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Ahmed Al-Masri

Kevin Curran Editors

Advances in Science, Technology & Innovation

IEREK Interdisciplinary Series for Sustainable Development

Proceedings of the 1st American University in the Emirates

International Research Conference—Dubai, UAE 2017

Smart Technologies

and Innovation for

a Sustainable Future

Advances in Science, Technology & Innovation

IEREK Interdisciplinary Series for Sustainable

Development

Series editor

Mourad Amer

Editorial Board Members

Hassan Abdalla

Md. Abdul Mannan

Chaham Alalouch

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Dean Hawkes

Stella Kostopoulou

Yasser Mahgoub

Saleh Mesbah Elkaffas

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Iman O. Gawad

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Anna Laura Pisello

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Federica Rosso

Advances in Science, Technology & Innovation (ASTI) is a series of peer-reviewed books

based on the best studies on emerging research that redefines existing disciplinary boundaries

in science, technology and innovation (STI) in order to develop integrated concepts for

sustainable development. The series is mainly based on the best research papers from various

IEREK and other international conferences, and is intended to promote the creation and

development of viable solutions for a sustainable future and a positive societal transformation

with the help of integrated and innovative science-based approaches. Offering interdisciplinary

coverage, the series presents innovative approaches and highlights how they can best support

both the economic and sustainable development for the welfare of all societies. In particular,

the series includes conceptual and empirical contributions from different interrelated fields of

science, technology and innovation that focus on providing practical solutions to ensure food,

water and energy security. It also presents new case studies offering concrete examples of how

to resolve sustainable urbanization and environmental issues. The series is addressed to

professionals in research and teaching, consultancies and industry, and government and

international organizations. Published in collaboration with IEREK, the ASTI series will

acquaint readers with essential new studies in STI for sustainable development.

More information about this series at http://www.springer.com/series/15883

Ahmed Al-Masri •Kevin Curran

Editors

Smart Technologies

and Innovation

for a Sustainable Future

Proceedings of the 1st American University

in the Emirates International Research

Conference—Dubai, UAE 2017

123

Editors

Ahmed Al-Masri

College of Education

American University in the Emirates

Dubai, United Arab Emirates

Kevin Curran

Computer Science Research Institute, Magee Campus

University of Ulster

Londonderry, Northern Ireland, UK

ISSN 2522-8714 ISSN 2522-8722 (electronic)

Advances in Science, Technology & Innovation

IEREK Interdisciplinary Series for Sustainable Development

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Preface

The 1st American University in the Emirates International Research Conference (AUEIRC)

held on November 15–16, 2017, has become one of the major events of the year in the ﬁeld of

creative business and social innovation. AUEIRC 2017 was organized under the patronage of

His Excellency Sultan bin Saeed Al Mansouri, Cabinet Member and Minister of Economy of

UAE and chaired by Prof. Muthanna Abdul Razzaq. This conference aims to provide a vibrant

platform for academicians, researchers, scientists, and industrial practitioners from all over the

world to meet, exchange ideas and network, and discuss the challenges and opportunities for

businesses in the contemporary world. The proceedings will be published in the Advances in

Science, Technology & Innovation series of Springer.

The general aim of AUEIRC 2017 is to promote international collaboration in education and

research in all ﬁelds of creative business and innovation that can scale for the beneﬁtof

communities. The International Scientiﬁc Committee comprises over 80 international experts in

various ﬁelds as per the themes of the conference. The conference keynote speakers include

Suzanne Trager Ortega, President of the Council of Graduate Schools (USA), Prof. Galal Hassan

Galal-Edeen (University of London, UK), and Prof. Ali Emrouznejad (Aston University, UK).

The scope of AUEIRC 2017 includes a broad range of topics on six areas namely Creative

Business and Social Innovation, Education and Social Innovation, Media for Smart Cities,

Creative Industries and Social Innovation, Governance and Legislation, and Smart Tech-

nologies and Innovation. The panels are divided based on tracks, and all papers are presented

in 24 sessions. Each session has a chairperson, while each paper has a discussant. A dou-

ble-blind peer-review process enabled 106 papers to be accepted for publication (in two edited

volumes) in Springer. On behalf of the AUEIRC 2017 Standing Committee, we would like to

thank all the referees, track chairs, discussants, and paper authors.

AUEIRC’17 has been planned to enable postgraduate students from the American University

in the Emirates and other academic institutions to participate in the conference and share their

research experience with an international community of academics and industry experts. The

best paper (in terms of quality and practicality) presented at the conference was awarded

US$1000. The recipient of the Best Paper Award was the paper titled “Optimizing Turbo Codes

for Secret Key Generation in Vehicular Ad Hoc Networks.”This paper’s authors/co-authors are

Dr. Dhouha Kbaier Ben Ismail (University of Bedfordshire), Dr. Petros Karadimas (University

of Glasgow), Dr. Gregory Epiphaniou (University of Bedfordshire), and Dr. Haider Al-Khateeb

(University of Bedfordshire).

On behalf of the AUEIRC’17 Standing Committee, we would like to thank everyone who

made the conference a reality. In particular, we would like to thank Prof. Muthanna (Con-

ference Chairperson), who contributed all resources at his disposal to ensure the high standard

of the conference. We also thank our Provost Prof. Abhilasha Singh for her contributions to

guarantee that the conference is on track. We likewise extend our gratitude to the entire AUE

Board of Trustees, who were present on campus during the conference, for their support. We

also thank the members of the conference steering committee for their hard work, dedication,

and continuous support throughout the preparation and implementation of the conference’s

activities. Moreover, we are grateful to the event management, IT, auxiliary services, media,

security, PR, and protocol teams. We likewise extend our thanks to all faculty and staff

members from different committees for their support in organizing the conference and

ensuring its success.

Overall, we express our heartfelt thanks to the keynote speakers, who managed their busy

schedules and graciously agreed to deliver inspiring messages. We believe that AUEIRC’17

was a high-quality event with remarkable success, although you must judge this matter for

yourselves. We are optimistic that you will enjoy reading the collection of papers included in

this book.

Dubai, United Arab Emirates Dr. Ahmed Al-Masri

Londonderry, Northern Ireland, UK Prof. Kevin Curran

vi Preface

Conference Steering Committee Members

Mahir Albanna

Arafat Al Naim

Konrad Gunesch

Anthony Ijeh

Golam Mustafa

Zaire Ruanto

Asma Salman

Assem Tharwat

vii

Contents

A Case Study of Pakistani News Channels: Media Education

and Journalists’Training .............................................. 1

Asad Ullah Khalid

A Cooperative Classiﬁcation System for Credit Scoring ..................... 11

Dalila Boughaci and Abdullah A. K. Alkhawaldeh

A Critical Evaluation of the Effects of Advertisements Targeted

to Children.......................................................... 21

Tarik Emre Yildirim and Asli Milla

A Gulf College Case Study: Technology Enhanced Students’Learning

Geared with Mobile Devices ............................................ 29

Rowena Ocier Sibayan, Alrence S. Halibas, and Kenneth Ocier Sibayan

A Review Study on the Accuracy of Conversion Between IFPUG FPA

and COSMIC Function Points .......................................... 35

Abedallah Zaid Abualkishik

Analyzing the Role of Human Computer Interaction Principles

for E-Learning Solution Design ......................................... 41

Zahra Al Mahdi, Vikas Rao Naidu, and Preethy Kurian

Automatic Detection of Students Learning Style in Learning

Management System .................................................. 45

T. Sheeba and Reshmy Krishnan

Big Data Security and Privacy Concerns: A Review ........................ 55

Akbar Khanan, Salwani Abdullah, Abdul Hakim H. M. Mohamed, Amjad Mehmood,

and Khairul Akram Zainol Arifﬁn

China’s Relations with Arab Gulf States.................................. 63

Golam Mostafa

Citizen-Centric Approach in Delivery of Smart Government Services .......... 73

Ayman Ahmad Obedait, Mohamed Youssef, and Nikolina Ljepava

Cloud Concept for Implementing Multimedia Based Learning

in Higher Education .................................................. 81

Vikas Rao Naidu, Anjum Zameer Bhat, and Baldev Singh

Diplomacy in the Internet Age—Challenges and Opportunities for the UAE ..... 85

Melissa M. Cyrill and Aftab Kamal Pasha

Enterprise Product Management in the Digital World ....................... 95

Zornitsa Nikolova and Roumiana Antonova

ERP Security, Audit and Process Improvement ............................ 103

Roumiana Antonova and Georgi Georgiev

Evaluating the Strength of Middle Eastern Monarchies and Republics ......... 111

Khulood Jamal

Exploring the Opportunities and Challenges of Open Source Software

and Its Economic Impact on the Cybersecurity Market ...................... 115

Ismail Alsharif and Adel Kheliﬁ

Feasibility Analysis of Blockchain for Donation-Based Crowdfunding

of Ethical Projects .................................................... 129

Nida Khan and Rachid Ouaich

Foreign Policy of the United Arab Emirates (UAE): Continuity

and Change ......................................................... 141

Mariam Alzaabi

Framing Natural Disaster, Terrorist Attack and Civil Unrest Crises

by Egyptian Journalist and Citizen Bloggers .............................. 149

Naheda Makhadmeh and Geri Zeldes

Humanities Scholar Information-Seeking Behavior: Quantitative Approach ..... 177

Mohammad Khaled Al Shboul, Othman A. Obeidat, and Natarajan Sundar

Hybrid Alliances: Efﬁciency, Business Continuity and Future Foresight

in a World of Challenges .............................................. 187

Marios Panagiotis Efthymiopoulos

Impact of Corporate E-Learning Systems in Enhancing the Team

Performance in Virtual Software Teams .................................. 195

Rajalakshmi Subramaniam and Senthilkumar Nakkeeran

IoT Based Water Usage Monitoring System Using LabVIEW................. 205

P. Arun Mozhi Devan, K. Pooventhan, C. Mukesh Kumar, and R. Midhun Kumar

Learning Analytics: Developing a Data-Centric Teaching-Research Skill........ 213

