensively by the research community in reliability
analysis in diverse fields, e.g., tunnel boring machine, process industry (petrochem-
ical), healthcare, power delivery system, solar array fault, water treatment plant [3,
6, 14, 16, 25, 27].

9.3.3 FMEA

This technique was proposed by US Military for assessment of weapon system relia-
bility in the year 1949. Further this technique was used by NASA for risk assessment
of space program (Apollo Mission) in the year 1960. This technique is extensively
used for risk analysis in aviation, automotive, manufacturing, medical, power plants
158 P. Srivastava et al.

(nuclear, thermal, hydraulics, wind energy, solar energy, etc.), paper plant and food
process industries respectively. It is a systematic and knowledge-based approach [2],
which is used to assess possible causes of failure, its frequency, severity on sys-
tem and detection probability (for systems and sub-systems), so that effective and
timely maintenance planning leads to avoidance of failure and improve availability
of system. The product of these variables is called risk priority number (RPN), used
for risk analysis and prioritization. Though, to remove uncertainty and vague judge-
ment, fuzzy methodology has been used by many researchers in different area of
application [5, 17, 28].

9.3.4 Fuzzy Methodology

Most of the methods used for reliability analysis use probabilistic models that require
huge information. Fuzzy methodology is capable of handling such imprecise and
vague data in logical manner [23]. Fuzzy methodology finds its application in safety
and risk analysis [15], human reliability [12], software reliability [26] and in many
more areas. This section discusses various techniques of incorporating fuzzy method-
ology in reliability analysis.

9.3.5 Fuzzification

Fuzzification is the process of converting crisp scores into fuzzy number. Due to
technological advancements, systems are becoming compact and complex. The reli-
ability analysis for complex system requires large amount of data. The probabilities
of occurrence of failure are rare, thus the data for analysis suffers from uncertainty
and vagueness. Fuzzy methodology is used to remove this limitation from analysis.
FTA, Petri nets and RBD are used for modelling of system and fuzzy methodology
is used to remove uncertainty. Knezevic and Odoom [9] developed an integrated
framework of PN and LT (lambda-tau) approach for assessing reliability parameter
at different sets for reliability analysis of real-world operating system. The alpha-cut
approach was used to define interval of confidence. The reliability data was reported
on a confidence interval basis together with crisp value. This approach was further
used by researchers for reliability analysis of complex behaviour of non-redundant
robot [13], pulping system [21], press unit in paper mill [11], paper mill [4], butter
oil processing plant [20], water treatment plant in coal fired thermal power plant
[19]. The Lambda-Tau approach is used to analyse complex systems through fault
tree and reliability body diagram. This methodology requires the identification of
basic events, which should not be repeated events and lead to the common top event.
In many cases Boolean substitution reduction techniques are used for analysis. By
using the AND and OR Gates (Table 9.2) relation between events of the fault tree, a
9 Reliability Analysis of CNG Dispensing Unit by Lambda-Tau … 159

Table 9.2 AND-OR gate relationship

Gate λAND τAND λOR τOR
n n
Conventional 
n 
n 
n
n nj1
τi 
n
i1
λi τi
expression (n-Inputs) λi [ τi ] [ τj] λi n
i1 λi
i1
i j1
i 1 j 1 i1

i  j i  j

Equation number (3) (4) (5) (6)

Table 9.3 Fault tree symbols and description

Parameters Equation Equation number
Mean time to repair M T T Rs  1
 τs (7)
βs

Mean time to failure M T T Fs  1 (8)

λs

Mean time between M T B Fs  M T T Fs + M T T Rs (9)

failure
Availability βs λs −(λs +βs )t (10)
As (t)  λs +βs + λs +βs e

Unavailability λS  −(λ S +β S )t
 (11)
Q S (t)  λ S +β S 1 − e

Reliability Rs (t)  e−λs t (12)

Expected number of Ws (0, t)  (13)

failures αs βs αs2  
αs +βs t+ (αs +βs )2
1 − e−(αs +βs )t
−t
Maintainability M S (t)  1 − e( M T T R ) (14)

relationship for repair and failure rates for system is derived. The relations are shown
in from Eqs. 9.3–9.14 and Tables 9.2 and 9.3.
where τs  repair time and λs  failure rate
The extension principle developed by Zadeh [30] and later modified by Yager [29]
is used to extend mathematical laws of crisp numbers to fuzzy number. Every fuzzy
set is associated with crisp set also called α- cuts. The α- cuts consists of element of
a fuzzy set at least to the degree of α. Figure 9.3 shows the fuzzy triangular number
with Y̌ with α- cuts.
The α cut of a fuzzy set Y̌  (y1 y2 y3 ) is denoted by Y α (Eq. 9.15), such that:
 
Y α  x ∈ X |μỸ (x) ≥ α (9.15)

The interval of confidence as defined by α- cuts is shown by Eq. 9.16

Y α  [{(y2 − y1 )(α) + y1 }, {−(y3 − y2 )(α) + y3 }] (9.16)

where α ranges from 1 ≥ x ≥ 0.

160 P. Srivastava et al.

Fig. 9.3 Fuzzy triangular

number Y̌ with α- cuts

Similarly, α- cuts can be defined for vague set. A vague set can be defined as
(Eq. 9.17)
 
P̃  x, μ P̃ (x), 1 − v P̃ (x)|x ∈ X (9.17)

For universal set X represented by μ P̃ (x) and 1 − v P̃ (x) describing truth and false
membership for μ P̃ , μ P̃ |X → [01] and v P̃ , v P̃ |X → [01] respectively, subjecting
to condition (Eq. 9.18) the values of term μ P̃ (x) and v P̃ (x) represents the degree of
truth and false membership of x satisfying the condition,

μ P̃ + v P̃ ≤ 1∀x ∈ X (9.18)

The degree of hesitation is given by Eq. 9.19

1 − μ P̃ − v P̃ (9.19)

for x ∈ X .
A vague set P̃  [(y1 , y2 , y3 )μ, v], can be defined as triangular vague set (Fig. 9.4)
(Eqs. 9.20 and 9.21)
⎧  ⎫
⎪
⎪ μ x−y1
, y ≤ x ≤ y ⎪
⎪
⎪
⎪ y −y 1 2 ⎪
⎪
⎨ ⎬
2 1

 μ, x  y
μ P̃ (x)  2
(9.20)
⎪ μ y3 −x , y2 ≤ x ≤ y3 ⎪
⎪ ⎪
⎪
⎪ y −y ⎪
⎪
⎩ 3 2
⎭
0, otherwise

and
9 Reliability Analysis of CNG Dispensing Unit by Lambda-Tau … 161

Fig. 9.4 Fuzzy triangular

vague set

⎧  ⎫
⎪
⎪ v x−y1
, y ≤ x ≤ y ⎪
⎪
⎪
⎪ y −y 1 2 ⎪
⎪
⎨ ⎬
2 1

 μ, x  y
1 − v P̃ (x)  2
(9.21)
⎪
⎪
−x
v yy33−y , y2 ≤ x ≤ y3 ⎪ ⎪
⎪
⎪ ⎪
⎪
⎩ 2
⎭
0, otherwise

The interval of confidence as defined by α- cuts for triangular vague set is shown
by Eqs. 9.22 and 9.23.

Pμα  [{( p2 − p1 )(α/μ) + p1 }, {−( p3 − p2 )(α/μ) + p3 }] (9.22)

where α ∈ [0μ]

Pvα  [{( p2 − p1 )(α/v) + p1 }, {−( p3 − p2 )(α/v) + p3 }] (9.23)

where α ∈ [0v].
The assumption is reliability analysis using Lambda-Tau approach has been given
by Garg [4]. The defuzzification is done using centroid method, as its computation
is simple and easy to understand [24].

∫xx21 xμŤ (x)d x

X̃  (9.24)
∫xx22 μŤ (x)d x

9.4 Research Methodology

The proposed methodology is shown in Fig. 9.5.

162 P. Srivastava et al.

Collect data for failure rate ( )

and repair me

Convert and into TFN using 15%, 25% and 50 % Convert and into VTFN using 15%, 25% and 50
spread % spread

Use extension principle and α cut approach for

evalua ng corresponding fuzzy failure rate and repair
me.

Defuzzifica on of Fuzzy output using

Centre of Area Method

Fig. 9.5 Research methodology

Fig. 9.6 RBD of CNG dispensing unit

9.4.1 Illustrative Case Study

This study was carried out at CNG dispensing station in, Delhi NCR (India), which
has 264 outlets with 893 dispensing unit. The CNG station has been divided into
different sub-systems. These are as follows: (i) Metering Skid (ii) Compressor (iii)
Priority Panel (iv) Cascade (v) Dispenser. For continuous supply of CNG gas, it is
important that all sub-sub-systems of CNG station work for long durations without
breakdown. It is only possible if components or machine have high quality and
reliability. CNG station is an integration of complex mechanical systems. If any of
the components or system in the CNG station fails due to failure of any of its sub-
systems or sub-sub-system than it will lead to shut down of whole of the station.
Therefore, it is very crucial for maintenance engineer to identify the risk level of
each sub-sub-system, prioritize it and remove critical cause of failure. The RBD of
CNG dispensing unit is shown in Fig. 9.6.
where MS  Metering Skid, Comp I and II: Compressor, PP: Priority Panel, CA:
Cascade, DS: Dispenser Unit.
Using reliability block diagram and Eqs. 9.3–9.6
9 Reliability Analysis of CNG Dispensing Unit by Lambda-Tau … 163

Table 9.4 15%, 25% and 50% spread for fuzzy triangular set
System table LH FR Failure rate RH FR LH RR Repair rate RH RR
15% spread 0.007305311 0.008594484 0.009883657 8.480822712 9.977438485 11.47405426
25% spread 0.006445863 0.008594484 0.010743105 7.483078864 9.977438485 12.47179811
50% spread 0.004297242 0.008594484 0.012891726 4.988719243 9.977438485 14.96615773

Table 9.5 15%, 25% and 50% spread for fuzzy vague set (truth membership)
System LH FR Failure rate RH FR LH RR Repair rate RH RR
table
15% spread 0.007305308 0.008594484 0.009883652 8.48082271 9.977438485 11.47405425775
25% spread 0.006445862946 0.008594484 0.01074310491 7.89880547 9.977438485 12.0560715027083
50% spread 0.005013448958 0.008594484 0.012175518898 5.820172450 9.977438485 14.134704520

Table 9.6 15%, 25% and 50% spread for fuzzy vague set (false membership)
System table LH FR Failure rate RH FR LH RR Repair rate RH RR
15% spread 0.007305308 0.008594484 0.009883652 8.48082271 9.977438485 11.47405425775
25% spread 0.006445862946 0.008594484 0.01074310491 7.79487382 9.977438485 12.16000315
50% spread 0.004834397 0.008594484 0.01235457 5.61230915 9.977438485 14.34256782

λ S  λ1 + λ2 λ3 (τ2 + τ3 ) + λ4 + λ5 + λ6

where λ S is failure rate of whole system and λ1 , …, λ6 are failure rates and τ2 , τ3
are repair time of individual component.

λ1 τ1 + λ2 λ3 τ2 τ3 + λ4 τ4 + λ5 τ5 + λ6 τ6
τS 
λS

where τ S is repair time of system.

The equivalent failure rate (λe ) and repair time (τe ) respectively has been calcu-
lated using Eqs. 9.3–9.6.
λe  0.008594484; τe  9.977438485.
This crisp score has been transformed into TFN using extension principle coupled
with alpha-cut values αi  0, 0.1, 0.2…1 and μ, v  0.6, 0.2.
Using Eqs. 9.7–9.16 and 9.24 different reliability parameters are calculated and
their corresponding defuzzied values for 15%, 25% and 50% spread of fuzzy triangu-
lar set are calculated. Similarly, for fuzzy vague set using Eqs. 9.7–9.16 and 9.17–9.21
various reliability parameters have been calculated for 15%, 25% and 50% spread
respectively for mission time 100 h. The results are tabulated in Tables 9.4, 9.5 and
9.6 for fuzzy triangular set and fuzzy vague set (both for truth and false membership
function). The variations of different reliability parameters are shown from Figs. 9.6,
9.7, 9.8 and 9.9.
164 P. Srivastava et al.

1
0.9

Degree of Membership
0.8
Fuzzy Vague False
0.7
Membership
0.6
0.5 Fuzzy Vague True
Membership
0.4
0.3 Triangular Fuzzy Set
0.2
0.1 Crisp Score
0
0.007 0.008 0.009 0.01 0.011
MTTR

Fig. 9.7 MTTR variations for fuzzy vague and triangular set

1.2

1
Degree of Membership

Crisp Score
0.8

0.6 fuzzy Triangular Set

0.4 Fuzzy Vague Truth

Membership
0.2 Fuzzy Vague False
Membership
0
8.4 9.4 10.4 11.4
MTTF

Fig. 9.8 MTTF variations for fuzzy vague and triangular set

1
0.9
0.8
Degree of Membership

0.7 Fuzzy Vague

Membership
0.6
0.5 Fuzzy Vague Truth
Membership
0.4
0.3 Tringular Set

0.2
0.1 Crisp Score

0
0.7795 0.8795 0.9795 1.0795
Availability

Fig. 9.9 Availability variations for fuzzy vague and triangular set
9 Reliability Analysis of CNG Dispensing Unit by Lambda-Tau … 165

1
0.9
0.8
Degree of Membership
0.7 Fuzzy Vague False
0.6 Membership

0.5 Fuzzy Vague Truth

Membership
0.4
Fuzzy Triangular Set
0.3
0.2 Crisp Score
0.1
0
0.625 0.725 0.825 0.925 1.025
Unavailabilty

Fig. 9.10 Unavailability variations for fuzzy vague and triangular set

9.5 Result & Discussion

The interval of confidence for fuzzy vague set (truth and false membership func-
tion respectively) and triangular set are shown in reliability Tables 9.4, 9.5 and 9.6
respectively. Also, variations in reliability parameter are shown from Figs. 9.6, 9.7,
9.8 and 9.9. There are inferences to be drawn from this analysis.
(i) From Tables 9.4, 9.5 and 9.6, it obvious that reliability of CNG dispensing
system lies in the range of [0.35988623, 0.4869049]. Therefore, the degree of
acceptance, rejection and hesitation that reliability of CNG dispensing unit is
0.42339550, will be 1,0 and 0 respectively.
(ii) If degree of acceptance is ‘z’ for the statement that reliability of CNG dispens-
ing unit lies in [0.35988623, 0.4869049] and is not equal to 0.42339550, then
degree of rejection is 1- ‘z’ and degree of hesitation is 0.
(iii) Similar inference can be drawn from for other parameters.
(iv) The variations of different parameters using fuzzy triangular and vague set has
been shown in Figs. 9.6, 9.7, 9.8 and 9.9. It is clear from all the figures that
crisp values of the all parameters are constant w.r.t, all membership function
values.
(v) For Fig. 9.10 the membership curves are parabolic in nature and not linear.
(vi) For fuzzy triangular set, the variations of parameters are shown for only degree
of acceptance. There is no analysis using degree of hesitation in it.
(vii) From Tables 9.4, 9.5 and 9.6, it is clear that defuzzied values of reliability
parameters are changing with the increase in spread, whereas the crisp values
are constant in nature. The defuzzied values for MTTR, Availability, Maintain-
ability, Unavailability, expected number of failure and Reliability first increase
166 P. Srivastava et al.

and then decrease as the spread changes. The defuzzied value of MTBF first
decrease and then increase with change in spread. On other hand, defuzzied
values of MTTF increase with change in spread. This also asserts that while
planning for maintenance activities rather than using crisp values, defuzzied
values of reliability parameters should be used. These defuzzied values give
real insights of the behaviour of the system. For example, maintenance activi-
ties can be planned on the basis of defuzzied MTTF. The maintenance activity
can be scheduled on or after defuzzied MTTF for respective spreads of ±15
and 25% spread respectively or before crisp MTTF. The selection of spread
will depend on system knowledge, operating conditions and available data.