Alrence S. Halibas, Bobby Sathyaseelan, and Muhammad Shahzad

Measuring Ciphertext Randmoness Using Die Hard Randomness Index ........ 221

Mohammed M. Alani

Medical Grade QoS Improvement Using IEEE802.11e WLAN Protocol ........ 229

Luae’A. Al-Tarawneh

Memristor-Based Tunable Analog Filter for Physiological Signal Acquisition

for Electrooculography ................................................ 237

Juhi Faridi and Mohd. Samar Ansari

Migration from the Arab Spring Countries to Europe:

Causes and Consequences.............................................. 243

Mohammed T. Bani Salameh

Multi-channel Buffer Enabled Technique for Video Streaming

in IEEE 802.15.4 ..................................................... 255

Razi Iqbal

Multimedia Applications in Education.................................... 263

Smilen Antonov Savov, Rumiana Antonova, and Kamen Spassov

Non-invasive Extremist Identiﬁcation and Asset Maintenance................. 273

Vladimir Tomaševićand Stanko Bulajić

Open Platform for Network Functions Virtualization in the Digital Era ........ 279

Stela Ruseva, Rumyana Antonova, and Nikola Naidenov

x Contents

Optimizing Turbo Codes for Secret Key Generation in Vehicular

Ad Hoc Networks .................................................... 287

Dhouha Kbaier Ben Ismail, Petros Karadimas, Gregory Epiphaniou,

and Haider Al-Khateeb

PROBSOL: A Web-Based Application to Develop Problem-Solving Skills

in Introductory Programming .......................................... 295

Sohail I. Malik, Roy Mathew, and Maytham M. Hammood

Process Mining of Event Logs from Horde Helpdesk ........................ 303

Radim Dolak and Josef Botlik

Public Library Services to Children in the United Arab Emirates—A Study..... 311

Natarajan Sundar, N. Radhakrishnan, and Mohammad Khaled Issa Al-Shboul

Security and Privacy in Smart Cities: Issues and Current Solutions............ 317

Talal Ashraf Butt and Muhammad Afzaal

Smart City Framework Development: Challenges and Solutions............... 325

Ahmed N. AL-Masri, Anthony Ijeh, and Manal Nasir

Smart City Transportation Services, Customer Satisfaction and Impact

on the Quality of Life ................................................. 333

Aleksandar Aleksic, Nikolina Ljepava, and Marija Ristic

Smart Classrooms .................................................... 339

Zoltan Horvath and Donludee Jaisut

Social Media and Disaster Management in India: Scope and Limitations ....... 349

Dhanashree Giri and Aman Vats

Strengthening Your Social Media Marketing with Live Streaming Video ....... 357

Matthew A. Gilbert

The Complexity of Governing Smart Cities—An Integrated Approach ......... 367

Geetha A. Rubasundram

The Impact of Smart Technology on Advertising: A Case Study

of Pepsi-Egypt ....................................................... 379

Bassant Eyada and Mai El Nawawy

The Onion Router: Is the Onion Network Suitable for Cloud Technologies...... 389

Galia Novakova Nedeltcheva, Elior Vila, and Marina Marinova

The Role of e-Governance in IoT Semantic Interoperability .................. 399

Lyubomir Blagoev and Kamen Spassov

The Role of the Roads and Transport Authority (RTA) in the Transformation

of Dubai into a Smart City ............................................. 403

Hatem Ahmed Adela

The Social Signiﬁcance of Corporate Security ............................. 413

Dusko Tomic and Eldar Saljic

The Value of Intelligent Cybersecurity Strategies for Dubai Smart City ........ 421

Khulood Ali Jumah AlJarman AlZaabi

User and Item Preference Learning for Hybrid Recommendation Systems ...... 447

Kaavya Prakash, Fayiz Asad, and Siddhaling Urolagin

Using a Simulation Game to Teach the Concept of ERP ..................... 457

Jennifer Nightingale

Contents xi

A Case Study of Pakistani News Channels:

Media Education and Journalists’Training

Asad Ullah Khalid

Abstract

Journalism has witnessed revolutionary transformation in

Pakistan, since the turn of the millennium. The nation that

was exposed to only one government controlled news

channel and then suddenly was put in the whirlwind of

unﬁltered ﬂashing news channels, as it stepped in the 21st

century. With the launch of two private news channels,

the practice of journalism appeared as a war for ratings

rather than a medium of information. In the seventeen

years of the millennium, multiple news channels have

mushroomed in Pakistan but the quality of news still

suffers. Freedom and neutrality of the media, particularly

media outlets which broadcast national and international

news, are critical to the growth of any society. This paper

carries out an in-depth study to analyze the reasons for

declining quality of news on Pakistani news media. The

study begins with examining the relevance and suitability

of educational background of the journalists. The jour-

nalists on screen and in the ﬁeld do not go through the

appropriate training required to be eligible for news

media. The Pakistan Electronic Media Regulatory

Authority (PEMRA) is identiﬁed as one of the main

factors for this drawback. PEMRA has been observed to

be ineffective so far. This paper analyses the factors

leading to its unfortunate performance. The inappropriate

congeniality between media persons and political ﬁgures

also raises debate that media gets under political

inﬂuence. This paper analyses the links between the

afore-mentioned factors in light of the crisis faced by

private news media in Pakistan. It analyzes the quality of

news churned by these media giants by conducting

interviews of leading journalists and media persons.

Keywords

Pakistan PEMRA Journalism Private news channels

1 Introduction

The social nature of this world is perpetual and it always

remains in the state of change. In such a state, a society can

remain cohesive and integrated only through the means of

communications. The level of national cohesion and inte-

gration is directly proportional to the quality of communi-

cation means in that nation and media unarguably is the

single most important mean of communication which keeps

society informed and integrated despite the existence of

countless divides on linguistic, ethnic, racial and sectarian

levels. A responsible and well-trained media empowers the

individuals in society through informing them about the

events. In a religious and political pluralistic society, like

Pakistan, the most important task of media is to make every

faction of the society cognizant about various

socio-economic issues and their different interpretations

which lead to a peaceful synthesis on those issues helping

out charting a national strategy. For the government alone

this task is beyond impossible in an era where information of

all sorts and sources ﬂows unchecked through various

mediums including completely uncontrolled social media.

With this growing role of media, government and

nation-state are required to act as more transparent and

unbiased regulators with a closer look at issues pertaining to

quality of journalism and issues which usually lead to

journalistic biases.

Electronic media is the most robust form of media today.

But its scope is often misunderstood. A Large part of Pak-

istani society considers TV news channels as the only

incarnation of electronic media. It would be prudent to

deﬁne the concept and scope of electronic media at this

juncture of discussion. “Electronic media are those com-

munication mediums which are based on electronic or

electromechanical means of production and most often dis-

tinguished from print media”[1]. Most commonly known

sources of electronic media include radio, television, audio

and video records and online live streaming services.

A. U. Khalid (&)

American University in the Emirates, Dubai, UAE

e-mail: asad.khalid@aue.ae

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_1

Notwithstanding the growing internet culture, TV chan-

nels remain the main sources of information and entertain-

ment in Pakistan. Expansion of cable network services

throughout the country during the last decade or so has

rendered News Channels a primary source of information for

those who are literate but do not have access to print media.

And then there are some intrinsic limitations attached to

print media. It cannot compete with the live electronic media

and real-time analysis available through it. Print media has

limited coverage and scope. One newspaper is usually

published from multiple cities raising various local issues

while addressing few national level issues. On the other

hand, electronic media has no such limitations. Due to these

reasons, television news channels in Pakistan have emerged

as the only truly affordable and accessible means of news

and their implications. News Channels have now become an

inﬂuential stakeholder in the Pakistani polity.

Due to the limited scope of this paper, the discussion will

focus primarily on the issues related to the quality and

authenticity of private news channels as, in Pakistani society,

these channels are the largest and most inﬂuential stake-

holders in public opinion making. TV remains the biggest

and fastest growing news medium followed by Radio and

internet news portals [2].

2 Literature Review

Review of the existing body of literature is covering the

history and the transformations media has gone through

since the establishment of Pakistan. This is to develop an

understanding whether the quality of media content has

suffered or improved in its long journey from a single state

controlled channel to a list of comparatively free multiple

media channels.

2.1 Evolution/Metamorphosis of Pakistan’s

Media Industry

“This is Radio Pakistan”, these were the words which were

uttered by ZahoorAazar in English, and Mustafa Ali Ham-

dani in Urdu on the historic day of 14th August 1947. This

was the birth of electronic media of Pakistan. Just like many

developing and even developed countries, Radio became the

major source of news and entertainment programs. It was

established with the ofﬁcial name of Pakistan Broadcasting

Service. 1973 constitution provided new guiding principles

and objectives “to publish, circulate, distribute and regulate

(reliable and trusted) news and information in any part of the

world in any manner that may be deemed ﬁt”[3]. The role of

Radio Pakistan is also important in national electronic media

evolution as its infrastructure and human resource provided

the basis of the TV industry in the country.

2.2 Genesis of TV Channels in Pakistan

Pakistan ﬁrst Television channel was a state-owned terres-

trial TV service named as “Pakistan Television”or PTV. It

was established in existing Radio Pakistan’s building in

Lahore in 1964 with transmission began on 26th November

same year. This state-owned channel was originally a private

venture which commenced around 1961 by few individuals.

The government of Pakistan took control over it and estab-

lished PTV as a joint venture as Nipon Electric Company

(NEC) [4]. In 1967, as a major business step, PTV was listed

in the stock market as a joint venture between the govern-

ment of Pakistan and private business entities. In 1984, the

government of Pakistan introduced Companies Ordinance

1984 to govern the companies working throughout the

country. Eventually, PTV was also converted into a corpo-

ration after the promulgation of this ordinance.

Despite major challenges, both technical and ﬁnancial,

PTV proved a great source of infotainment for Pakistani

society. It highlighted many social issues but complete

control over PTV by the government of Pakistan dictated its

editorial policies for decades. Nevertheless, following gov-

erning principles and goals for Pakistan’sﬁrst TV channel

were laid out:

•Education and insight.

•Enhancement of knowledge and information.

•Healthy entertainment service.

•Preferment of national identity and enhancing national

integration.

•Dissemination of news in a just, impartial, realistic

manner free from dishonesty by insinuation and exclu-

sion [5].

Last two objectives remained largely elusive as PTV as a

news medium only presented the state’s point of view on

every critical juncture of our national history. For example,

during the wars of 1965, 1971 and Kargil conﬂict with India,

PTV presented the state of Pakistan’s view effectively but

seldom entertained any critical views regarding these con-

ﬂicts. Similarly, PTV would cover the debate on Pakistan’s

political and ﬁnancial progress over the years from only one

vantage point and that’s of government’s most of the times if

not always. There used to be a gap between PTV’s coverage

of national issues and ones covered by print media of the

country. This would leave a big question mark on the

authenticity of these stories and analyses PTV would air.

The need of critical evaluation from a private and objective

2 A. U. Khalid

vantage point was almost palpable as media in the world

over and in the region was moving towards more openness

in analysis and debate on various issues.

By 1990s, Semi-private and private TV channels began to

emerge on the infotainment horizon. NTM (National Tele-

vision Marketing) was ﬁrst such endeavor undertaken by a

private company Interﬂow. Channel-3 (later became ATV)

was a semi-private venture between PTV and private entities

and became the ﬁrst non-PTV channel to be aired on the

terrestrial network.

2.3 Media Boom

TV and News channel landscape changed completely within

next two decades when the government allowed ﬁrst full

private news channel as a result of deregulation of electronic

media in 2000. In 2002, an independent and fully autono-

mous regulatory body by the name Pakistan Electronic

Media Regulatory Authority (PEMRA) was established as a

regulator of privately owned electronic mass media.

PEMRA is ofﬁcial license issuing federal authority which

authorizes channels and set up their infrastructure and starts

broadcasting.

Since then, a rapid development of news channels, mostly

owned by print media houses (Jang, Duniya, Express etc.)

Today, there are nearly 90 Satellite TV Channels in Pakistan

with around one third being a news channel. There are more

than 2000 cable operators which are the main source of

transmission of satellite broadcasts from these news chan-

nels to the local viewers. Many large new channels are being

operated from abroad.

Apart from these Pakistani private news channels, there

are more than 25 foreign channels are accessible as they

have landing rights. These include biggest names of inter-

national news like BBC, CNN, Sky, RT, Star etc. Billions of

dollars have been invested in Pakistani news channels and

thousands of jobs were created for journalists, correspon-

dents, news editors, copywriters, graphic designers and

much more. According to one estimate, the indirect

employment is more than 6.5 million.

It was believed that this rapid growth of mass electronic

media in Pakistan would play a constructive role in national

cohesion and integration by making available more knowl-

edge and up to date information which ofﬁcial news chan-

nels like PTV would ignore.

Pakistan’s private media took birth in post 9/11 envi-

ronment when the entire region began to drift into a strategic

ﬂux. Due to close proximity with Afghanistan where ISAF

forces led by the US would hunt Al-Qaeda and Taliban

ﬁghters, Pakistan over the years earned “reputed status of

being the eye of the global security storm”[6] once Pakistan

decided to become part of the international coalition against

global terrorism. It became an insurmountable challenge for

electronic media to cover the war on terror in FATA and

large restive parts of KPK province. What role Pakistani

electronic media played in such restive security milieu for

national cohesion and integration by shaping public opinion?

How these events affected Pakistani electronic media and did

Pakistani media challenge the protracted nature of Afghan

conﬂict—hence did it challenge a narrative US media nur-

tured on the behalf of the US establishment? These are all

critical questions which are still relevant because the war in

Pakistan is far from over despite solid military gains during

the last 16 years. But before looking for answers to these

questions, it would be prudent to understand the signiﬁcance

of a free and natural media in the context of the societal,

regional and global scenario.

2.4 Significance of Free and Neutral Media

“States can be developed and built by deliberate human

actions. Nations evolve almost always through a kaleido-

scopic, spontaneous, multi-layered natural process, not

subject to human will alone, except in some rare cases. The

distinction is necessary at the outset as we proceed to

examine how man-made factors such as media and others

can inﬂuence the process of national as well as state

development”[7].

In any democratic society, the foremost responsibility of

any media is to protect and present facts to its audience.

Objective reporting is meant to portray issues and events in a

neutral and unbiased manner, regardless of the writer’s

opinion or personal beliefs [8]. State own media can also act

as custodian of fact but in the peculiar case of Pakistan

especially and elsewhere generally, it always remains sus-

ceptible to pressures of all kinds from power echelons of

ruling elite. On the other hand, the real strength of privately

owned electronic media lies in its ability to withstand any

imposed censorship by government departments.

Electronic media’s signiﬁcance adds value to any

democracy as it acts as a bridge between the democratic

regime and masses and its ability to transmit important

developments instantaneously plays a key role in dispelling

conspiracies and propaganda. This aspect of electronic

media (both TV and internet) is critical for fragile democ-

racies like Pakistan. Numerous studies have established that

a society remains deprived of progress and prosperity if it

constantly remains in the state of uncertainty about the

prospects of peace, stability, security, good governance and

impartial implementation of constitutional rights. Electronic

media through its vast and effective outreach can ensure that

society avoids this sort of deprivation and uncertainty. The

electronic media may pinpoint social surroundings that repel

transformation and become a reason of social fragmentation.

A Case Study of Pakistani News Channels: Media Education …3

Media all over the world established its signiﬁcance in the

areas pertaining to public affairs and national development

regardless of the speciﬁc type of governance and geography

of that state. In the context of national building and culti-

vation of national cohesion, media is a signiﬁcant force. It

motivates national unity and identity, and not always

because of the fact that it is owned by the state or controlled

by the government like PTV but to express its own vision

and agenda. In politics, Media has been playing an important

role in ushering democratic cultures in erstwhile since 2010

when the phenomenon of “Arab Spring”hit many of the

authoritarian regimes in the Middle East and North Africa.

Interestingly, only one Arab news channel Al-Jazeera

became the spearhead of media coverage of this phe-

nomenon and it’s remained uncensored as its editorial con-

trol was located in Qatar.

Apart from strengthening democracy, the role of elec-

tronic media is signiﬁcant in keeping the society on the

correct intellectual and ideological trajectory. It is more

critical in a world where information ﬂow has become

omnidirectional and it has become an impossible task for

any state to completely censor the content. Social media

revolution of the 21st century has reshaped the entire con-

cept of electronic media. In such a complex society, elec-

tronic media news channels are expected to provide only

authentic and factual reporting about issues related to com-

mon people like routine work, art, education, entertainment,

healthcare, tourism, fashion and anything else that we have

to do on daily basis.

Media’s signiﬁcance in economic decision making has

also increased during the recent past. Media has made every

faction of society more aware about the requirements of

infrastructural development so that socio-economic uplift

can trickle down to individual level. It has become possible

as rapid technical evolution in communication devices has

enabled each individual to access the news content relevant

to his area of work. Time barrier of transmission used to be a

big hurdle in universal access of broadcasted news bulletin

in the past. It is no longer an issue when the live and

recorded news streams can be accessed by everyone at the

most convenient time. Apart from that, electronic media is

acting as powerful free market advocate. This stirs a lot of

economic activities as electronic media disseminates a large

amount of marketing and advertising content. By taking this

role, media acts as an extension of free market economy.

In the ﬁeld of education, media has emerged as the engine

behind the germination of new ideas. News about every

major breakthrough travels around the world breaking the

barriers of language and cultures. Media has introduced the

idea of cross pollination of cultures which has played a

signiﬁcant role in the advancement of sociology, psychol-

ogy, social studies and many more domains of knowledge.

Now young masses around the world are more aware of

different cultures and their value systems. In nutshell, the

effective strength of mass media can be summarized as:

“attracting and directing public interest; persuasion in mat-

ters of opinion and belief; inﬂuencing behavior; structuring

deﬁnitions and realities; conferring status and legitimacy and

informing quickly and extensively”[9].