9.6 Conclusion

This case study presents the use of Lambda-Tau approach for reliability analysis of
CNG dispensing unit. The case presented may help system analyst and maintenance
engineer to understand the system behaviour modelled using different parameters.
The formation of fuzzy number from the crisp reliability data, use of extension
principle coupled with alpha cuts will help in removing vagueness, imprecision in
reliability studies. The use of vague theory can assist in better analysis of system
behaviour and reliability analysis. The concepts of degree of acceptance, rejection
and hesitation are viable in real-life situations where decision may be done using
combination of acceptance and hesitation. The vague set theory also separates the
degree of truth and false membership and level of confidence of experts lies in [0
1]. This further removes the grey area which may be left after analysis. The fuzzy
reliability analysis has important managerial implication. The maintenance activities
can be based on any of the defuzzied reliability parameter as system behaviour can
be predicted. The ability to model highly complex real-world operating system, mit-
igation of uncertainty from analysis and availability of crisp, fuzzified and defuzzied
reliability parameters are one of the many benefits of this approach.

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Oper. Res. 175(1), 111–120 (2006)
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Fuzzy methodology application for failure analysis of transmission system. Int. J. Math. Oper.
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18. Panchal, D., Kumar, D.: Integrated framework for behaviour analysis in a process plant. J. Loss
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Chapter 10
Assessment of Health Risks Among
Tractor Operators Due to Whole-Body
Vibration

Kuljit Singh, Jagjit Singh Randhawa and Parveen Kalra

Abstract Exposure of human operator to whole-body vibration generated from trac-

tors has been associated with low back pain (LBP) and degeneration of intervertebral
disc. Researchers related the ischial tuberosities with the theory of evenly distributed
pressure and found that pressure at the ischials decreased when the seat is more
comfortable. This paper concentrates on the assessment of prevalence of MSDs and
related ill effects among tractor operators and non-tractor operators during driving.
The study was carried out on 80 active operators, out of which 40 (50%) were tractor
operators and 40 (50%) were nontractor operators. All the participants were aged
between 20 and 50 years old and taken from the region of Punjab, India. The results
revealed that tractor operators reported more health-related problems (LBP, neck
pain and shoulder pain, etc.) in comparison to non-tractor operators. Work-related
musculoskeletal symptoms,i.e. LBP in 70% of operator, neck pain in 60% of operator
and shoulder pain in 43% of operator were greatest among tractor operators. It can
be concluded that tractor operators are more prone to MSDs occurred due to WBV.
Thus, providing a cushion on the seat during operation may cause operation more
comfortable and the operator may experience less prevalence of LBP, neck pain and
shoulder pain. Further, this paper concentrates on the assessment of ride comfort
and related ill effect among tractor operators, those who use cushion and not use
cushion on the seat. The second phase of study was done on 40 tractor operators,
out of which 25 (62.5%) tractor operators use cushion on tractor seat and 15 tractor
operators (37.5%) did not use cushion on the seat. Most of the tractor operators stated
that cushion on the seat is more supportive and also give them more comfort. The
result also indicated that the tractor operators, who used cushion on the seat, reported
less health-related problems (LBP, neck pain and shoulder pain, etc.). Work-related

K. Singh (B) · J. S. Randhawa (B) · P. Kalra

Department of Production and Industrial Engineering, Punjab Engineering
College (Deemed to be University), Chandigarh 160012, India
e-mail: kuljitghuman2003@[Link]
J. S. Randhawa
e-mail: [Link]@[Link]
P. Kalra
e-mail: parveenkalra@[Link]

© Springer Nature Singapore Pte Ltd. 2019 169

A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
170 K. Singh et al.

musculoskeletal symptoms were greatest, i.e. LBP (87%), neck pain (87%) and upper
back pain (33%) among those tractor operators who did not use cushion on the seat
during driving. It was found that cushions made of any fabric material are better
than cushionless driving seat. Thus, it can be concluded that tractor operators who
used cushion on the seat during driving were more comfortable and experience less
prevalence of LBP, neck pain and upper back pain.

Nomenclature

WBV Whole-Body Vibration

LBP Low Back Pain
MSD Musculoskeletal Disorder

10.1 Introduction

Human operator of mobile machines or other vehicles, operating on rough and uneven
surfaces, has been exposed to whole-body vibration (WBV), which are transmitted
through seat or floor of the vehicle ([Link]). In medium- and large-scale
manufacturing industries, for the flow of inventories from warehouses to production
facilities, material handling equipment such as forklift play a major role. Similarly,
agriculture machinery such as tractors and other equipment are used. This agricul-
ture machinery generates a lot of vibrations because of improper structural and/or
engine design of the vehicle and bad road/surface conditions. Hence, the operators
of agricultural machinery are exposed to extreme vibration and are more prone to
the occurence of MSDs.
The characteristics of vibration and duration of exposure are parameters, on which
the response to a vibration exposure is primarily dependent. Many researchers have
been attracted to this field and number of studies have been carried out in the past to
evaluate the effects of whole-body vibration. These studies concluded that possible
effects of whole-body vibrations can be divided into three categories: Interference
with comfort, Interference with activities and Interference with health [5].
Further, vibration intensity frequency which can be low, medium or high, lead
to increase or decrease in the human comfort level and health-related issues. Risks
to health and safety of human operator are majorly dependent on the exposure to
high levels of whole-body vibration and this exposure can cause or aggravate back
injuries to operators of heavy machinery and tractors [2, 8, 13]. When the magnitude
of vibration is high and the posture of operature is awkward, the situation results in
excessive risk of injury and disorder [7].
10 Assessment of Health Risks Among Tractor Operators … 171

Exposure of tractor operator to whole-body vibration generated from tractors has

been associated with low back pain and degeneration of intervertebral disc [11, 12].
It is therefore essential to assess the effect of whole-body vibration on operator
health. As per ISO 2641-1:1997 standard, three postures namely standing, sitting
and recumbent can be used to study the effect of vibration on the human health.

10.2 Background and Review

Many researchers have been attracted to the field of whole-body vibration and carried
out various researches in this field which affects human health. In various studies,
to measure the level of exposure of human being to whole-body vibration, vibration
under controlled and standardised conditions have been considered. These conditions
have been used to assess the behaviour of the vehicle–seat–operator system. In most
of the studies, an international standard (ISO 2631/1, 1985, 1997) or a national
standard (BS6841, 1987) have been taken as basis. For the study on tractor, specific
standards, both for laboratory measurements (ISO 5008, 1979) and for measurements
on normalised track (ISO 5007, 1990) have been set up [6, 9, 10]. Boshuizen et al.
[1] concluded that operators of mobile machinery, transportation vehicles, heavy
vehicles, agriculture machinery and helicopters are predominantly exposed to high
levels of whole-body vibration, which are unsafe to the human operator. Futatsuka
[4] compared health risks occurred due to exposure to whole-body vibration, among
farmers operating agriculture machines in the farms with farmers who are non-
operator, using questionnaire. Koley et al. [8] investigated the effects of WBV on
male tractor operators using Oswestry pain questionnaire and assess the severity
of low back pain. Cvetanovic and Zlatkovic [3] investigated the level to which the
human operator is exposed to whole-body vibration and found that tractor operators
are exposed to high level of vibration, which leads to health-related problems. For
the measurement of the risk assessment of whole-body vibration, various national
and international standards have been drafted. Certain frequencies of vibration have
negative effects upon different parts of the body and vibration influence the human
body in many different ways. Hence, it is important to assess the effects of wholebody
vibration on human health and to mitigate the level of vibrations, generated from
machinery/vehicles, certain methods must be developed.

10.3 Assessment of Health Risks Among Tractor Operators

10.3.1 Assessment Survey

The first phase of the study was done on 80 active operators, out of which 50% (40
participants) were non-tractor driver and 50% (40 participants) were tractor driver
172 K. Singh et al.

that may be exposed to whole-body vibration. All the participants were aged between
20 and 50 years old (M  35.5, SD  2.6) and all the operators were taken from
Punjab region. The survey questionnaire was composed of structured questions on
medical history such as ache, pain and discomfort which may have experienced by
tractor or non-tractor operators in the last 12 months. Occupational history such as
cushion used or not used on the tractor seat during driving was also assessed.
For medical and occupational history assessment, the Self Reporting Assessment
Questionnaire was used, which consisted of 22 dichotomous (yes/no) questions, 15
of which addressed physical symptoms and 6 addressed the occupational history.
Each positive answer is equivalent to one point.
In the second phase of the study, the assessment of ride comfort and related ill
effect among tractor operators, those who use cushion and not use cushion on the
seat was carried out. The study was done on 40 tractor operators. The same Self
Reporting Assessment Questionnaire was used as mentioned above.

10.3.2 Survey Objective

The aim of this study was to assess and compare the health risks that may occur due
to whole-body vibration among the non-tractor operators and tractor operators.
The main objective of the study was to design/develop a detailed questionnaire
by the identification of critical factors contributing to whole-body vibration. Further,
to study the importance of using a cushion in view of whole-body vibration

10.4 Results and Discussion

10.4.1 Prevalence of MSDs in Non-tractor Operator

The data collected through a questionnaire of non-tractor operators (Table 10.1 and
Fig. 10.1) showed that 13 operators (33.0%) experienced LBP. 13 operators (33%)
and 4 operators (10%) reported neck pain and shoulder pain, respectively, during the
last 12 months. For these persons, more than five episodes of LBP were experienced,
each typically lasting between a few minutes and 2 days. In the health surveillance
study of non-tractor driver, there were questions asking during one-on-one interac-
tion, whether low back and neck shoulder affect their normal activities and cause any
job away day (i.e. absenteeism). No operator claimed that their normal activities are
affected due to these and none missed a job day.
Table 10.1 Prevalence of pain, aching or discomfort in non-tractor operators
Discomfort
Wrists/hands Elbows Shoulder Neck Upper Lower Hips/thighs Knee Ankle
back back
Non-tractor operators (Nos.) 5 3 4 13 3 13 2 5 4
Non-tractor operators (%) 13 8 10 33 8 33 5 13 10
10 Assessment of Health Risks Among Tractor Operators …
173
174 K. Singh et al.

Non-Tractor Operators
35%

30%

25%

20%

15%
Non-Tractor Operators
10%

5%

0%

Fig. 10.1 Percentage prevalence of pain, aching or discomfort in non-tractor operators

Tractor Operators
80%
70%
60%
50%
40%
30%
Tractor Operators
20%
10%
0%

Fig. 10.2 Percentage prevalence of pain, aching or discomfort in tractor operators

10.4.2 Prevalence of MSDs in Tractor Operator

The data of tractor operators (Table 10.2 and Fig. 10.2) revealed that 28 operators
(70.0%) out of 40 operators experienced LBP. 24 operators (60%) and 17 operators
(43%) reported neck pain and shoulder pain, respectively, during the last 12 months.
Most of them have experienced more than ten episodes of LBP, each typically lasting
between a few minutes to 2 days. Furthermore, the questionnaire data indicated that
back pain had little effect on their ability to work and on the ability to take part in
recreational/social activities. Operators also claimed that when the severity of low
back pain and neck pain is more, then the operators were consulted doctor for health
examination and getting proper treatment.
Table 10.2 Prevalence of pain, aching or discomfort in tractor operators
Discomfort
Wrists/hands Elbows Shoulder Neck Upper back Lower Hips/thighs Knee Ankle
back
Tractor operators (Nos.) 5 2 17 24 12 28 4 6 5
Tractor operators (%) 13 5 43 60 30 70 10 15 13
10 Assessment of Health Risks Among Tractor Operators …
175
176 K. Singh et al.

10.4.3 Comparison for Prevalence of Pain, Aching

or Discomfort in Non-tractor Operators and Tractor
Operators

The results of the survey are shown in Table 10.3 and found that there is a difference
in prevalence of pain, aching or discomfort among non-tractor operators and tractor
operators. The prevalence of lower back pain is in 33% of non-tractor operator which
is much lower as compared to 70% of tractor operator. Similarly, prevalence of neck
pain is in 33% of non-tractor operator as compared to 60% of tractor operator.
Hence, tractor operators are at higher risk of being disabled at a younger age than
the reference group. In general, the prevalence of discomfort is higher among the
tractor operators that leads health-related problems.

10.4.4 Statistical Analysis

The responses of pre-assessment questionnaire were analyzed using the Statistical

Package for the Social Sciences (SPSS) software. Two independent sample tests was
used to analyze the significant difference (if any) among the non-tractor operators
and tractor operators with respect to the prevalence of pain, aching or discomfort on
various parts of the human body. All results were considered significant at p < 0.05
level.
The Ranks Table 10.4 provides information regarding the output of the actual
Mann–Whitney U test. It shows mean rank and sum of ranks for the two groups tested
(i.e. non-tractor operators and tractor operators). Table 10.4 indicates tractor operator
group can be considered as having the higher prevalence of pain or discomfort. The
group with the highest mean rank had the highest prevalence of pain. The tractor
operators were experienced more prevalence of pain or discomfort (mean rank  47,
mean rank  46, mean rank  45 and mean rank  48) than non-tractor operators
(mean rank  34, mean rank  35, mean rank  36 and mean rank  33) for shoulder,
neck, upper back and lower back, respectively (Figs. 10.3 and 10.4).
Test statistics Table 10.5 shows the actual significance value of the test. Specif-
ically, the Test statistics table provides the test statistic, U statistic, as well as the
asymptotic significance (2-tailed) p-value. The result shows that there is a significant
effect of operator groups with respect to prevalence of pain and discomfort. From
this data, it can be concluded that prevalence of pain in shoulder (U  540, p 
0.001), neck (U  580, p  0.014), upper back (U  620, p  0.010) and lower
back (U  500, p  0.001) among the tractor operators was statistically significantly
higher than the non-tractor operator group.
Table 10.3 Comparison for prevalence of pain, aching or discomfort among non-tractor operators and tractor operators
Discomfort
Wrists/hands Elbows Shoulder Neck Upper Lower Hips/thighs Knee Ankle
back back
Non-tractor operators (%) 13 8 10 33 8 33 5 13 10
Tractor operators (%) 13 5 43 60 30 70 10 15 13
10 Assessment of Health Risks Among Tractor Operators …
177
178 K. Singh et al.

Table 10.4 Ranks table

Operators N Mean rank Sum of
(Mann–Whitney test)
ranks
Wrist 1 40 40.50 1620.00
2 40 40.50 1620.00
Total 80
Elbow 1 40 41.00 1640.00
2 40 40.00 1600.00
Total 80
Shoulder 1 40 34.00 1360.00
2 40 47.00 1880.00
Total 80
Neck 1 40 35.00 1400.00
2 40 46.00 1840.00
Total 80
Upper 1 40 36.00 1440.00
back 2 40 45.00 1800.00
Total 80
Lower 1 40 33.00 1320.00
back 2 40 48.00 1920.00
Total 80
Hips 1 40 39.50 1580.00
2 40 41.50 1660.00
Total 80
Knee 1 40 40.00 1600.00
2 40 41.00 1640.00
Total 80
Ankle 1 40 40.00 1600.00
2 40 41.00 1640.00
Total 80

10.4.5 Comparison for Prevalence of Pain, Aching

or Discomfort Among Tractor Operators Who Used
Cushion and not Used Cushion on Tractor Seat

From the survey, it was also observed that, out of 40 tractor operators, 25 (62.5%)
operators used cushion material on the tractor seat, regularly or occasionally while
driving.
The purpose is to decrease vibration intensity of driving seat, to increase comfort
and to increase fatigue period of driver. Many tractor operators stated that cushion
Table 10.5 Test statistics table (Mann–Whitney test)
Wrist Elbow Shoulder Neck Upper back Lower Hips Knee Ankle
back
Mann–Whitney U 800.0 780.0 540.0 580.0 620.0 500.0 760.0 780.0 780.0
Wilcoxon W 1620.0 1600.0 1360.0 1400.0 1440.0 1320.0 1580.0 1600.0 1600.0
Z 0.000 −0.459 −3.283 −2.451 −2.562 −3.334 −0.844 −0.323 −0.352
Asymp. Sig. (two-tailed) 1.000 0.646 0.001 0.014 0.010 0.001 0.399 0.747 0.725
10 Assessment of Health Risks Among Tractor Operators …

Grouping variable: operators

179
180 K. Singh et al.