2.5 Electronic Media in Pakistan

Pakistani society witnessed a rapid and unprecedented

development and expansion of media TV Channels after

2002. Now, it has established itself as “fourth pillar of the

State”or simply as “the fourth estate”as was once recog-

nized by the nineteenth-century British politician Lord

Macaulay who coined this term “in recognition of the sig-

niﬁcance the mass media plays both as a social institution

and a political forum for debate”[10]. It has assigned itself a

role of government critic and this is nothing different from

what electronic media practice elsewhere in the world. But,

in the peculiar political culture of Pakistan where

civil-military imbalance has remained a stumbling block for

democratic culture, this remains a trickery endeavor.

Former US Secretary of State, Hillary Clinton, in 2009,

described Pakistani media as increasingly, “freewheeling…

free, [and] quite inﬂuential”[11].

It is an undeniable fact that today electronic media has the

capability to form opinions and attitudes of masses either in

favor or against a particular topic or idea. From national

cohesion standpoint, this ability of electronic media can

generate a positive outcome for the state only if this power

of electronic media is channeled properly by the regulator

and everyone in the media industry is also equipped with

right kind of journalism training and knowledge especially

about journalistic ethics in conﬂict zones. There is no doubt

that if applied positively, its contribution in achieving

national integration, socio-economic uplift and in building a

cohesive, tolerant and forward-looking society cannot be

overemphasized [12]. But this is theoretical aspects of

journalism and its practical implementation is only possible

in a media environment where each stakeholder like media

houses, journalists and regulator are well aware of their roles

and responsibilities.

2.6 Role and Responsibilities of Media

Persons/Journalists

“The power of the journalist is great, but he is entitled nei-

ther to respect nor admiration because of that power unless it

is used aright. He can do and often does, great good. He can

do and often does, great mischief…Offenses against taste

and morals, which are bad enough in a private citizen, are

4 A. U. Khalid

inﬁnitely worse if made into instruments for debauching the

community through a newspaper”[13].

This statement by former US president Theodore Roo-

sevelt succinctly summarizes the roles and responsibilities of

a journalist and provides guidelines for the community of

journalists. This statement contains in it the primary role (or

more appropriately responsibility) of a journalist which was

described as a gatekeeping role by J Singer in these words,

“journalistic ethics, as they are codiﬁed and articulated by

both individual practitioners and journalism organizations or

institutions, can be seen as stemming from this perspective

of the journalist as gatekeeper”[14].

Interestingly, journalists in the gatekeeping role in the

context of the ﬂow of information have responsibilities to the

both sides of the gate. Journalists are responsible for the

propagation of information to the masses but at the same

time, they are also responsible for deciding what masses

must avoid due to reasons associated with quality and

authenticity of that particular information.

Journalists also have an obligation to present all sides of

any reported story. This falls in the category of the ethical

responsibility of journalist which is a fundamental demand

of objectivity. Journalists must avoid going with popular

opinion on sensitive subjects because that leads to sensa-

tionalism and jingoism. Following popular views, without

any empirical evidence, often hinders the need of doing

proper research through reading existing material and his-

torical records. Moral integrity of any journalist determines

who good gatekeeper he is in this age of information where

information ﬂows on social media more quickly without

being authenticated or veriﬁed.

Journalists are also assumed to put public interest

supreme over the interest of their organization or personal

agendas. This critical role is the most challenging one in the

contemporary world. In this respect, there is a need to

redeﬁne the role of the journalist as a gatekeeper in infor-

mation ﬂow. In today’s interconnected world, providing

information to masses alone is not enough. It is also a

responsibility of modern age journalist to make “people

understand, interpret, and use information, rather than

merely giving them access to it”[15,16].

3 Methodology

In-depth interviews of leading media professionals and

journalists are conducted to get to know their opinion about

the practical steps taken by both the ofﬁcial regulator and the

journalistic community in the country to ensure quality of

media content.

Interpretation and Analysis of Interview Data

Following are the themes developed after qualitatively ana-

lyzing the data collected by the in-depth interviews of

journalists.

Role of Electronic Media Persons and Situation in

Pakistan

Electronic media in Pakistan has suffered from the quality

crisis on more than one occasion and at times it has become

the cause of harm for national cohesion. This media

predicament is not the outcome of the failure of single

stakeholder. There has been a general lack of understanding

about the role and responsibilities of media persons, man-

agement, regulatory and individual journalists. This lack of

understanding is not limited to media persons alone. A Large

faction of public also considers the media a solution provider

for their socioeconomic qualms. This misplaced expectation

provides a wrong sense of responsibilities. This failure of

media naturally raises the need to investigate the core rea-

sons and issues behind media’s inability to present an

informed and educated opinion about various issues per-

taining to Pakistani masses.

Factors Affecting/Impacting Media Persons’Performance

Journalist community in Pakistani electronic media has

failed in playing the roles which has been discussed in the

previous section as Pakistani media today lacks in quality

and substance of its news stories and reports. As mentioned

in one of Media Watch columns, “The lack of substance in

the Pakistani commentariat does not need any elaboration

because TV pundits would reveal that they spend almost no

time on research, following instead the ‘park and bark’

model of punditry”[17]. This is why this community often

fails to correctly indicate the future directions of the current

events. To a large extent, journalist community of Pakistan is

to be blamed for this predicament but certainly, they are not

the only culprit here. This section highlights some key fac-

tors which can be described as the cause of lack of substance

and quality in Pakistani electronic media.

Policy Failure

The most important challenge for Pakistani news media

channels is the absence of any code of conduct for coverage

and reporting. This absence of a code of conduct is the

outcome of the inability of successive Pakistani governments

in forming a national electronic media policy. There is a

A Case Study of Pakistani News Channels: Media Education …5

need for the formation of a wide-ranging and inclusive

electronic media policy so that this media can play a con-

structive role in national cohesion and integration,

strengthening the democratic values and providing masses

with access to facts with more transparency. All these policy

objectives must act as broader contours of this media policy

which will eventually be able to set the intellectual direction

of national debate on the electronic media.

Business Interests Versus National Interests

A more recent phenomenon driving media houses is the role

of advertisers Media houses also failed to nurture a culture of

quality journalism. As electronic media has become an

industry in the country, the biggest driver behind its devel-

opment is the urge of making more money just like any other

business in the world. This pursues of monetary beneﬁts

often push media narrative which contradicts with national

interests. The state is criticized more for the failures of ruling

elite or government. Institutions are demonized by media

instead of individuals who breached the law.

It is noticed worthy fact that except one media house, in

Pakistan, all of the rests are family-owned business ventures.

Almost total control lies with few individuals with the power

to overrule any professional advice. This total control

enthralls these inﬂuential individuals to push ‘personal’

agendas into the information mainstream for some monitory

gains.

It has been established in a commission’s report that

today “advertisers virtually dictate prime time content pref-

erences by using a narrow, relatively non-representative,

heavily urban and consumption oriented rating system to

pressurize channels into the cut-throat competition and to a

lowering of standards of content”[18]. This commission was

constituted by Supreme Court of Pakistan.

Sensationalism Versus Facts

A natural outcome of the ﬁrst factor is the trend of reporting

controversial, sensational and negative news in breaking

news manner and that too without discussing the root causes

of those events. Pakistani electronic media has assigned

itself the role of interpreting good or bad for society. Failure

of the regulator is obvious in this predicament. This is per-

haps the biggest challenge media is faced with in playing its

due role in the socio-political development of the society.

Lack of Journalistic Training

Pakistan’s electronic media often confuse government with

the state in its coverage, criticism, and analysis. Government

due to owning all the political and administrative authority

can be criticized on bad governance but the state must not be

criticized. The need of keeping national interest supreme

over the media houses’own interests is an important one.

Lack of proper training of journalists and anchorpersons is

highlighted during the debate on different national issues on

regular basis. The state is often criticized with zeal for the

government failure to perform. This trend has painted a

bleak picture of Pakistan as a nation state and national

harmony among vital institutions like parliament and armed

forces. In the debate of civil-military relations and history of

military’s role in national polity often leads to criticism of

the armed forces. Another disturbing aspect of this lack of

proper journalists’training is a distortion of facts and

inability of avoiding favoritisms, predispositions and unde-

sirable perceptions. Last but not the least due to lack of

proper training, media often becomes a source of social and

political fragmentation of viewers as it tries to sensationalize

them by offering choices of opinion instead of the uniﬁed

presentation of content about sensitive national issues.

According to Media Commission Report 2013 released

by Supreme Court of Pakistan, the State-owned Pakistan

Broadcasting Corporation, larger media houses, as well as

smaller/private media organisations attempt to sustain a

‘proﬁtable’business; they often do not put a lot of effort and

money into building the capacity of their employees.

Training and professional development programmes are few

and even they are often avoided by the over-worked

employees themselves.

Absence of Code of Conduct

The biggest problem with PEMRA is its power of making

laws regarding electronic media on its own just by issuing

notices and press releases. This is against the spirit of the

constitution. Only elected legislators have the right to make

or amend any new laws. The government must restructure

the PEMRA with in comprehensive and unambiguous

manner. Vaguely deﬁned clauses like “reasonable restric-

tions imposed by law”[19] must be eliminated from this

ordinance. Principally, Executive in the country must act

under the authority of legislation and constitution. The

biggest failure of PEMRA is its inability to introduce any

electronic media code of conduct. Political appointment at

the top post is another problem with PEMRA.