80%
70%
60%
50%
40%
30% Non-Tractor Operators
20% Tractor Operators
10%
0%

Fig. 10.3 Percentage prevalence of pain, aching or discomfort among non-tractor operators and
tractor operators

Fig. 10.4 Percentage of operators who used cushion and not used cushion

Table 10.6 Comparison of operators who used cushion and not used cushion on tractor seat
Total no. of operators
Not used cushion on seat Used cushion on seat
Total no. 15 25
Percentage 37.5 62.5

has more support and gave them more comfort than without cushion in terms of jolts
and jerks (Table 10.6).
A comparison was done in order to compare the tractor operators, those used
cushion and not used cushion. The results are shown in Fig. 10.5. It indicates that
the cushioned seat is better than the without cushion seat. The result indicated that
the tractor operators, who used cushion material below the seat, reported less health-
related problems (back pain, neck pain and shoulder pain, etc.). Work-related mus-
culoskeletal symptoms were greatest in the low back (87%), neck (87%), shoulders
(40%) and upper back (33%) among the tractor operators (without cushions). On
the other side, 60% of tractor operators (with cushion) reported back pain and 44%
10 Assessment of Health Risks Among Tractor Operators … 181

100%
90%
80%
70%
60%
50%
40% Not used Cusion
30% Used Cusion
20%
10%
0%

Fig. 10.5 Comparison in prevalence of pain, aching or discomfort among tractor operators who
used cushion and not used cushion

operators reported neck pain. As shown in Tables 10.7 and Fig. 10.5, it can be con-
cluded that tractor operators who use cushioning pads below the seat during driving
were more comfortable and experienced less prevalence of lower back pain, neck
pain and upper back pain.
Cushion may display more evenly distributed pressure. This means that cush-
ions would better distribute the pressures between the cushion–driver interfaces.
Of course, a more evenly distributed pressure contour at the seated person could
result in more comfort and less fatigue, which results less in health-related prob-
lems. Although further assessment and testing is needed to quantify this benefit. It
was seen, that any elastic, soft material used on the driving seat (Fig. 10.5) contributes
to enhance the comfort level.

10.5 Conclusions

In summary, it is revealed that more musculoskeletal symptoms (specifically relating

to the low back, neck and shoulder pain) were observed among the tractor operators
than the non-tractor operators. WBV exposure equal to or greater than the ISO limit
can adversely affect the health and well-being of the worker. Tractor operators may
be exposed to whole-body vibration so it is important to carry out the research on
exposure to whole-body vibration on tractor operators.
 182

Table 10.7 Comparison in prevalence of pain, aching or discomfort among tractor operators who used cushion and not used cushion
Track operators Discomfort
Wrists/hands Elbows Shoulder Neck Upper back Lower back Hips/thighs Knee Ankle
Not use cushion (%) 13 7 40 87 33 87 20 13 13
Use cushion (%) 12 4 44 44 28 60 4 16 12
K. Singh et al.
10 Assessment of Health Risks Among Tractor Operators … 183

References

1. Boshuizen, H.C., Bongers, P.M., Hulshof, C.T.: Self reported back pain in fork-lift truck and
freight container tractor operators exposed to whole-body vibration 17(1), 56–65 (1992)
2. Bovenzi, M., Zadini, A.: Self reported low back symptoms in urban bus operators exposed to
whole body vibration. Spine 17, 1048–1059 (1992)
3. Cvetanovic, B., Zlatkovic, D.: Evaluation of whole body vibration risk in agricultural tractor
operators. Bulg. J. Agric. Sci. 19(5), 1155–1160 (2013)
4. Futatsuka, M., Maeda, S., Inaoka, T., Nagano, M., Shono, M., Miyakita, T.: Whole-body
vibration and health effects in the agricultural machinery operators. Ind. Health 36(2), 127–132
(1998)
5. Griffin, M.J.: Handbook of Human Vibration. ISO, Academic Press, London (1978); Guide for
the Evaluation of Human Exposure to Whole Body Vibration, ISO 2631-1978(E), 2nd Edn.
International Organisation for Standardisation, Geneva, Switzerland (1990)
6. Kennes, P., Anthonis, Clijmans L., Ramon, H.: Construction of a portable test rig to perform
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(1999)
7. Kittusamy, K., Buchholz, B.: An ergonomic evaluation of excavating operations: a pilot study.
Appl. Occup. Environ. Hyg. 16, 723–726 (2001)
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tractors operators with low back pain in Punjab. Anthropologist 12(3), 183–187 (2010)
9. Sam, B., Kathirvel, K.: Vibration characteristics of walking and riding type power tillers. Bio
Syst. Eng. 95(4), 517–528 (2006)
10. Scarlett, J., Price, S., Stayner, M.: Whole-body vibration: evaluation of emission and exposure
levels arising from agricultural tractors. J. Terra-Mech. 44, 65–73 (2007)
11. Seidel, H.: Selected health risks caused by long-term, whole-body vibration. Am. J. Ind. Med.
23(4), 589–604 (1993)
12. Varghese, M., Kumar, A., Mohan, D., Mahajan, P.: A biomechanical and MRI analysis of
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vehicles on lower back disorders. Ergonomics 51, 602–636 (2008)
Chapter 11
Modelling, Simulation and Optimization
of Product Flow in a Multi-products
Manufacturing Unit: A Case Study

Janpriy Sharma and Arvind Jayant

Abstract Simulation is a vital tool for validation of methods and architectures in the
complex manufacturing environment before there application on shop floor for the
production process. Manufacturing simulation, digital engineering tools and pro-
cedures have a positive impact on the manufacturing industry. Simulation models
have been extensively used in manufacturing to enhance the design, planning and
productivity of the processes. In manufacturing environment, crucial material move-
ment, is controlled by various dynamic factors. Situations becomes cumbersome for
assembling plants which deal with multi-product, owing to the dominance and inter-
connectedness of dynamic factors. Analysing of these factors in real-life business
environment is very complex in nature and required the use of modelling and simu-
lation tools. This chapter glimpses modelling and simulation application, in a multi-
product automobile gear manufacturing plant, aimed for development of an efficient
production system that expresses ability for assurance of timely product deliveries
at minimal cost. For three distinct type of gear production lines, simulation-based
models were developed using Arena® Simulation Software. The proposed simulation
model is capable enough to increase the resource’s utilization rate and production
rate of gear manufacturing process by identifying the bottlenecks in the manufactur-
ing system. The models developed are capable enough to be synchronized with the
company’s other products and hence aids in highly precise production planning and
scheduling exercises within the company.

Nomenclature

SCM Supply Chain Management

SC Supply Chain
WIP Work in Process

J. Sharma (B) · A. Jayant

Department of Mechanical Engineering, Sant Longowal Institute of Engineering & Technology,
Longowal, Sangrur 148106, Punjab, India
e-mail: janpriysharma@[Link]

© Springer Nature Singapore Pte Ltd. 2019 185

A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
186 J. Sharma and A. Jayant

EOL End of Life

AGV Automated Guided Vehicle
ISO International Standard Organization
FIFO First-in, First-Out

11.1 Introduction

Dynamics associated with various manufacturing systems is under consistent consid-

eration of researchers from several decades [1]. The process of familiarization with
the manufacturing systems dynamics posseses a serious challenge, as it encloses
exploration of the network of interacting manufacturing systems and its associated
dynamics which makes it even more challenging. Numerous studies have documented
manufacturing as a healthy source leading to competitive advantage, succeeding with
the development of benchmarked manufacturing strategies, in thrust area of oper-
ations management. The traditional approach focused manufacturing strategies on
the internal operations within manufacturing firms particularly concerned with the
physical transformation of materials.
More recently, collaboration of the existing manufacturing systems with supply
chain systems has shifted centre of focus on this new trend, working in the achieve-
ment of sustainability in a variety of manufacturing systems [2]. Supply chain (SC)
which are discussed precisely within the scope of this article, referred it to a set
of networked organizations working together in direction of source, reproduce and
distribution of products and services at customer end [3].
SCM triggers by placing an order of raw materials and/or semi-finished parts at
suppliers, which are further processed by manufacturing plant or product assem-
bly line to the production of finished products [4]. Generated production levels are
shipped to distributors, next to retailers, and finally to end users—the customers.
Supply chain participants belong to different countries or regions, with markable
differences in levels of technology and security. In fact, many supply chain manage-
ment systems are possessed to be global in nature.
Simulation has broadened its applicability in areas of manufacturing, inventory
management, supply chain, healthcare, transportation [5]. In the context of manufac-
turing systems simulation, the results are real estimate of original working conditions
and can be achieved in a predictable manner [2].
In this study, the Gear Job shop manufacturing process at XYZ Limited plant is
modelled and simulated. This study provides a verified and validated model to address
the problem related to low productivity and ineffective resource utilization, to achieve
this, first existing model of gear manufacturing unit was developed and simulated
using Arena 15.1 simulation package. Second, based on the existing model results
flaws in the existing system were verified. After the analysis of the existing model, the
final model was proposed and tested. Certainty associated with results was defined
11 Modelling, Simulation and Optimization of Product Flow … 187

statistically, using a confidence level of 95% and required number of simulation

runs were calculated within this confidence level. At last, sensitivity analysis was
undertaken to analyse key parameter resource utilization, WIP, fork truck utilization,
product flow time effect.

11.2 Modelling and Simulation in Manufacturing

Environment

Simulation models can glimpse the real-time phenomenon’s because lesser bound-
ing assumptions are required [6]. Therefore, simulation portraits dynamic nature of
material flow by realistic replication within a factory rather than assurance of static
analysis, which is hindrance in establishing a good system [7]. Simulation takes
leading edge by not disturbing ongoing processes within factory premises, but it
provides a tool that is flexible and less costly than experimentation and physical
prototyping. Simulation-based experimentation finishes in minutes, which requires
a long span of actual experimentation. Identification of problems along with well-
defined objectives, logic associated with it and variables (Global and Local Variable)
act as foundation, from where paradigm of modelling and simulation actually starts
[8, 9].
The run length of simulation runs depends upon the purpose of the simulation.
Mostly, a consensus about system are made on the basis of simulation run length of 1
month, 300 days, in lieu with conditions at ending point. Although, some modelling
errors whether, mathematical, logical and operational are checked for the thorough
length of simulation run [10].
Simulation represents only how the system under consideration is going to perform
under set various random input conditions and its resulting outputs, it should not be
considered as optimization technique [11].
Ruiz et al. [12] studied application of Simulation process in manufacturing field
used SimShop as simulation tool which includes the tasks like sequenced as mod-
elling phase followed by its simulation run phase and collection of key parameters.
Simulation result validated that architecture of agent used for simulation are com-
patible with an intelligent manufacturing meta-model proposed and its working syn-
chronizing with needs of new manufacturing environmental and empowering high
level of flexibility for development of complex models and experiments.
Jayant et al. [13–16] studied reverse logistic network and sustainable supply chain
systems of exhausted inverter batteries collection in North India, the aim was to
model and simulate the reverse logistic network for collecting end-of-life products
within XYZ industry. The tool used for modelling and simulation was Arena software
(15.1) by Rockwell animation studio to find solution to problem areas identified and
to improve reverse logistic operation.
188 J. Sharma and A. Jayant

Nyemba and Mbohwa [17] explored various dynamics impacting the mate-
rial movement within manufacturing environment, complexity in assembling them,
because of tangled interconnectedness levels between various factors. A case study
of a timber processing and furniture manufacturing industry is presented, which has
a batch production tool which is used for this problem for modelling and simulation
was done by Arena software.
Awasthi and Chauhan [5] proposed a layout of manufacturing systems which have
automated guiding systems with four machines, 2 AGV, single loading/unloading
area and one parking station for AGV recharging facilities. For the given layout,
simulation was performed for parts scheduling and routing by Arena Software. The
result produced gave the best scheduling policy for parts sequencing, part dispatched
by AGVs and part processing at machines.
Depending upon the results generated by simulation, attempt of additional runs
on the experiments can be achieved by changing factors such as starting conditions,
variables, parameters, decision rules and run length of simulation [18].

11.3 Outcome of Literature Review

• Modelling and simulation of gear job shop manufacturing have been accessed at
limited level.
• Visualization and analysis of supply chain network of job shop production systems
are required in more detail.
• Internal transport utilization has still not been explored fully in manufacturing
systems.

11.4 Objectives of Research

• Study and analysis of pertaining issues of low productivity and ineffective resource
utilization in the case of gear manufacturing industry.
• Existing gear manufacturing setup modelling and simulation by Arena 15.1 sim-
ulation package and its result analysis.
• To design and develop a new simulation model, keeping in view realistic and
predictable constraints, proposed model and its simulation results are based on
Arena 15.1 simulation package.
• Study and analysis of key parameters having relevance with strengthening of pro-
duction supply chain network of the case company with enhanced productivity.
• Validation of results generated at confidence level of 95% acknowledging number
of desired simulation run.
11 Modelling, Simulation and Optimization of Product Flow … 189

11.5 Methodology

Literature Review

Problem Identification and

Scope

Field Visit

& System Analysis Literature Review

Data Collection

Build Model
Develop Model Collect Data Define

Simulate Model by ARENA

Run Verify Validate

Analysis and Result

Use model and Support decision making

Consolidation and Final Report

11.6 Case Study of Gear Manufacturing Company

XYZ Pvt. Ltd. is the leading brand name of North India in automobile gear manufac-
turing established in October 2000, and the quality product has brought laurels and
trust of many national and international automobile manufacturers. World-renowned
brands of automotive sector such as “Caterpillar”, “Cummins”, “Hero Moto Cop”,
“Tata Motors” are their privileged customers. XYZ Pvt. Ltd. manufactures three types
of gear Spur Gear, Helical Gear, Worm Gear. The company whose study is presented
in this article is having International accreditation of ISO/Ts 16949, ISO 14000, hav-
ing annual turnover of 325.9 million rupees with strength of 200 employees working
190 J. Sharma and A. Jayant

MATERIAL FLOW

Raw Material Manufacturer Distributor Retailer Consumer

MONEY FLOW

Fig. 11.1 Supply chain network

Fig. 11.2 Products manufactured at XYZ Pvt. Ltd.

in 3 daily shifts of 8 h each. This gear manufacturing firm is spread in total area of
8000 m2 out of which still 3500 m2 is covered area. High variation in demand at
customer end and keeping in view agility of supply chain in this network, company
is having general purpose machines like lathe, milling, drilling, polishing (shaving
and honing) and dedicated paint shop. The company follows job shop production
schedule in which each manufacturing cell is being handled by a trained technician
(Figs. 11.1, 11.2 and 11.3).
11 Modelling, Simulation and Optimization of Product Flow … 191

Raw material Quality and Production/

Supplier/Vendor Inspection Manufacturing

Logistics Inbound & Packaging & Inventory/Finished

Outbound Handling Goods

Fig. 11.3 Supply chain of XYZ Ltd.