According to the Media Commission Report 2013, pub-

lished by the Supreme Court of Pakistan, 67.5% persons

who received training, undertook it with NGOs, followed by

37.5% with their employers. More women undertook their

training with NGOs and the IFJ, as compared to men.

But more men took their training with their employers and

with unions, compared to women respondents, the Report

states.

6 A. U. Khalid

Class-Based Representation

Among the various challenges faced by media is the social

evil of class based fragmentation of society. Electronic

media is to provide news and programming to post-colonial

and post-millennial Pakistan, where the enormous disparity

in education and wealth among its nearly 200 million citi-

zens manifests itself as severe barriers in accessing objective

journalism [6]. As a result of this, today, a large segment of

society read Urdu newspapers which publish relatively more

conservative views while covering certain societal issues.

Meanwhile, English press is read by ruling elite and often

offer a more secular view. This is a perilous situation from

the social point of view as it deepens the social divide and by

providing two different kinds of content to two different

classes, it is creating an intellectual fault line as well which

ultimately would pose a challenge to efforts for national

cohesion and integration.

Mushroom Growth of Media Channels

The uncontrolled and mushroom growth of media channels

in Pakistan has contributed towards abating quality and lack

of substance of news stories. “The increase in the number of

mass media outlets in Pakistan over the last decade has never

managed to provide answers to the general public’s concerns

that they only serve particular political or commercial

interests. Though the Pakistani mass media have become

more accessible to the citizenry and have also invested more

time and resources into enlightening the public on issues of

human rights, good governance, democracy, and

nation-building”[20].

Lack of Training of Media Persons and Journalists

It is evident from the historical context of the discussion so

far that the quality of journalism in Pakistan suffered greatly

from policies of reining control over media by the successive

governments. Failure in providing an adequate level of basic

training to journalists and other media persons has also

complicated the situation. The impact of these failures was

apparent as soon as private electronic media channels were

allotted the license to put their news feeds on air. The risk of

poor quality was admitted by the senior journalists and their

ofﬁcial bodies. “Press clubs’representatives from across

Pakistan agreed that the rush for breaking news combined

with the unprofessional attitude of editors, newsroom staff,

and media houses leave journalists working in the ﬁeld

vulnerable and at risk”[21].

Despite this clumsy beginning, today, a number of NGOs

and semi-private organizations are working for journalism

training in Pakistan. The most prominent is the “Media

House”which was established in Pakistan with the purpose

to build the capacity of the working journalists in Khyber

Pakhtunkhwa (KP) and the Tribal Areas in particular,

Balochistan and the rest of Pakistan in general [22]. The

organization was established with conﬂict transformation

and resolution as major goals particularly issues pertaining

to Pakistan-Afghanistan bilateral relations. Most recent

ventures of Media House include the development of uni-

versity curriculum of Media studies and journalism,

enhancing the professional capacity of existing journalists

with a speciﬁc focus in the areas of Conﬂict Reporting.

Conﬂict-sensitive Journalism is an area of special focus

along with physical and digital safety in conﬂict reporting;

psychological risks; ethical standards in crisis reporting. The

role of journalism as a mean to achieve the national cohesion

and integration through the strengthening of local govern-

ment system is also among envisioned goals. Effective,

authentic and unbiased media coverage has been considered

as a most efﬁcient way to meet these ends [22]. The NGO

has published a number of journalism manuals and guide-

lines on all above-mentioned topics.

Despite these sincere efforts by NGOs and some media

houses, the issue of poor or no training of young journalists

would remain unresolved unless government came up with a

robust media policy that can provide professional guidelines

for the electronic media.

4 Conclusions

The foregone analysis has established that electronic media

has a critical role in national cohesion and integration by

improving public understanding of the masses. This analysis

also deﬁned the signiﬁcance of electronic media in a

democratic society. Finally, this discussion tried to answer

the fundamental question if currently Pakistani electronic

media is playing that role in Pakistani polity. It was found

that right now though Pakistani media has made masses

more knowledgeable about the events in Pakistan and region

but more than often media has suffered in presenting the

correct perspective of these developments. Hence there is a

lot of room for improvements.

The paper presented a historical perspective and it was

highlighted that electronic media in Pakistan remained under

the strict control of government and masses were bound to

listen and witness ofﬁcial narrative about any issue. Electronic

media in Pakistan witnessed a rapid expansion and growth at

dawn of 21st century when licenses for private news channels

were ﬁrst awarded. PEMRA has established a regulator and

ofﬁcial media watchdog under the PEMRA Ordinance 2002.

A Case Study of Pakistani News Channels: Media Education …7

Signiﬁcance of electronic media was studied in this paper

and it was found that electronic media has a multi-

dimensional impact on any society and in countries like

Pakistanits role becomes more signiﬁcant. It was learned that

being the most effective and fastest growing medium of

communication, electronic media has the ability to form

positive or negative opinion making and attitude building.

The strength of electronic media lies in its ability to cover

important issues pertaining to the socio-political and

socio-economic development and steer the collective con-

science towards the right direction.

Next, the paper debated if Pakistani electronic media is

playing this important role in the country which unfortu-

nately is not the case. Investigating and highlighting the

issues with electronic media which cause degradation of the

quality of electronic media in Pakistan was the next logical

step. It was found that like in many other developing

democracies, electronic media in Pakistan also suffers from

restraints like vested interests of media house owners,

nepotism, poor management, political motives and lack of

properly trained human resources in media houses. Speciﬁc

issues faced by Pakistani electronic media due to these

restraints were highlighted.

Lack of objectivity in respective editorial policies and lack

of understanding of the correct context of events were sighted

the two most important issues Pakistani electronic media is

faced with. The culture of ratings has also affected Pakistani

media’s credibility in a negative way. Non-professional

approach by untrained journalists contributes towards the

propagation of unveriﬁed and scandalous news stories.

While investigating the root causes, it was established

that PEMRA has failed to act as an impartial and truly

independent media regulator. But a most strenuous issue is

the absence of any national media policy. The paper rec-

ommendations put it at topmost priority among other steps

which needs to be taken to made Pakistani electronic media

a vibrant force acting as custodian of fact, providing learned

opinions and analysis on current affairs, highlight gover-

nance issues, presenting Pakistan’s narrative on extremism

and terrorism and most importantly guiding the masses in

the right direction.

5 Recommendations and Way Forward

•Formation of National Electronic Media Policy: The

problem of lack of national narrative on key issues like

terrorism and extremism can be catered effectively

through such well-deﬁned national debate. Furthermore,

such a policy would eventually lead to strengthening the

state institutions and restoring public conﬁdence in

national institutions like parliament, judiciary, and armed

forces. A conﬁdent electronic media is a fundamental

requirement for a vibrant social structure. Pakistani

electronic media is missing its contribution to the

national effort because of this policy failure. This deﬁ-

ciency must be addressed on war footings.

•Restructuring PEMRA: Current media predicament

demands a review of PEMRA Ordinance 2002 by the

parliament to make it more in line with Article 19 and 14

of the constitution of Pakistan. Most importantly,

PEMRA must work under a supervisory over watch of

legislators in a committee with a mandate to intervene

whenever PEMRA transgress its jurisdictions.

•Providing Journalistic Education and Training

The government along with the cooperation of electronic

media should ensure the provision of adequate education

of journalism and training for buddingjournos in Pak-

istani media industry. Political mediocrity within the

national electronic media can be overcome only through

well-trained journalists and media persons. There is a big

vacuum in professional training in all the spheres of

journalism i.e. reporting, copy writing, investigative

journalism, editing, presentation etc.

•Curbing Mushroom Growth of News Channels

One of the major reasons of poor quality of news content in

Pakistani electronic media is the uncontrolled mushroom

growth of news channels. The rule of supply and demand

was ignored initially by PEMRA and licenses for news

channels were issued without accessing the requirements

or putting in place measures to ensure that every new

license seeker has met certain criteria of trained human

resource including journalists, news editors, reporters,

correspondents etc. Consequently, the TV screens were

ﬁlled with sub-standard content and misplaced analysis on

vital issues. Channels indulged into a war of ratings

without improving internal structures, editorial policies,

and human resources development. This further compli-

cated the quality of news issues. In order to address this

issue, Pakistani government must ensure to declare a cri-

terion for media houses seeking new licenses. The growth

of electronic media must not go unrestrained.

•Ensuring Wellbeing of Journalists/Media Persons

Media laws in Pakistan must be implemented in letter

and spirit to ensure that all the workers in electronic

media channels are getting their salaries and other dues

and rights properly. There have been issues of poor

ﬁnancial management on the part of higher management

in many channels due to which journalists and workers

there suffer from delayed salary payment and deduction

in other dues which are promised by these channels at the

time of signing the contract with speciﬁc individuals.

8 A. U. Khalid

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A Case Study of Pakistani News Channels: Media Education …9

A Cooperative Classification System

for Credit Scoring

Dalila Boughaci and Abdullah A. K. Alkhawaldeh

Abstract

Credit scoring (CS) is an important process in both

banking and ﬁnance. CS is a score measure that helps

lenders and creditors to see how good the borrower is. It

indicates how likely the borrower is to pay back the owed

debt, based on its past borrowing behavior. For instance,

this score can be used to avoid risk and provide an

objective analysis of the applicant’s creditworthiness

which reduces credit risk. Also CS allows the automation

of the lending process which leads to increase the speed

and consistency of the borrower’s application. In this

paper, we propose to use agents’technology to develop a

cooperative classiﬁcation system for credit scoring.