11.6.1 Production Scenario at XYZ Ltd.

XYZ Pvt. Ltd. manufacturers automotive gears of three types namely Spur Gear (G1),
Helical Gear (G2), Worm Gear (G3). Geographical layout of proposed company
comprises of location as following:
• Arrival Dock
• Milling workstation with four milling machines
• Drilling workstation with three drilling machines
• Paint shop with single spray both
• Polishing workstation
• Shop exit
Generally, the firm produces 50% of gear G1, 30% of gear G2, 20% of gear G3.
Processing of gears based upon type to be manufactured starts with the arrival of raw
material at receiving station (Arrival Dock), where distinct operation specified for
each gear type are done, after completion of operation finished product takes shop
exit. Operation sequence of for the product under consideration is ordered as milling
processing, drilling operation, painting, polishing of gears. Table 11.1 depicts the
operation sequence for each gear type along with processing time at each stage of
operation. Figure 11.4 glimpses geographical layout of XYZ Pvt. Ltd. also routing
sequence for each product category. For transfer of product within inter workstation
zone, two fork trucks are deployed running at speed of 100 feet/minute. On job
completion at any workstation, the processed gear is placed within an output buffer,
request for transportation is made by means of fork truck, and the gear waits until fork
192 J. Sharma and A. Jayant

Table 11.1 Operation plan gears (by type)

Type of gear Sequence of operations Time to process (minutes)
G1 Milling operations 35
Drilling operations 20
Painting operations 55
Polishing operations 15
G2 Milling operations 25
Painting operations 35
Polishing operations 15
G3 Drilling operations 18
Painting operations 35
Polishing operations 15

MILLING PAINTING
WORKSTATION AREA

EXIT
RAW (Finished
MATERIAL Product)
IN (Arrival
Dock)

Spur Gear (G1) DRILLING POLISHING

Helical Gear (G2) WORKSTATION AREA
Worm Gear (G3)

Fig. 11.4 Layout of job shop at XYZ Pvt. Ltd. and operation sequence by gear type

truck arrival. After transportation of gear to the next shop location, it is dropped in
a FIFO input buffer. Finally, on completion of last process of polishing, the finished
gear makes its way via shop exit and leaves for customer use.

11.7 Simulation Modelling of Gear Job Shop

Manufacturing at XYZ Ltd.

Simulation package Arena belongs to Rockwell Automation Studio, which allows

such versatile designing, used within this study. Section [Link] shows the modelling
steps as well as simulation model logics used in while the development of models by
ARENA 15.1. Simulation begins by “Create Jobs” where gears to be manufactured
11 Modelling, Simulation and Optimization of Product Flow … 193

Table 11.2 Distances among job shop locations

From station location Destination Distance covered (in feet)
Arrival dock Milling workstation 100
Drilling workstation 100
Milling workstation Drilling workstation 300
Paint area 400
Polishing area 150
Paint shop Polishing area 300
Arrival dock 250
Drilling workstation Paint area 150
Polishing area 400
Polishing area Arrival dock 250
Shop exit 200
Shop exit Arrival dock 550
Drilling workstation 500
Milling workstation 300
Paint area 400
Polishing area 200

enter the manufacturing system in the given lot size and after that as per the company
requirements, the job type (G1, G2, G3) is assigned. After that as per Table 11.1,
the operation plan is executed for the time limits defined for each job type assigned
earlier. To facilitate the necessary movement of in process/processed gears for dis-
tances as per Table 11.2, fork trucks are utilized and also being model in simulation
envelope. At last counter tally, records for total number out, processing time and
resource utilization and flow time for each type of job. Finally, the job makes “Shop
Exit”, making all engaged resources free and quits the system of simulation under
consideration.

11.7.1 Simulation Model Development

System represents manufacturing of gears starting with raw material and ending as
a finished product. Gear entities are recreated by ‘Create’ module, depicted here
as Create Jobs. Entities (Gears) per arrival indicates that jobs are approaching with
a batch size of 5 in once, and between two consecutive arrivals follows uniform
distribution between 100 and 108 min. Every distinct arrival of gear is referred to
as distinct entity. After the arrival of raw material enters ‘Assign’ module depicted
“Assign Job Type & Sequence”. By discrete distribution sampling type of gear in lieu
with production policy is assigned and saves code corresponding to it (1, 2 or 3) by
194 J. Sharma and A. Jayant

‘Type’ attribute. Sequence to be followed for production of each gear type is defined
by ‘Sequence’ module from the ‘Advanced Transfer’. Three sequences (G1, G2, G3)
are defined here, one for each gear. Sequence name and series of steps associated
with it in order of processing are specified within the scope of ‘Sequence’. For follow
up of steps, ‘Steps’ dialogue spreadsheet is opened. Each step entry is specifying the
station name and its associated value.
Location of job shops ismodelled as by ‘Station’ Module. Accordingly, each gear
to be produced succeeds towards ‘Station’ module, to depict situation equivalent to
physical arrival of entity, following this gear entities is proceeding towards job shop
floor as per predefined operations categorization. To end ongoing gear entity flow,
it passes through ‘Request’ module from Advanced Transfer Module. ‘Transporter’
summarizes demand for a Fork Truck transporter. Selection rule for transporter is
nearest distance to arrival dock. As fast entity receives truck for pick up of product,
it knocks ‘Transport’ module, depicted as “Shop Floor”, having all details of Entity
starting and destination type. As for three types of different products, group of Station
module called ‘Set’ is used, each being part of modelling, in direction of milling to
polishing. Architecture of all set is the same through modelling (except for names).
Here detailed description how process occurs at milling group is shown, it is then
addressed for ‘Free’ module, depicted as “Free Fork Truck at Mill”, transporter will
wait at Station module until requested. Then product enters ‘Process module called
‘Milling’ where resources allocated for this process, i.e. Milling Machine follows
Seize Delay Release rule and processing is done for the time specified in Sequence
Module. To model four milling machines capacity of four is indicated in Resource
module.
After concluding the milling operations, product entity gates towards Request
module, depicted as “Request Truck at Milling”, where entity request for transporta-
tion to next operation, may be chances persist of wait in queue here, referred as
“Request Truck at Milling”. Queue. With truck arrival, both gear and transporter
enter the ‘Transport’ module referred as “Transport from Milling”. Lastly, transport-
ing fork truck is unfettered by ‘Free’ module, called “Free Truck at Exit”, and the
statistics for finished entity is done by ‘Statistic’ modules for time persistent and
flow time (tally statistic) and then way towards from at a Dispose module.
Randomness associated with various distinct simulation inputs enables simulation
run to develop a statistical estimate of the performance measure, keeping measure
aloof. So that, the developed estimates are statistically precise (small variance) and
free from any type of biasness, the following parameters are specified.
• Replication length of each simulation run  30 days (1 month).
• Count of independent simulation Runs  60.
• Work hours for which simulation done  8 h per day.
Key parameters under consideration having compliance with problem identified
are
• Work in process
• Resources utilization
11 Modelling, Simulation and Optimization of Product Flow … 195

• Fork truck utilization

• Number seized by resources
• Product flow time
• Number In/Out.

[Link] Assumptions

1. Plant produces 50% of gear G1, 30% of gear G2, 20% of gear G3.
2. Gear entities inter arrival time follow uniform distribution (100, 108) minutes in
the batch of 8.
3. For transportation of gear between two destinations, twofork trucks are deployed
4. On job completion at a location, output buffer is used for storage, request for
transportation of product to fork truck is allowed and the gear waits for fork
truck to arrive.
5. When gears are transported to next location, it is placed in first-in, first-out (FIFO)
input buffer.
6. All processes follow a predefined routing and sequence of operations performed
on gear being manufactured.

[Link] Modelling Logic

See Fig. 11.5.

[Link] Model Development and Simulation of Gear Job Shop

Manufacturing by ARENA

Arena Simulation package by Rockwell Inc., enables its users to develop model and
simulate it for various modular designs. This section shows the structure as well
as modelling and simulation logic being used in this study. Simulation starts with
“Create Jobs” where gears to be manufactured enter the manufacturing system in
the given lot size and after that as per the company requirement the job type (G1,
G2, G3) is assigned. After that as per Table 11.2, the operation plan is executed for
the time limits defined for each job type assigned earlier. To facilitate the necessary
movement of in process/processed gears for distances as per Table 11.2 fork trucks
are utilized and being model in simulation envelope. At last counter tally, records
for total number out, processing time and resource utilization and flow time for each
type of job. Finally, the job makes “Shop Exit”, making all engaged resources free
and quits the system of simulation under consideration.
196 J. Sharma and A. Jayant

START

Raw Material Arrival & Product Sequence Assigned

Wait for
transportation
Availability of
Fork Truck for
transport to
Workstation
NO

Processing Station as per sequence

YES

Milling Drilling Polishing

Painting Shop
Workstation Workstation Workstation

NO
Availability of Fork Wait for
Truck at each transportation
workstation Exit to
transfer to next station

YES

NO
Operations performed at Work station’s as per sequence defined

Finished Product Ready

Fig. 11.5 Logic diagram

11 Modelling, Simulation and Optimization of Product Flow … 197

Fig. 11.6 Arena window portraying, Create module Create Jobs

Table 11.3 Distribution used in modelling

Name Distribution Expression
Job inter arrival time Uniform UNIF (100,108)

Table 11.4 Scheduled utilization of resources at gear manufacturing job shop

Resources Scheduled resource utilization (average) for 60 replications
Existing model Proposed model Improvement (%)
Drilling machine 0.2012 0.2534 25.94
Milling machine 0.5903 0.7423 25.74
Polish gear 0.2492 0.3121 25.24
Spray both 0.3298 0.4850 47.05

Table 11.5 Time-persistent usage of types of gear manufactured

Flow time Entity usage in hours for 60 replications
Existing model Proposed model Improvement (%)
Gear G1 flow time 2.7320 3.8533 41.04
Gear G2 flow time 2.3754 3.6996 55.74
Gear G3 flow time 2.1784 2.5861 18.72

Arrival of Gear Entity

Arrival of gear entities in form of raw material is undertaken by Create module, under
Create Jobs, (In Reference to Fig. 11.6). The entities per arrival field designates the
batch size of gear entity, i.e. 8 here and the time between arrivals shows that inter
arrival time are uniformly distributed between 100 and 108 min. After arrival, each
entity proceeds as single unit (Tables 11.3, 11.4, 11.5, 11.6, 11.7, 11.8 and 11.9).
198 J. Sharma and A. Jayant

Table 11.6 Number in and number out for gear manufacturing job shop
Number in/out Number of gear in/out for 60 replications
Existing model Proposed model Improvement (%)
Number in 289 364 26
Number out 286 359 25.52

Table 11.7 Work in process of entities at gear job shop manufacturing

Entity Work in process of entities for 60 replications
Existing model Proposed model Improvement (%)
Gear 3 5 66.67

Table 11.8 Fork truck utilization at gear job shop manufacturing

Fork truck utilization Work in process of entities for 60 replications
Existing model Proposed model Improvement (%)
Fork truck 0.3381 0.4204 24.34

Table 11.9 Total number seized by resources for gear job shop manufacturing
Resources Total number seized by resources (average) for 60 replications
Existing model Proposed model Improvement (%)
Drilling machine 603 759 25.87
Milling machine 1154 1451 25.73
Polish gear 287 359 25.08
Spray both 230 577 47.05

After making entry of entities, to execute some work on it, it ways towards Assign
module called Assign Job Type and Sequence, (Fig. 11.7), using discrete distribution
sampling type of gear to be produced is assigned by saving code (1, 2, or 3) in Type
attribute and ArrTime attribute is assigned to govern simulation clock, Tnow manages
and calculates flow time of each product. At last, the attribute Entity. Sequence is
assigned Type attribute value. This attribute is necessary for follow-up of correct
operation sequence by product type.
Operation sequence for threetypes of gear are defined well in Sequence module
belonging to Advanced Transfer panel, (Refer Fig. 11.8). Three sequences are defined
here for each gear type to be produced.
Each sequence comprises of sequence name and steps associated with it listed in
the processing routing. In Fig. 11.8, five steps of gear G1 are shown and for each
step, processing time is assigned.
11 Modelling, Simulation and Optimization of Product Flow … 199

Fig. 11.7 ARENA window portraying Assign Module, Assign Job Type and Sequence

Fig. 11.8 ARENA window portraying Sequence module, Assignments for each type of gear

Transportation of Gear
Locations within job shop are modelled by Station module. Accordingly, every entity
proceed to Station module, Arrive_Dock, to depict similarity with physical arrival at
some station (Fig. 11.9). This point ways entities to job shop floor.
Entity flow towards Request module named Request a Truck, (Refer to Fig. 11.10),
field indicating Transporter Name refers to request for fork truck. In selection rule
field, selection is based upon request nearest to arrival dock. Truck_ID attribute
stores information of transporters available, available for transportation purpose.
This attribute will govern to free a particular truck for next pick up. As soon as
entity seizes a truck, it gates to Transport module, Transport to Shop floor (Refer to
Fig. 11.11). Gear/Transporter destination is mentioned by Entity destination type by
Sequence option, representing that operation sequences are determined by sequence
number of entity.
200 J. Sharma and A. Jayant

Fig. 11.9 ARENA window

portraying Station module,
Arrive_Dock

Fig. 11.10 ARENA window

portraying Request module,
Request a truck
11 Modelling, Simulation and Optimization of Product Flow … 201

Fig. 11.11 ARENA window portraying Transport module, under Transport to Shop floor

Processing of Gears
When a gear as per defined routine enters for processing at milling station, it enters
the Station, module called Milling Station (Fig. 11.12). After that it succeeds towards
Free module, Free Truck at Mill, where Transporter Name and Unit Number fields
indicate that truck after usage is to be freed for other entities pick up, using the
Truck_ID attribute of the freeing gear entity (Fig. 11.13).
After vacating vehicle from load transporter stays at its last destination Station till a
fresh need of pick up of entity is made, while the gear entity flow towards next module.
Here gears make a move towards Process module, Milling. Milling machine is seized
here for operation completion and its associated processing time are governed by
attribute Milling Time specified in Sequence module (Refer to Fig. 11.14).
On accomplishment of milling operation, entity succeeds to Request module,
Request Truck at Milling, here, request for transportation to other station is made,
equally as first request from the Arrival Dock to job shop floor (Fig. 11.15).
As per predefined routing sequence entities proceeds. After completing all
sequences of necessary operations entity moves to Station module, Shop Exit
(Fig. 11.16) which ends each operation.
Next, the truck used in transportation is vacated in Free module, Free Truck at
Exit, (Fig. 11.17) finished gear records statistics mentioned in earlier attributes and
then it makes plant exit at a Dispose module.
Flow times of entities are tallied by ArrTime attribute of each finished gear entity
as in Record module, called Tally flow time (Refer to Fig. 11.18). These tally times are
matched by each of gear type, using the mechanism of tally set. Tally set Name field
depicts those tallies which are to be entered in Set Index field (Refer to Fig. 11.19).
202 J. Sharma and A. Jayant

Fig. 11.12 ARENA window portraying Station Module, Milling Shop

Fig. 11.13 ARENA window portraying Free module, Free Truck at Milling

The Flow times which is used here come under Set module of Basic Process template
(Refer to Fig. 11.22).
A distance set field for specifying the name of a Distance module allowing the
user to specify distances between pairs of Station modules, a Velocity and Units field
that specify the transporter speed and Initial Position status is within Transporter
module (Refer to Fig. 11.20).
11 Modelling, Simulation and Optimization of Product Flow … 203

Fig. 11.14 ARENA window portraying Process module, Milling

Figure 11.21 Displays the dialog spreadsheet of the Distance module and the
corresponding Stations dialog spreadsheet.
Finally, fork utilization is calculated (a Time-Persistent Statics) and statistics of
flow time (Tally Statics) ae mentioned in Statistic spreadsheet, (Refer to Fig. 11.22).
Variable nt(transporter_name)assigned for calculation of utilization based statistics
nt(Fork Truck).
Overall Arena model composing of all operations performed at gear job shop
manufacturing is shown in Fig. 11.23.
204 J. Sharma and A. Jayant

Fig. 11.15 ARENA window portraying Request module, Request Truck at Milling

Fig. 11.16 ARENA window portraying Station module, Shop Exit

11 Modelling, Simulation and Optimization of Product Flow … 205

Fig. 11.17 ARENA window portraying Free module, Free Truck at Exit

Fig. 11.18 ARENA window portraying Record module Tally flow time

Fig. 11.19 ARENA window portraying Set module Flow times

206 J. Sharma and A. Jayant

Fig. 11.20 ARENA window portraying, Transporter module and Initial position status

Fig. 11.21 ARENA window portraying Distance module and Stations dialog spreadsheet
11 Modelling, Simulation and Optimization of Product Flow … 207

Fig. 11.22 ARENA window depicting Statistics module for collection of Fork truck utilization and
Flow time tallies

Fig. 11.23 Arena model of gear job shop manufacturing

208 J. Sharma and A. Jayant

11.7.2 Verification and Validation

Verification is done at operationality end of model [19, 20]. It is done to ensure that
• Programming errors within modelling.
• Scope of the model is not affected by any errors, oversights or bugs.
In gear manufacturing process, the verification of model is a spontaneous process
for number of replications it makes. Here acceptable level of error is assumed to be
less than 5%.
To make assurance that modelled data portraits the best actual working and to
enhance ts relevance a confidence interval analysis was executed. At confidence
interval of 95%, and the necessary number of replications of simulation was calcu-
lated by the following [21]:

(zα/2 )2 σ2
n
d2
where n  replications required, d refers to sensitivity level, σ  standard deviation,
z refers to critical value from the standard normal table at the assumed confidence
level. For our model to achieve 95% confidence level, 60 replications are required.
Figure 11.24 [2] shows the ARENA input analyser module generated curve fitting
of distribution chosen for Job inter arrival time, square error value, mean standard
deviation, corresponding p-value for Chi-Square test and Kolmogorov–Smirnov test.
• Distribution used here shows square error value 0.000206 which is less than 5%.

Fig. 11.24 Job inter arrival time distribution analysis

11 Modelling, Simulation and Optimization of Product Flow … 209

• Corresponding p-value > 0.15 for the Chi-Square test and for Kolmogorov–S-
mirnov p-value > 0.25 which proves the goodness of fit.
• Standard deviation for the distribution used is 2.32.
Hence, above all parameters and diagram of distribution verify and validate its
correctness at 95% confidence level.

11.8 Results and Discussion

Generated results after successful completion of modelling and simulation of pro-

duction flow lines in the existing setup by which bottlenecks associated with various
workstations were revealed among them main are: improper resource utilization,
reduced capacity of seizing entities, poor entity flow time, reduced work in process.
From simulation results of the existing setup and discussions with company techni-
cal executives, the main bottleneck was single spray booth availability which was
having a processing time of 55 min. As all processes time were optimized for their
best performance, so keeping in view working hours’ constraint, strict labour laws
implementation, routine maintenance activities and company spawning customer
network for future endeavours. Idea of new spray booth was recommended because
of sufficient land availability in company premises and firm’s interest in increasing
production level at any cost, to generate more capital and client’s satisfaction. On
increasing spray booth to 2 NOS if breakdown occurs at one booth production may
not stop and can be bypassed, which was not in the existing provision of company
setup and it can be boon for firm, for high volume order accomplishment.
Recommendation of proposed model was validated by simulation of proposed
model and its qualitative results showed improvements in term of key parameters
as discussed above. Table showing the comparison between existing and proposed
model mathematical figures are shown below to further prove suggestion and its
actual implementation benefit to XYZ Pvt. Ltd. All the results are generated at 95%
confidence level by Arena 15.1 version. Computer used for generating results is
having configuration of Intel i7 Core Processor having 8 GB RAM compatible with
Window 10 Pro Edition (Figs. 11.25, 11.26, 11.27, 11.28 and 11.29).

11.9 Conclusion and Future Scope

The presented work provides a solution to the problem of low productivity and
ineffective resource utilization of XYZ Pvt. Ltd. gear manufacturing unit. First,
the existing gear production unit and working of plant were analysed and existing
setup bottlenecks were identified in the process. Second, simulation-based model was
developed using Arena 15.1 simulation package and generated results were tested for
their familiarity with gear job shop manufacturing mentioned in the case study. Based
210 J. Sharma and A. Jayant

Fig. 11.25 Comparison between total number seized by resources for existing and proposed model
for 30 days replication

Fig. 11.26 Comparison between Number in and number out for existing and proposed model for
30 days replication
11 Modelling, Simulation and Optimization of Product Flow … 211

Fig. 11.27 Comparison between scheduled resource utilization for existing and proposed model
for 30 days replication

Fig. 11.28 Comparison between time-persistent usage of various gears for existing and proposed
model for 30 days replication
212 J. Sharma and A. Jayant

Fig. 11.29 Comparison between resource fork truck utilization among existing and proposed model
for 30 days replication

on existing setup bottleneck, a model was proposed and key parameters proving the
solution to company problem were identified and comparison of the existing and
proposed model was done. All the values used in the comparison were generated
by Simulation in Arena 15.1 at 95% confidence level and validated. The following
conclusions have been made in present work
• Using Arena 15.1 as modelling and simulation tool developed model calculates
scheduled resource utilization, time-persistent usage of types of gear manufactured
in plant, Number In/Out, work in process, fork truck utilization, total number seized
by resources.
• Simulation run used to propose results are validated at confidence level of 95%
i.e. 60 replication lengths for 30 days run length.
• Parameter Scheduled resource utilization showed improvement for all resources
installed at manufacturing unit, utilization of drilling machine improved by
25.94%, milling machine by 25.74%, polishing by 25.24% and spray booth by
47.05%.
• Parameter time-persistent flow times of gear G1, G2, G3 showed improvement of
41.04% for G1, 55.74% for G2, 18.72% for G3, respectively.
• Parameter Number In/Out showed improvement of 26% for total number in and
25.52% for total number out, respectively.
• Parameter work in process of gear entities showed improvement of 66.67%.
• Parameter fork truck utilization showed improvement of 24.34%.
11 Modelling, Simulation and Optimization of Product Flow … 213

• Parameter total number seized by resources at plant showed improvement, drilling

machine seizing capacity increased by 25.87%, milling machine seizing capacity
improved by 25.73%, polish gear seizing capacity improved by 25.08% and spray
booth seizing capacity improved by 47.08%.
Simulation-based analysis revealed that the company can get leading edge by
increasing its product throughput by going through the phase of improvements pro-
posed and thus satisfying customer demand in more efficient way and ultimately
scaling to sustainable operations, flexibility in supply chain network and company
growth. Simulation models shown are flexible enough to handle any changes with
needs of company. Thus, enabling company to analyse and validate new products
prior to launching them. Simulation approach not lonely benefits by improving pro-
duction level and resource utilization but also virtual analysis of new system and
plans, without any disruption to ongoing processes.
Supply chain is dynamic process, it must be modified to tailor itself with emerging
challenges faced by the company along with exploration of newer approaches and
innovations serving the needs of advanced technology and market. Presented work
can be expedited in the direction as below:
• Same work can be validated by using other simulation software’s like FlexSim,
SimShop, Petrinet, Awesim, Simullink, Promodel.
• Presented work scope can be broadened to improve the cost associated with trans-
portation, Resources Running cost.
• Diversification of simulation experiments and its associated runs by utilizing chan-
nel of simulation-based optimization techniques such as meta-models or variance
analysis technique can be applied.

Acknowledgements The authors are highly thankful and share gratitude to whole management
and staff of XYZ company, which enabled to succeed in this presented work, by carving cooperative
paths for the collection of data and providing all necessary inputs required for pursuing this research
work. Editor-in-chief and anonymous referees are also thanked for their valuable suggestions and
constructive comments having the potential to explore new horizons in this field.

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Chapter 12
Benchmarking the Interactions Among
Drivers in Supply Chain Collaboration

Rajiv Kumar Garg, Anish Sachdeva and Harjit Singh

Abstract Manufacturing companies are under the stress to give best quality prod-
ucts at minimum cost within the minimum delivery time, in spite of unpredictable
economic conditions. Due to global competition like improved customer satisfaction
and minimum cost, the organizations are thinking for innovative methods for creating
competitive advantage. One such way is the collaboration among all the members of
supply chain. To understand supply chain collaboration, we have to know the driv-
ing forces of collaboration within the supply chain. In this study, from the relevant
literature and the advices of an expert team composed of technical and managerial
of the manufacturing firms and academicians, 20 collaborative drivers have been
diagnosed. An ISM-based model has been formed to study the understanding of the
collaborative drivers in adopting supply chain collaboration within a manufacturing
organization. We propose the ISM model, and an MICMAC investigation is done.
Its practical significance is to make use of the decision-makers’ knowledge to give
a fundamental understanding of a complicated situation, followed by a course of
action for problem-solving.

Keywords Supply chain collaboration · Benchmarking · Drivers · ISM ·

MICMAC

R. K. Garg · A. Sachdeva · H. Singh (B)

Department of Industrial and Production Engineering, Dr. B. R. Ambedkar National Institute of
Technology, Jalandhar 144011, Punjab, India
e-mail: ergoraya@[Link]
R. K. Garg
e-mail: gargrk@[Link]
A. Sachdeva
e-mail: asachdeva@[Link]

© Springer Nature Singapore Pte Ltd. 2019 215

A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
216 R. K. Garg et al.

12.1 Introduction

Manufacturing firms are under the stress to give efficient products at less cost within
the reliable minimum delivery time, even during unfavorable economic environment.
Due to globalization like improved customer service and cost reduction, firms are
looking for innovative ways for creating competitive advantage, and one such way
is supply chain collaboration (SCC) [1]. Globalization and competitive pressures
have increased demands on firms to fulfill the customer needs all over the globe
on time [2]. Supply chain management (SCM) literature shows a growing interest
in SCC [3, 4]. It has the requirement for more relationships among supply chain
(SC) members [5]. The collaboration between supply chain members has become
a common practice in many modern supply chains [6]. SCC is the relation among
supply chain members developed over a period of time to gain higher quality, lower
cost, and greater product innovation, enhance market value, and reduce risks [7].
Organizations having practice collaboration in their supply chain gain more ben-
efits as compared with the firms which perform individually. The major benefits of
the collaboration are in the form of efficiency and effectiveness, it reduces overall
supply chain cost comparing with, non-collaborative supply chain firms. Due to the
large benefits of SCC, a very large number of organizations are going to apply col-
laborative strategies to enhance the performance of their supply chain [8]. Therefore,
the study related to the collaborative supply chain is one of the emerging topics in
this global environment [9]. Collaboration is explained as two or more firms sharing
the responsibility of exchanging management, planning, execution, and performance
measurement information, and acts as the driving force behind SCM [10]. A large no
of the literature showed that collaboration within the supply chain has a significant
impact on cost saving, decision-making, and problem-solving [11, 12].
SCM is an important area of research for researchers and practitioners from a
large number of disciplines. SCM has been treated as the most famous operations
strategy for developing organizational competitiveness in the twenty-first century
[13]. SCM has been starting from past seven decades, starts with the name traffic, and
then it becomes order management, and further came to warehousing departments.
Then it would come under the name of the physical distribution. Then inventory
management which further allowed by customer service then added a new term
integrated logistics, and further production planning and procurement, then it became
SCM; this is further embedded into the value chain, which ultimately accounts for
the values related to demand and supply [14]. Collaborative activities are the all
related multiple functions of the supply chain. Different members of SC cannot
compete individually, so a continuous dynamic system of collaborative drivers is
required, through which all members become part of a unified system and come
close and collaborate with other members of the SC to achieve a common goal, and
sign all necessary documentation for collaborative activities so do according to the
sign agreements and work to get the required supply chain performance. These are
the various crucial drivers in literature, which made SCC more successful, these
factors accelerate the organizations to implement collaboration in SC [15]. Due to
12 Benchmarking the Interactions Among Drivers … 217

lack of understanding the drivers into the way to collaboration in SC, and it results
in collaboration failure in the supply chain [16].
On the basis of the available literature, relevant to this study, and the suggestions
of an expert team, 20 collaborative drivers have been diagnosed [17]. Drivers are
the multidimensional factors, which acts as driving forces to achieve supply chain
collaboration. Analyzing the interactions among the identified drivers, and imple-
menting the interpretive structural modeling (ISM) methodology, this work pursues
to establish the following contributions:
• First, an ISM-based hierarchical model is built. The model provides the under-
standing of the collaborative drivers in adopting SCC in manufacturing organiza-
tions. Based on the understanding, decision-makers can prepare the company to
implement SCC.
• Second, an impact matrix cross-reference multiplication tested to a classifica-
tion (MICMAC) analysis is implemented. The analysis shows that there is no
autonomous collaborative driver. It indicates that all the identified collaborative
drivers have an important role in the implementation of SCC.
Thus, the ISM-based model and MICMAC analysis may be treated as signif-
icant additions from this research work. The structure of the paper is designed
as follows. Section 12.2 describes the review of the existing relevant litera-
ture. Section 12.3 describes the problem description. Section 12.4 describes the
methodology. Section 12.5 describes the application of the proposed methodology.
Section 12.6 describes MICMAC analysis. Section 12.7 describes the results and
discussion. Section 12.8 describes the managerial implications, and the conclusion
is given in Sect. 12.9.

12.2 Literature Survey

Since the 1980s, SCM is the area of interest; all of the academicians and practitioners
are equally interested in this field [18]. SCM is the new area of interest by comparing
with another area in the field of management studies [19, 20]. Due to global competi-
tion, product life cycle has reduced, which builds stress on supply chain partners that
are tolerated by adding innovative strategies which increase the scale of economy
and customer satisfaction [21]. “Collaboration is the working of two or more than
two companies collectively to run supply chain operations and having a better result
as compare to when these firms work individually” [22]. By collaborating there is a
better result for uncertainties in demand and supply [23]. Collaboration within the
supply chain is the major topic of research for the last decade [24]. Collaboration
in the supply chain is the requirement to construct a more responsive and efficient
chain to provide values to the customer [16].
SCM has been a considerable component of competitive strategy to increase
organizational productivity and profitability [25]. In spite of SCM has large literature,
the concept of collaboration come in 1990, but some companies have been using
218 R. K. Garg et al.

collaborative practice in different ways for several decades [26]. Since the last three
decades, academics and practitioners have interested in various types of collaborative
practices in the supply chain [27]. There are a very large number of benefits of
collaboration but the right observation regarding the meaning of collaboration and
how to start and at where is the present situation is still challenging for supply
chain partners [28–30]. These are the various crucial factors which made SCC more
successful, these factors accelerate the firms to implement collaboration initiatives
[15]. Collaborative relationships between supply chain members make benefits like
inventory reduction, on-time delivery service, and lesser product development cycles
[31]. Due to not properly understanding the drivers into the way to collaboration
in SC, the collaboration would not be as required and therefore uncertainty in the
organization’s performance is increased and it leads to collaboration failure in supply
chain [16, 32, 33].
Collaboration is a set of practices that are exercised collectively by the collab-
orating partners to improve innovation and to raise supply chain performance, and
the collaborative drivers are the visualization of internal and external focused func-
tional areas for an organization [9, 34, 35]. Effective implementation of SCC requires
some forms of planning and preparation in advance, this means the organization’s
ability to execute various collaborative drivers effectively and efficiently [36]. It is a
necessity that which are the various collaborative drivers that reflect collaboration,
and how to visualize these driving forces in an organization to gain benefits from
collaboration [34]. To execute the collaboration in the long term requires various
types of skills and technology. Thus, preparation in the form of skills, technology,
and identifying suitable partner which could result in better execution capability and
in-depth relationship requires attention in the collaborative literature.