Empirical studies are conducted on ﬁve well-known

ﬁnancial datasets. We distribute the complex classiﬁca-

tion problem on a set of intelligent and cooperative agents

where each agent evaluates a given machine learning

algorithm on the considered dataset. The use of agents in

the classiﬁcation process provides a high degree of

ﬂexibility and allows for a faster time scale of data

analysis.

Keywords

Credit scoring Credit risk Machine learning 

Cooperative agents Intelligent agents Financial

datasets

1 Introduction

Credit scoring (CS) is a crucial problem for banks and

ﬁnancial institutions especially after crisis 2006. The ﬁnan-

cial institutions have to ﬁnd good techniques to select

counterparties. A credit score is then an evaluation that helps

lenders and creditors to see how good the borrower is and

indicates how likely the borrower is to pay back the owed

debt, based on its past borrowing behavior [1].

Several studies in ﬁnance and banking have shown the

importance of CS. For in-stance, the credit score is one of

the most powerful predictor of risk [1]. It provides an

objective analysis and helps in the decision making whether

grant credit to client or not. CS helps in managing loan

portfolios and in reducing the cost of the credit evaluation.

The credit evaluation is the process that evaluates the cus-

tomer’s credit-worthy based on some related variables and

decides whether accepting or rejecting the customer’s

credit [2].

This importance of CS has led to the development of

various techniques for building models for CS. Almost of

them are based on statistical and machine learning tech-

niques [3,4]. Among the statistical methods studied for CS,

we give as examples: the linear regression [4], the discrim-

inant analysis and the logistic regression based methods

which are one of the most broadly established statistical

techniques used to classify clients as “good”or “bad”[5].

Also, the decision trees [6], the classiﬁcation and regression

trees (CART) [7], the neural networks [8], the support vector

machines (SVM) [9,10] and the Bayesian networks

(BN) [11] have been studied for CS. Some sophisticated

models based on computational intelligence are also studied

for developing credit scoring models. Among them, we give

for examples, the genetic programming [12], the k-Nearest

Neighbor (k-NN) classiﬁer [13], the evolution strategies [14]

and the ensemble classiﬁers [15].

In this paper, we propose to use the agent’s technology to

develop a cooperative classiﬁcation system. Our choice is

D. Boughaci (&)

Computer Science Department, LRIA-FEI- USTHB,

Algiers, Algeria

e-mail: dboughaci@usthb.dz

A. A. K. Alkhawaldeh

Department of Accounting, Faculty of Economics

and Administrative Sciences, The Hashemite University,

Zarqa, Jordan

e-mail: alkwaldhh@yahoo.com

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_2

justiﬁed by the advantages of the cooperative work offered

by agents where the classiﬁcation system can beneﬁt from

them.

An agent is a program or an autonomous entity, reactive

and able to communicate with others entities or systems. The

agent’s technology has been used with a great success in

different domains in particular in electronic Commerce,

telecommunications and computer security [16,17].

This work proposes an agent based system for CS. It uses

a range of machine learning algorithms. We consider six

classiﬁers which are: Random Forest [18], Bayes Network

[11], Logistic classiﬁer [19], OneR [20], Logit Boost [21]

and AdaBoost [22]. We perform credit scoring task on some

well-known ﬁnancial datasets from UCI (University of

California at Irvine) [23]. We use also the huge “Give Me

some credit”dataset from Kaggle web site [24].

The rest of the paper is organized as follows: Sect. 2

presents the proposed classiﬁcation system based on agents.

Some preliminary results are given in Sect. 3. Section 4

concludes and gives some future works.

2 Proposed System

The overall proposed system is depicted in Fig. 1where a

set of agents are used to handle the classiﬁcation task. The

agents work in parallel and in a cooperative manner by using

several machine learning techniques.

We used two kinds of agents: agent’s classiﬁers that

evaluate the machine learning technique on the considered

dataset. The coordinator agent distributes the work among

the agents participating in the classiﬁcation task. Then it

receives the different classiﬁcation results from the classiﬁers

agents and selects the best one.

The technique used by each classier agent is mostly to run

an algorithm on some training data to get a model. Then, we

apply this model on new or test data to ﬁnd the appropriate

class. In our case, the example data are partitioned into

training and testing examples, approximately in the propor-

tion of 70–30%, respectively. Credit scoring models are

constructed on the training example data by using the con-

sidered machine learning algorithms and validated on the

testing data.

2.1 The Classifiers Agents

We propose to use six types of classiﬁer agents. The

machine learning techniques considered in this study and

that may be used by the set of agents are as follows:

Random Forest (RF): which is a forest decision tree

classiﬁer based on a multitude of decision trees where each

tree gives a classiﬁcation [18]. The RF agent chooses the

classiﬁcation having the most votes over all the trees in the

forest.

Bayes Net (BN): which is a statistical model based on

combination of directed acyclic graph of nodes and link, and

a set of conditional probability table [11]. The BN agent uses

the probabilistic graphical model that represents a set of

random variables and their conditional dependencies via a

directed acyclic graph.

AdaBoost (AdaB): is an adaptive boosting machine

learning algorithm for increasing the performance of weak

learning algorithms [22]. It uses a set of learning algorithms.

Fig. 1 The proposed cooperative

classiﬁcation system

12 D. Boughaci and A. A. K. Alkhawaldeh

The output of the other learning algorithms is combined into

a weighted sum that represents the ﬁnal output of the

boosted classiﬁer. The AdaB agent uses a combination of a

set of classiﬁers produced by the learning algorithm over a

number of distributions of the training data.

Logistic regression (LR): is a regression model used to

estimate the probability of a qualitative response based on

one or more predictor or independent variables [19]. The LR

Agent evaluates the LR on the considered dataset.

OneR: is a classiﬁer based rules [20]. The Agent OneR

uses a decision tree that learns a one-level decision tree for

generating a set of rules that test one particular attribute.

Logit Boost (LB): is a boosting machine learning algo-

rithm [21] obtained by considering AdaBoost as a general-

ized additive model and applying the cost functional of

logistic regression. The LB Agent applies a boosting algo-

rithm that combines AdaBoost machine learning algorithm

with a logistic regression.

2.2 Some Variants of the Proposed System

Collaboration between agents is a key concept in a

multi-agent system. Collaborative agents work together and

interact between them in order to jointly solve tasks and

maximize their utility.

In a classiﬁcation problem, there are some tasks that can

be handled in parallel such as: the variables selection, the

learning and the evaluation tasks. In order to coordinate their

activities, agents must communicate, learn from other agents

and share among them the most accurate models.

In the following, we give two variants of the proposed

system. First when we use agents in the variables selection.

Second, when we use agents to do the learning or the clas-

siﬁcation tasks in parallel.

Collaborative variable selection based on agents. The

variable selection is a preprocessing that can be launched

before the data classiﬁcation. It is used for selecting a set of

relevant variables for the data classiﬁcation task. It permits

to remove irrelevant variables and keeps only the signiﬁcant

ones which may enhance the performance.

Various variables selection methods have been devel-

oped. Among them, we cite the wrapper methods [25], the

ﬁltering methods [26] and the principal component analysis

(PCA) [27]. The ﬁltering methods remove the undesirable

variables before launching the classiﬁcation task. The

wrapper methods use a machine learning algorithm where

the aim is to select the best variables with high classiﬁcation

accuracy.

We note that the wrapper methods are time consuming

compared to ﬁltering methods because they run iteratively

the machine learning for selecting variables. PCA is a sta-

tistical technique for feature construction. It can be used to

transform an n-dimensional space into a lower-dimensional

subspace, without losing much information [27]. It is a good

mechanism for reducing the dimensionality of the data. Such

reduction is achieved by transforming the number of inter-

related variables to a new set of variables called the principal

components (PCs), which are uncorrelated.

To explain the role of variable selection, we give an

example of variables that represented a real ﬁnancial dataset.

We take as an example the German credit dataset available

on UCI. The data consists of a set of 1000 applicants that can

be divided into two main classes: worthy class that consist of

700 applicants and unworthy class of 300 applicants. Each

applicant is characterized by 20 variables called also features

or attributes. Among the 20 variables, there are 7 numerical

and 13 categorical called also qualitative attributes.

The description of the different variables of the German

dataset is given as follows:

•Attribute 1 (checking status): is qualitative. It is the status

of existing checking account.

•Attribute 2 (duration): is numerical. It is the duration in

month.

•Attribute 3 (credit history): is qualitative. It is the credit

history.

•Attribute 4 (purpose): is qualitative. It indicates the

purpose that can be the following possibilities: a new car,

a used car, furniture/equipment, radio/television,

domestic appliances, repairs, education, vacation - does

not exist?, retraining, business, others.

•Attribute 5 (credit amount): is numerical. It is the credit

amount.

•Attribute 6 (savings status): is qualitative. It is the sav-

ings account/bonds.

•Attribute 7 (employment): is qualitative. It is the present

employment since.

•Attribute 8 (installment commitment): is numerical. It

gives the installment rate in percentage of disposable

income.

•Attribute 9 (personal status): is qualitative. It is the

personal status and sex.

•Attribute 10 (other parties): is qualitative. It represents

the other debtors/guarantors.