12.3 Problem Descriptions

From the literature about SCC, the study of collaborative drivers in the SC is still
under research. No study discussed interactions among these collaborative drivers.
Therefore, more research on collaborative drivers is required to understand and imple-
menting collaboration in the supply chain. After a literature survey and discussion
with the expert team, 20 collaborative drivers to understand and implementing SCC
have been identified. After a literature survey and discussion with the expert team, 20
collaborative drivers to understand and implement SCC have been identified. These
collaborative drivers are shown in tabular form in the following text. The identified
collaborative drivers are shown in Table 12.1.
Table 12.1 The identified collaborative drivers
Collaborative drivers Definition Authors
1 Competition All the members of SC like customer, retailer, wholesaler, distributor, [28, 37–43]
manufacturer, and supplier are stakeholders
2 Commitment Commitment is the important driver to make long-term relationship [31, 35, 40, 44–50]
among SC partners. It is the willingness of SC members to work
together to achieve a common goal. Commitment is an important
ingredient for SCC
3 Adaptations Adaptation is the process of adopting or the addition of the concept of [44, 47, 51, 52]
collaboration in SC and follows the procedure of collaborative
strategies in the chain. Adoption is helpful to reduce the hindrances in
the way to collaboration
4 Technology Technology is used to share information within the chain and monitor [37–39, 52, 53, 55]
the chain. It enhances the visibility of chain by providing better
collaboration among the SC partners. It also increases flexibility in the
chain. Examples are MIS, ERP, DSS, TPS, etc.
12 Benchmarking the Interactions Among Drivers …

5 Trust Trust is one of the key drivers of SCC. Collaboration is made on a base [28, 31, 44–50, 53, 56–58]
of trust. It acts as a binding force among SC partners. The importance
of trust is increasing day by day in literature. It reduces conflicts and
increases collaboration under uncertain conditions
6 Management policies Management policies are the decision at management level due to the [50, 57, 59, 60]
right implication of collaboration in SC. These are the agreements,
common goal outline, and received benefits. It also includes reward and
risk sharing policies
7 Collaborative communication Collaborative communication is the message transmission process [5, 47, 61–63]
within SC partners in the form of direction, mode, frequency, and
influence strategy. It clearly shares goals among the members of all SC
and leads to effective realization of defined objective under provided
resources, pressure, and time
(continued)
219
Table 12.1 (continued)
220

Collaborative drivers Definition Authors

8 Business strategy Business strategy is the important driver behind an organization’s [37, 38, 55, 59, 60]
eagerness to collaborate with other members of SC partners. It has
common practices, efficient information sharing, techniques, and
win-win situation for all members of SC
9 Joint long-term relations Joint long-term relations are the development of a roadmap that has to [47, 49, 65]
be in order to achieve a defined objective. Collaboration between the
firms and departments may be increased by using joint long-term
relations within the SC. This is one of the important elements that
eliminate conflicts between partners of the supply chain, and also
measure the contribution of partners and encourage desirable behavior
between partners and establish the collaborative relationship between
SC partners
10 Collaborative agreement Collaborative agreement is the first step to start collaboration; it is the [40, 56, 60]
detailed legal document within all SC members. It is an essential
document to manage all the discrepancies within SC members. It is the
system which consists of series of rules, through which rights and
responsibilities are formed and agreed by all SC members
11 Better information sharing Information sharing is the exchange of proprietary information among [22, 28, 31, 41, 43, 45, 46, 48,
SC partners by using media such as Internet, mail, telephone, and fax. 49, 52, 56, 57, 60–62]
The shared information must be relevant, complete, accurate, and
confidential in a timely manner within all SC
12 Cooperation Cooperation within SC is required for effective SCC. It is the alignment [22, 28, 40, 47, 66]
of work objectives and available resources to achieve the SCC.
Cooperation is required in all collaborative activities
(continued)
R. K. Garg et al.
Table 12.1 (continued)
Collaborative drivers Definition Authors
13 Appropriate performance The performance metric must be devised and implemented as required [22, 31, 43, 57, 59]
measure by the nature of organization. The main role of the performance
measure is to guide the SC partners to enhance the overall performance
14 Globalization Globalization is the process, by which organizations experience [22, 28, 31, 38–41, 52, 54, 55,
international pressure. It is the collaboration among people, 58]
organizations, and governments of all nations. It has effects on all area
of in societies around the globe. It is one of the important drivers of SCC
15 Incentive alignment Incentive alignment is the process of sharing risks, costs, and benefits [22, 33, 46, 50, 59]
within SC partners
16 Joint decision-making The organizations having practice collaboration worked together and [22, 46, 50, 55, 59, 65]
did joint decision-making to achieve organizational goals. This also
leads to trust and commitment which is required for long-term
successful collaboration relationships
17 Innovative SC process Innovative supply chain process indicates to the degree to which SC [22, 31, 37, 49, 67]
12 Benchmarking the Interactions Among Drivers …

members plan efficient processes that increase customer satisfaction

and help to enhance SCC
18 Resource sharing Resource sharing is the process of sharing and investing in capabilities [31, 45, 49, 56]
and assets within SC partners. Resources may be technology, facility,
manufacturing equipment, and physical resources. It also helps to
achieve successful SCC
19 Knowledge sharing By sharing knowledge, the members of SC responded to the [22, 28, 31, 48, 53, 64]
competitive environment in a better way and worked together to achieve
collaboration in SC
20 Organizational culture Organizational culture is the value that is useful to explain the [41, 45, 50, 58]
functioning of the organization, and also gives behavioral norms. It
enhances the opportunities to make better competitive advantages. It
provides the environment which is necessary to all collaborative
activities that executed to be in the expected way
221
222 R. K. Garg et al.

12.4 ISM Methodology

ISM methodology is mainly designed as a group learning process, but can also be
used individually [67]. ISM methodology converts unclear models of systems into
well-defined models, which is useful for many purposes. ISM methodology is used
for a systematic and logical thinking approach; this gives order and direction for
various complicated relationships among the variables [68]. ISM methodology asks
for grouping expert opinion by grouping various methods like nominal technique,
brainstorming, and affinity diagramming in making contextual relationships among
the variables [69]. The ISM methodology has been proposed for modeling the barriers
to implement green supply chain management in the Indian automobile industry
[70]. The ISM methodology has been used in the Indian cement industry to model
the variables of energy conservation by using direct and indirect interrelationships
[71]. The ISM methodology was used to modeling the future objective variables of
waste management [72]. The ISM model was developed for supplier selection in
manufacturing company having the build-to-order type supply chain environment
[67]. The ISM methodology was used for modeling the variables affecting in the
green supply chain management [73].
The main drawback of ISM methodology is that of the unfairness of the expert who
is deciding the variables, which will affect the final model [67]. ISM methodology
does not give any weightage to the variables. In this study, we identify interactions
of the collaborative activities in implementing an SCC in the manufacturing sector.
The procedure for ISM methodology [67] is as follows:
(a) The identified collaborative drivers are listed.
(b) Develop a contextual relationship for each collaborative driver with respect to
other drivers.
(c) To show the pair-wise relationships between collaborative drivers, develop struc-
tural self-interaction matrix (SSIM), which is based on Step 2.
(d) Develop and check transitivity of reachability matrix, which is based on SSIM.
This matrix is confirmed for transitivity. Transitivity means if a variable “X” is
related to “Y” and “Y” is related to “Z”, then “X” must be related with “Z”.
(e) Differentiate the reachability matrix into different hierarchical levels.
(f) Draw directed graph from the relationships in reachability matrix and delete
transitive links.
(g) Develop ISM model by replacing collaborative driver’s nodes with statements.
(h) Check conceptual inconsistency of the model and do modifications if necessary.
The flowchart for the ISM-based methodology is shown in Fig. 12.1.
12 Benchmarking the Interactions Among Drivers … 223

List of collaborative drivers to adoption of Literature review

SCC in a manufacturing industry

Established contextual relationship

Experts’ opinions
between collaborative drivers

Develop a reachability matrix

Develop a structural self- Necessary

interaction matrix (SSIM) modifications
Partition the reachability matrix
into different levels

Develop the reachability matrix

in its conical form

Remove transitivity from the

digraph Develop digraph

Yes
Is there any
Replace variable nodes with
conceptual
relationship statements
inconsistency?

No

Represent relationship statement into model for the collaborative drivers

related to adoption of SCC in a manufacturing industry

Fig. 12.1 Flowchart for the ISM-based methodology

12.5 Application of the ISM-Based Methodology

for Collaborative Drivers to the Implementation
of SCC

In this section, the above-discussed methodology of ISM is used to model the various
collaborative drivers which are helpful for implementation the collaboration in SC.
Twenty collaborative drivers have been selected after discussion with the expert team
and backed by the existing available literature. The selected collaborative drivers
are shown in Table 12.1. After the analysis of interactions among the collaborative
drivers, an ISM-based model is developed following the procedure discussed in
Sect. 12.4.
224 R. K. Garg et al.

12.5.1 Overview of the Manufacturing Sector

Adding accounts in the global competitive environment is a tough job; firms increase
their efforts for retaining the existing customers and, at the same time, remain com-
petitive in the current market, and it is feasible only by increasing the customers’
satisfaction. Due to globalization, the reduction in the product life cycle builds pres-
sure on whole supply chains, which is handled by adding competitive strategies that
enhance directly and indirectly scale of economy and customer satisfaction [43].
The manufacturing industry is a fundamental part of the economy [74]. Sup-
ply chain growth is reasonable in developed economies and increasing in emerging
economies [75]. In this study, the manufacturing industry is considered to model the
various collaborative drivers for the SCC implementation. This work will helpful
for SCM of the industry to analyze the interactions among the collaborative drivers
while implementing SCC in the industry. First, the process of implementation of
SCC in the manufacturing sector has been discussed with the expert team. Twenty
drivers have been identified after several times discussion with the expert team and
supported by the existing available literature. The considered collaborative drivers, as
discussed above, are tabulated in Table 12.1. After the process of interactions among
the drivers, an ISM-based model is proposed following the procedure is given in
Sect. 12.4.

12.5.2 Structural Self-interaction Matrix (SSIM)

Based upon the contextual relationships between collaborative drivers, the relation
between those two collaborative drivers i and j, and direction between these two are
discussed. The four alphabets as a symbol have been used to relate directionally one
driver with another (i and j) [76]:
V–driver i leads to driver j.
A–driver j leads to driver i.
X–drivers i and j help each other.
O–drivers i and j are not related.
In this study, first driver leads to sixteenth driver so we use symbol “V” in the (1,
16) cell; sixth driver leads to the third driver so we use symbol “A” in the (3, 6) cell;
first and tenth drivers help each other so we use symbol “X” in the (1, 10) cell; first
and fourth drivers have no relation so we use symbol “O” in the (1, 4) cell; and so
on. The relationships are made for the remaining collaborative drivers in Table 12.2.
Table 12.2 SSIM for the collaborative drivers
Sr. no. Collaborative drivers Factor no.
20 19 18 17 16 15 14 13 12 11 10 9 8 7 6 5 4 3 2 1
1 Competition O A A O V O V A O O X A O V A A O V A X
2 Commitment O O A V V V O O V A O O X V O V A O X
3 Adaptations V V O O A A O V V V O V X V A A A X
4 Technology V V O O V A O X V V O O A V A V X
5 Trust O A A O V A A V V X X V X V A X
6 Management policies V O V V V V O V V A V O V V X
7 Collaborative O O X V X A O V O X X X A X
communication
8 Business strategy V O A O V O O O A A V V X
9 Joint long-term relations O A A O A A O A O A O X
10 Collaborative agreement X O A O V V A O A O X
12 Benchmarking the Interactions Among Drivers …

11 Better information V V V V V V V V V X
sharing
12 Cooperation O V A A O A V O X
13 Appropriate O O X A A A A X
performance measure
14 Globalization O O O V V O X
15 Incentive alignment O O A O V X
16 Joint decision-making V O V V X
17 Innovative SC process O A A X
18 Resource sharing V A X
19 Knowledge sharing V X
225

20 Organizational culture X
226 R. K. Garg et al.

12.5.3 Reachability Matrix

SSIM matrix is converted into a binary matrix, by substituting the sign “0” or “1” in
place of O, X, A, V by the rule of substitution given below [76]:
• In the SSIM matrix, if (i, j) value is V, then in reachability matrix (i, j) value replace
to “1” and (j, i) value replace to “0”; this means V (1, 3) in the matrix, “1” for (1,
3) cell and “0” for (3, 1) cell.
• If (i, j) cell value is A in SSIM matrix, then (i, j) cell value for reachability matrix
is “0” and (j, i) cell value is “1”; this means A(1,2) in the matrix, “0” for (1,2) cell
and “1” for (2,1) cell for reachability matrix.
• If (i, j) cell value in SSIM matrix is X, then (i, j) cell value for reachability matrix
is “1” and (j, i) cell value is also “1”; this means X (1, 10) in the SSIM matrix, “1”
is for (1, 10) cell and “1” for (10, 1) cell in the reachability matrix.
• If (i, j) cell value in SSIM matrix is O, (i, j) cell value for reachability matrix is
“0” and (j, i) cell value is also “0”; this means O (1,4) in the SSIM matrix, “0” is
in (1,4) cell and “0” in (4,1) cell in the reachability matrix.
Following this rule, the initial reachability matrix for collaborative drivers is
formed as shown in Table 12.3.
The final reachability matrix for the collaborative drivers is formed by incorpo-
rating the transitivity rule as discussed in Sect. 12.4. The final reachability matrix
for collaborative drivers is reached as shown in Table 12.4.

12.5.4 Level Partitions

The antecedent set and reachability for each collaborative driver are calculated from
final reachability matrix. The reachability set for a driver is the driver itself and
other, which it influences. The antecedent set for a driver is the driver itself and other
drivers, which might influence it. After finding both sets, the intersections between
these sets are derived from the drivers. Antecedent set, reachability, and intersection
sets are derived for all collaborative drivers. Drivers having same intersection set and
reachability set are assigned top level in the ISM hierarchy [67] and say Level 1.
This is the end of iteration 1 as shown in Table 12.5. The Level 1 is discarded from
the other remaining drivers, and iteration 2 is done with the same procedure above.
Continue this iterative procedure until the levels of each driver are found out. It
is understood that the collaborative drivers “joint long-term relations”, “appropriate
performance measure”, “innovative SC process”, and “resource sharing” are at Level
1. The collaborative drivers “commitment”, “trust”, “collaborative communication”,
“business strategy”, “cooperation”, “joint decision-making”, “knowledge sharing”,
and “organizational culture” are at Level 2. The collaborative drivers “competition”,
“adaptations”, “technology”, “collaborative agreement”, “better information shar-
ing”, “globalization”, and “incentive alignment” are at Level 3. The collaborative
driver “management policies” is at Level 4.
Table 12.3 Reachability matrix for the collaborative drivers
Sr. no. Collaborative drivers Driver no.
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
1 Competition 1 0 1 0 0 0 1 0 0 1 0 0 0 1 0 1 0 0 0 0
2 Commitment 1 1 0 0 1 0 1 1 0 0 0 1 0 0 1 1 1 0 0 0
3 Adaptations 0 0 1 0 0 0 1 1 1 0 1 1 1 0 0 0 0 0 1 1
4 Technology 0 1 1 1 1 0 1 0 0 0 1 1 1 0 0 1 0 0 1 1
5 Trust 1 0 4 0 4 0 4 4 4 4 4 4 4 0 0 4 0 0 0 0
6 Management policies 1 0 1 1 1 1 1 1 0 1 0 1 1 0 1 1 1 1 0 1
7 Collaborative 0 0 0 0 0 0 1 0 1 1 1 0 1 0 0 1 1 1 0 0
communication
8 Business strategy 0 1 1 1 1 0 1 1 1 1 0 0 0 0 0 1 0 0 0 1
9 Joint long-term relations 1 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0
10 Collaborative agreement 1 0 0 0 1 0 1 0 0 1 0 0 0 0 1 1 0 0 0 1
12 Benchmarking the Interactions Among Drivers …

11 Better information sharing 0 1 0 0 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1

12 Cooperation 0 0 0 0 0 0 0 1 0 1 0 1 0 1 0 0 0 0 1 0
13 Appropriate performance 1 0 0 1 0 0 0 0 1 0 0 0 1 0 0 0 0 1 0 0
measure
14 Globalization 0 0 0 0 1 0 0 0 0 1 0 0 1 1 0 1 1 0 0 0
15 Incentive alignment 0 0 1 1 1 0 1 0 1 1 0 1 1 0 1 1 0 0 0 0
16 Joint decision-making 0 0 1 0 0 0 1 0 1 0 0 0 1 0 0 1 1 1 0 1
17 Innovative SC process 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 0 0 0
18 Resource sharing 1 1 0 0 1 0 1 1 1 1 0 1 1 0 1 0 1 1 0 1
19 Knowledge sharing 1 0 0 0 1 0 0 0 1 0 0 0 0 0 0 0 1 1 1 1
20 Organizational culture 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1
227
Table 12.4 Final reachability matrix for the collaborative a drivers
228

Sr no. Collaborative drivers Driver no.

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
1 Competition 1 0 1 0 1 0 1 1 1 1 1 1 1 1 1 1 1 1 1 1
2 Commitment 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 1 1 1 1
3 Adaptations 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
4 Technology 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
5 Trust 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
6 Management policies 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
7 Collaborative 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
communication
8 Business strategy 1 1 1 1 1 0 1 1 1 1 1 1 1 0 1 1 1 1 1 1
9 Joint long-term relations 1 0 1 0 0 0 1 0 1 1 1 0 1 1 0 1 1 1 0 0
10 Collaborative agreement 1 0 1 1 1 0 1 1 1 1 1 1 1 1 1 1 1 1 0 1
11 Better information sharing 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
12 Cooperation 1 1 1 1 1 0 1 1 1 1 0 1 1 1 1 1 1 1 1 1
13 Appropriate performance 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 1 1 1 1
measure
14 Globalization 1 0 1 1 1 0 1 1 1 1 1 1 1 1 1 1 1 1 0 1
15 Incentive alignment 1 1 1 1 1 0 1 1 1 1 1 1 1 0 1 1 1 1 1 1
16 Joint decision-making 1 1 1 1 1 0 1 1 1 1 1 1 1 0 1 1 1 1 1 1
17 Innovative SC process 1 0 0 1 0 0 0 1 1 1 0 1 1 1 0 0 1 1 1 0
18 Resource sharing 1 1 1 0 1 0 1 1 1 1 1 1 1 1 1 1 1 1 1 1
19 Knowledge sharing 1 1 1 0 1 0 1 1 1 1 1 1 1 1 1 1 1 1 1 1
20 Organizational culture 0 1 0 0 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1
R. K. Garg et al.
Table 12.5 Partition matrix for the collaborative drivers
Sr. no. Collaborative drivers Reachability set Antecedent set Intersection set Level
1 Competition 3,4,6,11 3,4,6,11 3,4,6,11 III
2 Commitment 2,3,4,5,7,8,11,12,15,16,19,20 2,3,4,5,6,7,8,11,12,15,16,19,20 2,3,4,5,7,8,11,12,15,16,19,20 II
3 Adaptations 3,4,6,11 3,4,6,11 3,4,6,11 III
4 Technology 3,4,6,11 3,4,6,11 3,4,6,11 III
5 Trust 2,3,4,5,6,7,8,11,12,15,16,19,20 2,3,4,5,6,7,8,11,12,15,16,19,20 2,3,4,5,6,7,8,11,12,15,16,19,20 II
6 Management policies 3,4,6,11 3,4,6,11 3,4,6,11 IV
7 Collaborative communication 2,3,4,5,6,7,8,11,12,15,16,19,20 2,3,4,5,6,7,8,11,12,15,16,19,20 2,3,4,5,6,7,8,11,12,15,16,19,20 II
8 Business strategy 2,3,4,5,7,8,11,12,15,16,19,20 2,3,4,5,6,7,8,11,12,15,16,19,20 2,3,4,5,7,8,11,12,15,16,19,20 II
9 Joint long-term relations 1,3,7,9,10,11,13,14,16,17,18 1,2,3,4,5,6,7,8,9,10,11,12,13,14,15,16,17,18,19,20 1,3,7,9,10,11,13,14,16,17,18 I
10 Collaborative agreement 3,11 3,4,6,11 3,11 III
12 Benchmarking the Interactions Among Drivers …

11 Better information sharing 3,4,6,11 3,4,6,11 3,4,6,11 III

12 Cooperation 2,3,4,5,7,8,12,15,16,19,20 2,3,4,5,6,7,8,11,12,15,16,19,20 2,3,4,5,7,8,12,15,16,19,20 II
13 Appropriate performance measure 1,2,3,4,5,7,8,9,10,11,12,13,14,15,16,17,18,19,20 1,2,3,4,5,6,7,8,9,10,11,12,13,14,15,16,17,18,19,20 1,2,3,4,5,7,8,9,10,11,12,13,14,15,16,17,18,19,20 I
14 Globalization 3,4,11 3,4,6,11 3,4,11 III
15 Incentive alignment 3,4,11 3,4,6,11 3,4,11 III
16 Joint decision-making 2,3,4,5,7,8,11,12,15,16,19,20 2,3,4,5,6,7,8,11,12,15,16,19,20 2,3,4,5,7,8,11,12,15,16,19,20 II
17 Innovative SC process 1,4,8,9,10,12,13,14,17,18,19 1,2,3,4,5,6,7,8,9,10,11,12,13,14,15,16,17,18,19,20 1,4,8,9,10,12,13,14,17,18,19 I
18 Resource sharing 1,2,3,5,7,8,9,10,11,12,13,14,15,16,17,18,19,20 1,2,3,4,5,6,7,8,9,10,11,12,13,14,15,16,17,18,19,20 1,2,3,5,7,8,9,10,11,12,13,14,15,16,17,18,19,20 I
19 Knowledge sharing 2,3,5,7,8,11,12,15,16,19,20 2,3,4,5,6,7,8,11,12,15,16,19,20 2,3,5,7,8,11,12,15,16,19,20 II
20 Organizational culture 2,5,6,7,8,11,12,15,16,19,20 2,3,4,5,6,7,8,11,12,15,16,19,20 2,5,6,7,8,11,12,15,16,19,20 II
229
230 R. K. Garg et al.

Table 12.6 Levels partitions for all collaborative drivers

Sr. no. Level Collaborative drivers
number
1 First • Joint long-term relations
• Appropriate performance measure
• Innovative SC process
• Resource sharing
2 Second • Commitment
• Trust
• Collaborative communication
• Business strategy
• Cooperation
• Joint decision-making
• Knowledge sharing
• Organizational culture
3 Third • Competition
• Adaptations
• Technology
• Collaborative agreement
• Better information sharing
• Globalization
• Incentive alignment
4 Fourth • Management policies

12.5.5 ISM-Based Model

From the level partitions (Table 12.6), the ISM model is built as shown in Fig. 12.2.
It is observed from the ISM-based model that the collaborative driver “management
policies” at Level 4 is a very significant driver in adopting SCC in the manufacturing
industry as it becomes the base of the ISM-based hierarchy (Table 12.6).

12.6 MICMAC Analysis

With the help of the developed ISM-based model, an MICMAC analysis is done
which is based on the driving and dependence power of the identified drivers under
study. The driving power and dependence power are calculated from final reachability
matrix, the numbers sum of all “1’s” in the corresponding row and column of that
collaborative drivers is the driving and dependence power. Driving power means a
driver influencing other drivers, and dependence power means a driver influenced by
other drivers. The powers of all collaborative drivers are shown in Table 12.7.
The collaborative drivers can be partitioned into four quadrants, according to their
driving and dependence power, and their respective drivers are shown in Table 12.8.
12 Benchmarking the Interactions Among Drivers … 231

Table 12.7 Power-based ranks of collaborative drivers

Sr. no. Collaborative Driving Driving- Dependence Dependence-
drivers power based power based
rank rank
1 Competition 17 IV 19 II
2 Commitment 19 II 15 V
3 Adaptations 20 I 18 III
4 Technology 20 I 15 V
5 Trust 20 I 18 III
6 Management 20 I 07 VI
policies
7 Collaborative 20 I 19 II
communica-
tion
8 Business 18 III 19 II
strategy
9 Joint 11 VI 20 I
long-term
relations
10 Collaborative 17 IV 19 II
agreement
11 Better 20 I 18 III
information
sharing
12 Cooperation 18 III 19 II
13 Appropriate 19 II 20 I
performance
measure
14 Globalization 17 IV 17 IV
15 Incentive 18 III 18 III
alignment
16 Joint 18 III 19 II
decision-
making
17 Innovative 11 VI 20 I
SC process
18 Resource 18 III 20 I
sharing
19 Knowledge 18 III 17 IV
sharing
20 Organizational 16 V 18 III
culture
 232

Table 12.8 Grouping of collaborative drivers according to their driving power and dependence
Quadrant no. Name of Driving power Dependence Collaborative drivers
elements power
I Autonomous Weak Weak
II Dependent Weak Strong
III Linkage Strong Strong Technology, commitment, knowledge sharing, globalization, adaptations,
trust, better information sharing, incentive alignment, organizational
culture, collaborative communication, business strategy, cooperation,
joint decision-making, competition, collaborative agreement, appropriate
performance measure, resource sharing, joint long-term relations, and
innovative SC process
IV Driver or Strong Weak Management policies
independent
R. K. Garg et al.
12 Benchmarking the Interactions Among Drivers … 233

Joint long term relations Appropriate Innovative SC process Resource sharing

performance measure

Joint Knowl Organizati

Commit Trust Collaborative Business Coope
Decision edge onal
ment communication Strategy ration
making sharing culture

Collaborative
Better Globalization
Adaptations Technology agreement Incentive
Competition
information
alignment
sharing

Management policies

Fig. 12.2 ISM-based model of collaborative drivers

In this study, there is no autonomous and dependent driver. Linkage collabora-

tive drivers having high driving and high dependence power, but are unstable in
nature, because any action on these activities will affect the others and also feedback
on themselves. Using MICMAC analysis, a driving power and dependence power
diagram for collaborative drivers is plotted in Fig. 12.3.

12.7 Results and Discussion

The aim of this work is to review and to analyze the interactions among the col-
laborative drivers for the implementation of SCC in the manufacturing sector. An
ISM-based model has been formed to study the understanding of the collaborative
drivers in adopting SCC in the manufacturing industry. We propose the ISM model,
and an MICMAC investigation is done. The ISM model gives a hierarchy of behav-
iors about collaborative drivers for the implementation of SCC. The supply chain
decision-makers can get an understanding of these collaborative drivers and observe
their interdependencies and relative importance. The insights from the ISM-based
model is that the collaborative drivers “joint long-term relations”, “appropriate per-
formance measure”, “innovative SC process”, and “resource sharing” are at Level 1
and position at top of the ISM-based model. These drivers have strong dependence
power and weak driving power. The rest of the collaborative drivers are categorized
on other levels as follows:
Level 2. Collaborative drivers “commitment”, “trust”, “collaborative communi-
cation”, “business strategy”, “cooperation”, “joint decision-making”, “knowledge
sharing”, and “organizational culture” are found.
234 R. K. Garg et al.

6 4 3, 7 20
5,
11
2 13 19

19 15 8, 18 18
12,
16
14 1, 17
10
20 16

15

14

13

12

IV III 9, 11
17
I II 10

3
Driving power

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Dependence power

Fig. 12.3 MICMAC analysis of the collaborative drivers

Level 3. Collaborative drivers such as “competition”, “adaptations”, “technolo-

gy”, “collaborative agreement”, “better information sharing”, “globalization”, and
“incentive alignment” are found.
Level 4. Collaborative activity “management policies” is found.
Finally, Level 4 forms the base of the ISM-based model and can be recognized
as a significant collaborative driver in adopting SCC. This driver has highest driving
power and lowest dependence power. This implies that “management policies” plays
12 Benchmarking the Interactions Among Drivers … 235

an important role and work as the major driver in the implementation of SCC in the
manufacturing industry.
By operating MICMAC analysis, the dependence-driver diagram is sketched
which gives knowledge about the relative significance and the interdependencies
among the collaborative drivers. From Fig. 12.3, it is found that in this work, there is
no autonomous collaborative driver. It is understood all the collaborative drivers
examined in this work will impact the implementation of SCC. Among the 20
drivers examined in this study, no driver is falling in the dependent quadrant in the
dependence-driver diagram, and it is acknowledged that these drivers will depend
on other collaborative drivers. The drivers like technology, commitment, knowl-
edge sharing, globalization, adaptations, trust, better information sharing, incentive
alignment, organizational culture, collaborative communication, business strategy,
cooperation, joint decision-making, competition, collaborative agreement, appropri-
ate performance measure, resource sharing, joint long-term relations, and innovative
SC process fall under the linkage quadrant; they are unstable and possess high driv-
ing power and high dependence power. The remaining driver “management policies”
falls under the driver or independent quadrant; they possess high driving power and
low dependence power. Hence, the proposed ISM model and MICMAC analysis will
be helpful to supply chain decision-makers to enhance the decision-making process.
The study will contribute a clear picture of the importance of the various collaborative
drivers.

12.8 Managerial Implications

ISM methodology is a technique that facilitates managers to establish a map of the

complicated relationships between various elements in a decision-making process.
The theoretical significance of this methodology is that it can clarify a complicated
system into a hierarchical model having multiple levels. Its practical significance is
to make use of the decision-makers’ knowledge to give a fundamental understanding
of a complicated situation, followed by a course of action for problem-solving.
The ISM-based model formed in this work will give an insight to SCM decision-
makers about the collaborative drivers for the implementation of an SCC. Using this
model, the supply chain decision-makers can prioritize the collaborative drivers, take
steps to maintain them, and reap the full benefits of SCC. The MICMAC analysis
shows that there are no autonomous drivers in the process of implementing SCC.
The autonomous drivers are weak dependence and weak driving power, and hence,
these drivers do not have much leverage on the system. The absence of autonomous
drivers shows that all the considered collaborative drivers are important in the study.
The ISM model and MICMAC analysis are the particular contributions of this study.
236 R. K. Garg et al.