•Attribute 11 (residence since): is numerical. It gives the

present residence.

•Attribute 12 (property magnitude): is qualitative. It is the

property.

•Attribute 13 (age): is numerical. It gives the Age in years.

•Attribute 14 (other payment plans): is qualitative. It gives

the other installment plans.

A Cooperative Classification System for Credit Scoring 13

•Attribute 15 (housing): is qualitative. It represents the

housing.

•Attribute 16 (existing credits): is numerical. It gives the

number of existing credits at this bank.

•Attribute 17 (job): is qualitative. It gives the job.

•Attribute 18 (num dependents): is numerical. It is the

number of people being liable to provide maintenance

for.

•Attribute 19 (own telephone): is qualitative. It represents

the telephone.

•Attribute 20 (foreign worker): is qualitative. It gives the

foreign worker.

The aim of the variables selection method is to select only

a subset of variables from all variables of the considered data

to be classiﬁed. This subset is called signiﬁcant or relevant

variables. Only these selected variables are considered for

the classiﬁcation task. This can reduce the data dimension-

ality, maximize the accuracy rate and reduce timing.

Figure 2gives a variant of cooperative classiﬁcation

system where the variables selection is done in parallel by

using agents. Each agent applies a given method for vari-

ables selection. The latter is performed on the ﬁnancial

dataset to select the set of relevant variables. The best set of

variables with the best accuracy is sent to the next step of

data classiﬁcation task.

Collaboration learning and classiﬁcation based on

agents. The classiﬁcation and the learning tasks can be done

in parallel by using a set of agents. In Fig. 3, we give a

variant of a cooperative classiﬁcation system based on

agents for CS. As shown on Fig. 3, the initial example data

are partitioned in subsets of data. The latter are distributed

on a set of agents in order to do the learning task in parallel.

The collaborative agents work on different examples and

generate a model to be used in the evaluation task.

Further, the evaluation task can also be done in parallel

by using different agents. Each one applies its model on new

or test data to ﬁnd the appropriate class. Credit scoring

models are then validated on the testing data or new appli-

cants. Figure 4gives an example of a collaborative classi-

ﬁcation system. We use a set of agents where each agent

classiﬁes the applicant into a class. We obtain a set of

Fig. 2 Collaborative variable

selection based on agents

14 D. Boughaci and A. A. K. Alkhawaldeh

possible classes for this applicant. The resulting one is the

majority class.

3 Experiments

The code source is written in Java. We use Jade (Java Agent

DEvelopment Framework: Jade Site) [28] platform to exe-

cute our agents. We use some supervised machine learning

algorithms from weka (Waikato Environment for Knowl-

edge Analysis) [29]. An extensive experiment is done on the

ﬁve real ﬁnancial datasets to evaluate the proposed system

depicted in Fig. 1. The other variants will be implemented in

future works.

All experiments were run on an Intel Core(TM) i5-2217U

CPU@1.70 GHz with 6 GB of RAM using Java program-

ming language under Windows 8 64 bits, processor 64.

3.1 Datasets Description

We perform credit scoring task on ﬁve ﬁnancial datasets:

German, Australian, Polish, Japanese datasets available on

UCI and the huge “Give Me some credit”from Kaggle. The

description of the ﬁve credit datasets is given in Table 1.

The Australian dataset consists of 690 instances of loan

applicants. There are two classes: class “Good”(worthy, 307

instances) and class “Bad”(unworthy, 383 instances). The

number of variables is equals to 14. There are 6 numerical

variables and 8 categorical variables.

The German credit dataset consists of 1000 instances.

There are two classes: class “Good”(worthy 700 instances) and

class “Bad”(unworthy, 300 instances). The original dataset of

“german.data”contains categorical/symbolic attributes. The

number of variables is equals to 20 where 7 are numerical and

13 categorical variables called also qualitative variables.

Fig. 3 Collaboration learning

and classiﬁcation based on agents

Fig. 4 Classiﬁcation of a given

applicant

A Cooperative Classification System for Credit Scoring 15

The Japanese dataset consists of 690 instances of loan

applicants. There are two classes: class “Good”(worthy, 307

instances) and class “Bad”(unworthy, 383 instances). The

number of variables is equals to 15.

The Polish dataset consists of 5910 instances of loan

applicants. There are two classes: class “Good”(worthy, 410

instances) and class “Bad”(unworthy, 5500 instances). The

number of variables is equals to 64.

The “Give Me Some Credit”is a huge credit dataset

obtained from the competition titled “Give Me some credit”

in kaggle.com. The dataset contains about 150,000 instances

constructed from the credit history of 150,000 borrowers.

Each instance is formed of 10 independent variables. There

are two classes: class “Good”(worthy, 139,974 instances)

and class “Bad”(unworthy, 10,026 instances).

3.2 Performance Measures

We use a combination of several measures to evaluate the

predictive performance of credit scoring model. Table 2

gives the confusion matrix where True Positives (TP) indi-

cates the number of positive examples, labeled as such.

False Positives (FP): is the number of negative examples,

labeled as positive. True Negatives (TN): is the number of

negative examples, labeled as such. False Negatives (FN):

is the number of positive examples, labeled as negative

[30].

The best model is selected based on the validation results

using the performance indicators given as follows:

–Precision = TP/(TP + FP)

–Recall = TP/(TP + FN)

–Accuracy (ACC) = (TP + TN)/(TP + FN + TN + FP)

–PRC curves plot precision versus recall.

–ROC plots the value of the Recall against that of the FP

Rate at each FP Rate considered.

We note that the area under the ROC Curve (AUC) or

ROC Area: is a common evaluation metric for binary clas-

siﬁcation problems. The principal beneﬁt of the AUC is that

it is more robust than Accuracy in imbalanced class case

because AUC is independent of the fraction of the test

population which is class 0 or class 1.

3.3 Numerical Results

Tables 3,4,5,6and 7give the numerical results found with

the six agents of the system depicted in Fig. 1. The overall

system selects the best one in term of ROC measure because

ROC is more robust than Accuracy in credit scoring related

datasets.

Tables 3,4,5,6and 7compare the results achieved

based on precision, recall, ROC and PRC. From these

results, we can see that RF succeeds in ﬁnding good results

for Australian with a ROC% value equal to 97.7%, German

with a ROC% value equal to 95.9%, Japanese with a ROC%

value equal to 98.2% and Give me some credit datasets with

a ROC % value equal to 91.3%. But RF fails on the Polish

dataset. RF gives a ROC % value equal to only 50.0%.

However, the overall system denoted AGENTS improves

this gap and succeeds in ﬁnding good results on all the

considered datasets in reasonable time. The agents are

launched in parallel so they collaborate and do the classiﬁ-

cation task more efﬁciently.

The AGENTS system gives often the best results found

by the set of the considered agents. It gives a ROC % value

equal to 97.7% for Australian dataset, a ROC % value equal

to 95.9% for German dataset, a ROC % value equal to

98.2% for Japanese dataset and a ROC % value equal to

91.3% for Give me some credit dataset. Further it gives a

ROC % value equal to 82.8% for Polish dataset. This

superiority is due to the cooperation aspect of agents which

leads to good results.

Table 1 Description of the

datasets used in the study Dataset #Loans #Good loans #Bad loans #Variables

Australian 690 307 383 14

German 1000 700 300 20

Japanese 690 307 383 15

Polish 5910 410 5500 64

“Give Me some credit”150,000 139,974 10,026 10

Table 2 Confusion matrix Predicted class (%)

Real class (%) Good loans (1) Bad loans (0)

Good loans (1) TP FN

Bad loans (0) FP TN

16 D. Boughaci and A. A. K. Alkhawaldeh

To show clearly the performance of the proposed system

on the ﬁve ﬁnancial datasets, we draw the Figs. 5,6,7,8and

9. When compared both ROC and PRC for the ﬁve datasets,

we can say that the AGENTS system is able to ﬁnd good

results in term of ROC and PRC point of view for all the

considered ﬁnancial datasets. We can conclude that the

cooperation strategy used within agents improves the per-

formance and produces good results.