12.9 Conclusion

It is the necessity of every supply chain to remain competitive, for surviving in this
globally competitive environment. This is possible only if all the members of supply
chain collaborate with each other. Collaboration in the supply chain has become an
emerging part of the supply chain management. Based on the available literature and
a consultation with the expert team, 20 collaborative drivers to the implementation
of SCC in the manufacturing industry have been identified. The interaction between
the collaborative drivers is analyzed and modeled by using ISM-based methodology.
The insights from the ISM-based model are that the collaborative drivers “joint
long-term relations”, “appropriate performance measure”, “innovative SC process”,
and “resource sharing” are at Level 1 and position at top of the ISM-based model.
These drivers have strong dependence power and weak driving power. Similarly, the
remaining drivers are found on different levels, and finally, the “management poli-
cies” forms the base of the ISM-based model; this driver must be given important
consideration by the decision-makers in SC. Thus, the awareness about these collab-
orative drivers will help the firm to understand and implement SCC. The MICMAC
analysis is carried out on the collaborative drivers using the dependence and driving
power. The absence of autonomous drivers proves that the considered collaborative
drivers have an important role in implementing SCC in the manufacturing sector.
Thus, ISM model and MICMAC analysis are considered as important contributions
to the literature.
In this work, a relationship model among the collaborative drivers has been for-
mulated using ISM-based methodology. The model is developed on the basis of the
interactions among drivers as identified by the expert team having technical and man-
agerial experts in the manufacturing sector and academicians. The limitation of this
study is that the model does not give weightage to the drivers, so the proposed model
needs to be validated using structural equation modeling, which is the scope for
future work. Hence, the proposed model for the manufacturing sector implementing
SCC may be built.

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Chapter 13
Significance of Electronic Waste
Management for Sustainable Industrial
Production

Rishabh Kumar Saran and Shashikant Yadav

Abstract We review the type of toxic substances that exist in e-waste, their impact
on environment, health of human beings, and management approaches that are being
used to manage e-waste in some developed countries. Several tools like Material Life
Cycle Assessment (LCA), Extended Producer Responsibility (EPR), Multi-Criteria
Analysis (MCA), and Flow Analysis (MFA) are being used for the management
of e-waste in developed countries. Multiple tools working together coherently are
required to resolve the e-waste problem.

Keywords E-waste management · Life cycle assessment · Multi-criteria analysis

13.1 Introduction

With the advent of technology, many smart electronic devices are being introduced
to the world at a very fast pace, causing the elimination of old and present devices.
Factors like advancement in the technology, attractive consumer designs, compatibil-
ity, and marketing strategies are responsible for the short lifetime of many electronic
goods. A recent study has shown that, in the United States, over 130 million electronic
devices are discarded annually which becomes e-waste and the number continues to
increase [11, 12]. It mainly includes televisions, computers, and monitors. In China,
around 1.1 million tons of e-waste, with a contribution from local electronics manu-
facturing as well as from imports from developed countries, is generated every year
[8, 18].

R. K. Saran
Department of Civil Engineering, Indian Institute of Technology, Mumbai, Bombay, Mumbai,
India
e-mail: rishabh87saran@[Link]
S. Yadav (B)
Department of Chemical Engineering, Dr. B. R. Ambedkar National Institute of Technology
Jalandhar, Punjab, India
e-mail: shashikant529@[Link]

© Springer Nature Singapore Pte Ltd. 2019 241

A. Sachdeva et al. (eds.), Operations Management and Systems Engineering,
Lecture Notes on Multidisciplinary Industrial Engineering,
[Link]
242 R. K. Saran and S. Yadav

Due to financial constraints and longer life of electronic devices, e-waste man-
agement is not the main concern for many developing countries. However, import
of discarded e-waste from developed countries is a major source of waste in these
countries. Due to limited policies and laws and lack of safeguards on the safe disposal
of these imported electronic goods, the developing countries have started facing the
serious threat to the environment and human health [3, 31, 32, 40]. Some studies have
shown that halogenated organic compounds like Polychlorinated Biphenyls (PCBs)
and Polybrominated Diphenyl Ethers (PBDEs) and many toxic metals get released
from e-waste, which can cause serious harm to the health of human beings and the
environment [12, 34, 35]. Countries like China, India, Cambodia, Pakistan, Indone-
sia, Thailand, and some African countries like Nigeria are the major importers of
e-waste from developed countries and are facing problems related to e-waste [5, 6,
8, 19, 20, 33].
Some of these countries are now challenging the problems associated with e-waste
and taking strong actions to deaden the e-waste with the advent of management tools
and strict laws. Developing countries, including India, China along with few other
countries have lately made amendments in their laws to deal with the growing prob-
lem of disposal and management of imported e-waste [3, 32, 40]. Additionally, some
electronic equipment manufacturers are coming up with plans of safe disposal of e-
waste employing modern technologies in both developing and developed countries
[8, 11, 12, 23].

13.2 E-Waste Toxicity to Human Beings

Strict and serious actions should be taken on e-waste since the toxic chemicals present
in it are causing a big threat to human health and environment. Use of e-waste
disposal methods like landfill and incineration are already affecting human health.
A case study from China, India, and Ghana has shown that this toxicity from e-
waste is affecting human health in both chronic and acute conditions [12, 28]. Also,
workers who are involved in the primary phase of recycling e-waste are having a
direct impact of toxic materials on their health. Additionally, many natural resources
get contaminated by this recycling phase causing toxic substances to enter the food
chain and hence transmitting to humans [33].
In the light of findings of some more case studies, exposure of human beings to
POPs and toxic heavy metals released from e-waste has an adverse impact on the
health of the local inhabitants where the waste is disposed and the people working
there. Women and children are worst affected by these toxins [5, 19, 40].
There is already an international environmental treaty that aims to eliminate or
prevent the production and use of POPs, viz., Stockholm Convention. However, there
have been substantial delays with the enactment of these laws in some countries like
the USA, which is one of the largest producers of e-waste in the world [12, 24, 35].
13 Significance of Electronic Waste Management … 243

13.3 Impacts of E-Waste on Environment

Though the occurrence of toxic materials in e-waste is known from last 20 years,
there are still insufficient laws and legislation of waste management, leading to an
enormous growth of e-waste. This rapid growth in a short period of time eventually
led to unsuitable e-waste management in both developing and developed countries,
causing immense harm to the environment [35].
The impact of e-waste management by disposal to landfills and by recycling has
already shown hazardous effects on the environment, which is summarized below.
Recycling
The manual process of recycling e-waste around the world leads to contamination of
natural resources like soil, water, and air and causing poisoning to local inhabitants.
The major toxic metals that are released from this recycling process include Cr,
As, Hg, Ni, Cd, and Pb; organic contaminants include BFRs, PAHs, PBDs, PCBs,
etc., which cause contamination of environmental resources [15, 22, 27]. Cities like
Gauteng in South Africa, Karachi in Pakistan, Guiyu and Taizhou in China, Accra
in Ghana, and New Delhi in India are reported to be extremely polluted due to
large-scale e-waste recycling process [3, 28, 31, 32].
Materials eliminated from e-waste recycling process like PCDD/Fs, PAHs, PCBs,
and PBDEs are mainly responsible for causing soil pollution in China along with
Zn, Cd, Hg, Cu, Cr, Pb, and As in India adding Ag, Bi, In, Sn, and Zn in the list [12,
24, 35].
In China, the concentration of lead in water bodies downstream the e-waste recy-
cling industry was found to be eight times more than the acceptable limits in drinking
water. The water has been reported to be contaminated with higher dissolved con-
centrations of metal salts than the outside [12]. This implies that recycling process
in Guiyu results in highly contaminated water quality around this area [34]. As per
the studies, the metals such as Ni, Pb, Cd, Se, Ti, Be, Cr, Cu, F, Al, As, Mn, Ni, Zn,
Ag, Cd, Co, Mn, Mo, Ca, V, Sr, Fe, Hg, Cr, Li, Mg, Cu, Fe, Sb, and Zn other than
Pb are reported to be the most responsible for causing adverse effects of e-waste on
water bodies [10, 34, 37, 38].
Results from China shows that Contamination of air takes place due to bromine
and chlorine-containing organic compounds around e-waste recycling sites. Also, the
concentration of metals like Cr, Cu, and Zn was reported to be several times higher
than that of the other countries in Asia [28, 29]. On the other side, in India, metals
like Co, In, Mn, Cu, Pb, Tl Sn Cr, Bi, and Sb were found in higher concentrations
around recycling sites, as compared to the other referenced sites [1, 16].
Though the information about the nature of toxic substances that are released
from e-wastes and their existence in the environment is inadequate, the available
studies show that noticeable quantity of released toxic substances is occupying the
environment. The presence of these organic and inorganic contaminants is hazardous
to the environment as well as to the human health and expected to last for many years
[2, 17, 36].
244 R. K. Saran and S. Yadav

Landfill disposal
Though the newly constructed landfills can isolate the e-waste that has been produced
across the globe, researchers have proved that the presence of chemicals and pollu-
tants found in e-waste dumped in the landfill can migrate to soil and groundwater
and can still contaminate the soil and environment [10].
A test called Toxicity Characteristic Leaching Procedure (TCLP) has been carried
out to measure the potential toxicity of leachates. This test simulates leaching of
toxic substances from e-waste disposed of in the landfill in worst case scenario. It
determines the physical and chemical properties of solid waste that makes it toxic and
hazardous waste. It has been found that, if the device contains any specific element
higher than the specified toxicity limits, they are considered to be TC hazardous
waste, like electronic devices [12, 14, 28].
Using this test, it was discovered by researchers that a high amount of lead can
leach from cathode ray tubes and printed circuit boards of the TVs. Another inde-
pendent study also found that Pb is the main element that leaches out of printed wire
board, along with some other elements. Studies on leachability of PBDEs showed
that incineration before landfill decreased the amount of PBDEs released in the envi-
ronment [3, 19, 33].

13.4 Strategies to Manage E-Waste

Considering the hazardous and intense effects of e-waste on human health and envi-
ronment in developed as well as developing countries, several tools are being used
to manage the e-waste.
These tools are summarized below.
Life Cycle Assessment (LCA)
The main purpose of LCA is not only to minimize e-waste problem but also to outline
electronic devices in terms of eco-design. Eco-design, i.e., environmental friendly
design of products such as printers, desktop computers, washing machines, and toys,
can be developed with the help of LCA. It is also a valuable tool to gather information
about climate change, ecotoxicity, ozone layer, carcinogens, land use, eutrophication
and acidification, and for the enhancement of the environmental performance of
goods.
Considering the main application of LCA, i.e., e-waste management, different
countries have different approaches of using LCA and the research that has been
conducted using LCA in these countries have suggested that recycling is the best
approach to manage e-waste than landfilling or incineration [6, 8, 9, 15, 31, 33, 35].
For example, in Switzerland, the case study of six end-of-life scenarios on mobile
phones proved that if the materials are recycled, the impact of e-waste is almost two
times lesser on the environment. Even Germany agreed to Switzerland with their
study. Whereas a study in UK found that landfilling without material recovery is as
good as recycling [12].
13 Significance of Electronic Waste Management … 245

In Asian countries like South Korea, they use LCA for analyzing the influence of
e-waste management, considering both environmental as well as economic factors.
Their studies on personal computers disclosed that most effective and environment-
friendly way of e-waste management is recycling. However, as per some researches,
the environment does get affected where there is a hazardous impact of recycling on
the environment [16, 26, 35].
Material Flow Analysis (MFA)
MFA is harnessed to study the steps involved in recycling of e-waste at recycling
sites or disposal areas. For e-waste management, MFA acts as a decision support tool
and can be used to develop proper management protocols.
In Japan, researchers have found that the amount of e-waste recycled has been
decreased whereas the amount of reuse and exports amplified considerably. There
are multiple methods to analyze the possible amount of e-waste in the region like,
market supply method, which provides time for estimation, data for manufacture, and
sales in the specific region. Survey method used for MFA found that there are high
chances that e-waste production will increase in developing countries like Nigeria,
China, Chile, and India. Considering the rapid economic growth and limited data
availability, the combination of MFA with economic assessment will be a valuable
tool for e-waste management [20, 24, 26, 39].
Multi-criteria Analysis (MCA)
Considering quantitative and qualitative problems of problems, MCA is mainly
designed for decision making which considers tactical resolutions and resolving
multifaceted problems [21]. MCA is being used to address environmental issues like
e-waste management to develop alternate e-waste management approaches. Scien-
tists used a six-step method to analyze the “trade-off” between the economic profits
and environmental welfares of the EoL of coffee makers process [4, 7, 30].
Researchers in Spain used MCA for the selection of a suitable location for recy-
cling of e-waste, which mainly involved quantitative and economic criteria for choos-
ing locations.
So, in short, though MCA is not extensively employed for e-waste management,
it is generally employed for hazardous and solid waste management, and it is one
of the useful tools that can be employed in amalgamation with other tools those are
being employed for E-waste management [6, 23].
Extended Producer Responsibility (EPR)
EPR deals with e-waste management at national level, which includes many advanced
nations like Japan, Switzerland, European Union, and some states of US and Canada.
The main aim of EPR is to credit the accountability to manufacturers, to take back
products after they have used by customers, which is based on polluter-pays principles
[11, 12, 16].
Since e-waste is a priority waste, many countries are focusing on treatment and
recycling of taking back products. Holland takes back products like big sized house-
hold appliances and IT related products and recycles them at a rate of up to 45–75%
of weight [18]. UK, Germany, and Switzerland take back the electronic appliances
246 R. K. Saran and S. Yadav

and recycle and recover those products up to 50–80% of weight [27, 35]. Also, Japan,
US, and Canada take back used household appliances and recycle them at the rate
of 50–80%. On the other hand, in India, due to illegal import of e-waste and vast
black market of electronic devices, EPR policies are not that strongly developed. In
addition to India, Thailand is also non-OECD country and is still striving to develop
EPR policy. Since the government fund is fixed and rigid, EPR has become a costly
arrangement for e-waste management. Thailand has employed a product fee system
that emphases on buyback of products, which encourages end users to pass material
to the recycling sector [12, 16].

13.5 The Characteristic Features of Tools for E-Waste

Management

Since the e-waste management is a huge problem, it is necessary to produce eco-

designed devices, proper collection of e-waste, recovery, and recycling e-waste using
benign techniques, its disposal, and mainly to promote the responsiveness of huge
effect of e-waste on the environment and human health. Though many developed
countries are actively working on this, it is still difficult to persuade local communities
to contrivance such strategies [11, 13, 20].
Among the various tools available for e-waste management, MCA, EPR, LCA,
and MFA are being popularly used in many developed countries. LCA mainly focuses
on calculation of the economic and environmental aspect associated with EoL of e-
waste and the effect of material consumption. It also used to conduct the analysis of
product development and eco-design. Because of its better decision taking on e-waste
disposal, many countries like Germany, India, Japan, Korea, Columbia, Switzerland,
United Kingdom, Taiwan, and Thailand are using it [22, 25].
Countries like China, India, and Nigeria that have large e-waste recycling use
MFA to keep the record of where this e-waste is being exported and processed [32].
Considering environmental benefits and economic profits, MCA is employed for
choice making and generally not employed for e-waste management. EPR completely
concentrates on the program that offers the accountability to manufacturers to take
back goods and accomplish the next treatment routes. It is presently used by many
countries like Japan, Germany, Thailand, India, United Kingdom, Switzerland, The
Netherlands, and some states of the United States and Canada. To summarize, every
individual technique has a unique class when employed for e-waste management.
Thus, a combination of all these gives the ideal model for e-waste management.
13 Significance of Electronic Waste Management … 247

13.6 Conclusion

E-waste is a serious threat to both local and global scales that has appeared in not
only developed countries but also in developing countries and around the world. Due
to the advance of technology and abolition, e-waste is being produced in massive
amount, which contains nothing but toxic chemicals that pollute the environment
and has a negative impact on human health. Many tools including MCA, MFA, EPR,
and LCA are being used for e-waste management. A single tool may be insufficient
and imperfect, but the combination of these tools can help to accomplish triumph in
e-waste management.

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