Table 3 Numerical results on

the Australian dataset Agent type Precision (%) Recall (%) PRC (%) ROC (%) Time CPU (s)

AGENT AdaBoot 86.6 85.5 91.3 92.9 1.288

AGENT BN 86.1 85.9 92.5 92.7 1.180

AGENT RF 94.1 94.1 97.4 97.7 2.067

AGENT Logistic 88.3 88.3 93.3 94.2 1.087

AGENT OneR 86.6 85.5 81.3 86.2 0.901

AGENT LB 86.8 86.8 93.3 93.8 1.223

Overall system (AGENTS) 94.1 94.1 97.4 97.7 2.067

Table 4 Numerical results on

the German dataset Agent type Precision (%) Recall (%) PRC (%) ROC (%) Time CPU (s)

AGENT AdaBoot 67.0 70.8 77.0 76.1 1.486

AGENT BN 75.5 76.1 81.4 80.9 1.079

AGENT RF 91.8 91.8 96.6 95.9 2.791

AGENT Logistic 76.2 77.1 83.1 82.1 2.083

AGENT OneR 68.9 71.7 61.5 56.3 1.393

AGENT LB 74.3 75.6 79.9 78.7 1.801

Overall system (AGENTS) 91.8 91.8 96.6 95.9 2.791

Table 5 Numerical results on

the Japanese dataset Agent type Precision (%) Recall (%) PRC (%) ROC (%) Time CPU (s)

AGENT AdaBoot 86.5 86.5 92.0 93.2 1.164

AGENT BN 86.7 86.7 92.3 92.5 1.076

AGENT RF 93.6 93.6 98.0 98.2 2.672

AGENT Logistic 87.6 87.5 92.7 93.8 1.653

AGENT OneR 86.6 85.5 86.2 81.3 0.899

AGENT LB 88.0 87.8 93.3 94.1 1.189

Overall system (AGENTS) 93.6 93.6 98.0 98.2 2.672

Table 6 Numerical results on

the Polish dataset Agent type Precision (%) Recall (%) PRC (%) ROC (%) Time CPU (s)

AGENT AdaBoot 86.6 93.1 87.1 50.0 3.915

AGENT BN 92.3 87.7 93.3 82.8 4.151

AGENT RF 86.6 93.1 87.1 50.0 4.126

AGENT Logistic 86.6 93.1 89.2 52.4 6.064

AGENT OneR 86.6 93.1 87.1 50.0 3.655

AGENT LB 86.6 93.1 87.6 51.3 4.663

Overall system (AGENTS) 92.3 87.7 93.3 82.8 4.151

A Cooperative Classification System for Credit Scoring 17

Table 7 Numerical results on

the “Give Me some credit”

dataset

Agent type Precision (%) Recall (%) PRC (%) ROC (%) Time CPU (s)

AGENT AdaBoot 91.3 93.4 93.6 82.7 14. 95

AGENT BN 92.4 92.4 94.5 85.8 4.03

AGENT RF 95.4 95.8 96.8 91.3 73.73

AGENT Logistic 92.0 93.7 94.6 86.1 56.05

AGENT OneR 91.6 93.5 88.4 54.4 11.931

AGENT LB 91.9 93.6 94.1 84.6 15.702

Overall system (AGENTS) 95.4 95.8 96.8 91.3 73.732

Fig. 5 ROC % versus PRC % on

the Australian dataset

Fig. 6 ROC % versus PRC % on

the German dataset

Fig. 7 ROC % versus PRC % on

the Japanese dataset

18 D. Boughaci and A. A. K. Alkhawaldeh

4 Conclusion

This work was focused on machine learning techniques for

credit scoring. Most of the existing classiﬁers systems are

essentially based on only one unit that does the biggest part

classiﬁcation and evaluation. To go beyond these limits, we

have proposed an agent-based system. The proposed system

uses autonomous for the data analysis and classiﬁcation. We

presented some preliminary results and more improvements

are in progress. The use of agents in credit scoring can

provide many advantages. We are working on more tech-

niques for agents’cooperation and coordination to enhance

the performance. We plan also to do the evaluation step in

parallel to enhance the computational time. It would be

interesting to implement a deep learning agent’s based sys-

tem to handle big data.

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20 D. Boughaci and A. A. K. Alkhawaldeh

A Critical Evaluation of the Effects

of Advertisements Targeted to Children

Tarik Emre Yildirim and Asli Milla

Abstract

Social media usage is growing immensely in the Arab

world. In addition to this, digital advertising is becoming

the new way of doing business in this region. There is

little effective regulation or control over of digital

marketing, children are often exposed to powerful and

targeted online marketing via digital platforms that collect

personal data. Children are exposed to millions of

user-generated content (UGC) each and every day.

Specialists have concluded, per previous research, that

children until the age of sixteen spend the same amount of

time in front of the television as the time spent at school if

not more, making television parallel with school as a tool

of persuasion, education and social development. Adver-

tisement agencies create hashtag campaigns to engage the

users whilst create user. According to a recent survey,

nearly half of young Emiratis are addicted to the internet

and spend nearly 10 h a day on social and another media.

This research aims to analyse the effects of social media

campaigns on children.

Keywords

Social media advertisements Children advertisements 

Advertisement effect on children

1 Introduction

Many scholars argue, media, in general, and advertising, in

particular, have a great impact on societies with serious

consequences in terms of rapidly affecting, even

transforming traditional life stages by blurring the line

between childhood and adulthood [1–7].

Children are a particularly vulnerable group in the use

and purchase of both digital and non- digital content. The

risk of exposure to intrusive online marketing has become a

pressing concern in European consumer policy [8]. How-

ever, when compared with conventional media there is less

effective regulation or control over of digital marketing,

children are often exposed to powerful and targeted online

marketing via digital platforms that collect personal data in

the Middle East region. Specialists have concluded that

children until the age of sixteen spend the same amount of

time in front of the television as the time spent at school if

not more, making television parallel with school as a tool of

persuasion, education and social development. The authors

aim at analysing the effects of advertisement campaigns on

children’s behaviour and development process.

In this research, authors analysed 3 different categories of

advertisements: TV advertisements, advergames and

embedded ads in social networking sites. In this single case

study, we analysed two samples out of the selected group of

online advertisements without testing their effect on chil-

dren. A detailed list of advertisements can be found in

Table 1. The authors’objective is to give a foundation for

the understanding of the psychology and the marketing of

the advertisements targeted to children.

2 Online and Offline Marketing

Communications to Children

Alongside media, some researchers have been questioning

the effect of targeting children by marketers both via online

and ofﬂine marketing communications. With the advance-

ment of technology and access to internet, the young con-

sumers became target of digital marketers. Cheyne et al.

found out that websites with greater interactivity, multimedia

content and personalized interaction, create greater trafﬁc

and keep children on the sites for longer periods of time [9].

T. E. Yildirim (&)A. Milla

American University in the Emirates, Dubai, UAE

e-mail: tarik.yildirim@aue.ae

A. Milla

e-mail: asli.milla@aue.ae

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_3

2.1 TV Advertisements

Even if the advertised product is exposed to a dual audience

(meaning adult and child), the main target remains the adult

consumer for at least two reasons: his or her economic

resources, and the massive and growing presence of adults in

the total population. If advertising products are really aimed

directly at the intended buyer, this would be then, without

question, the adult—and not the child.

2.2 Advergaming

Infantilization is an ideology which describes under the

mask of children’s culture the process and the culture we

now inhabit is characterized by a set of habits, preferences,

and attitudes that encourage and legitimate childishness and

youthfulness in adulthood. The studies conducted by Dias

and Redondo showed that young consumers exposed to

advergames and other website interactions with a brand,

show a marked preference for branded sweets compared to

those in a non-branded advergame [10,11].

According to Moore and Rideout, an advergame involves

a user playing with branded items. They also mention that

these games typically involve the child for longer period of

time than TV ads. [12].

European Commission carried out a study in 2015 on

advergames and found out that children are exposed to a

number of problematic marketing practices in online games,

mobile applications and social media sites, which are not

always understood by the child consumer [8].

2.3 Embedded Advertising

A methodology to measure the exposure to this kind of

advertising hasn’t been agreed upon by researchers up to

now; answers to questions as “Is it a matter of simply

counting the number of exposures to an image of the brand’s

logo or product itself? How important is the length of

exposure? Is a dialogue included? Is the “story line or plot”

of the episode is driven by the product?”have not been

decided by researchers yet. It is also not easy to know how to

compare such exposure to a child’s or teen’s exposure to

Table 1 Advertisement sampling

List of the 20 advertisements from various countries in Middle East used in the research. These ads are classiﬁed according to narration of the

product:

Under infantalisation advertisements selected display adults performing like a child such as screaming and crying or going into a wonderland of

candy.

In adultiﬁcation section selected ads display children performing adult duties or getting into adult concerns such as telling their parents what

kind of engine type car they should buy or giving ﬁnancial advice to parents so that they can save money to buy a new bicycle.

Infantilization Adultiﬁcation

Toyota HiLux: 2012

https://www.youtube.com/watch?time_continue=5&v=

GHcm8TBXZMo

McDonald’s Family Time Forever: 2011

https://www.youtube.com/watch?v=pKlRR5_5oP4

Snickers Video Game Ad: 2017

https://www.youtube.com/watch?time_continue=26&v=

F7cB6TrrpNU

Johnsons Baby Ritual (Maria’s beauty ritual): 2017

https://www.youtube.com/watch?v=wAzAXZKjlOU

Pepsi Meal Made Excited: 2016

https://www.youtube.com/watch?v=y8MJvsjxLKU

Johnsons Baby Ritual (In Arabic): 2017

https://www.youtube.com/watch?v=GT9caPbV8Qc

Dominos Pizza: 2017

https://www.youtube.com/watch?v=wYu7Oc6rrmU

Killanan Adam ve GürbüzÇocuk (Sceptic Men and Robust Kid):

2017

https://www.youtube.com/watch?v=q3e2q1oM6Oc

Ulker Strawberry Milk: 2016

https://www.youtube.com/watch?v=oniOl3LUgWs

Ülker Yupo Çokojelo: 2017

https://www.youtube.com/watch?v=7Ev-hE-4EsM

Etisalat, Data Bonanza: 2017

https://www.youtube.com/watch?v=Mff-0VXubJI

Iklan Raya Eid’ul Fitr TVC Gulf Bank Kuwait: 2016

https://www.youtube.com/watch?v=LcjWPzdkW5k

118 80 (phone directory): 2015

https://www.youtube.com/watch?v=lM3N4jcUqxQ

Koton Kids: Bu benim Tarzim (This is My Style)

https://www.youtube.com/watch?v=hQ6Re4LGr1M

Almarai Cheese, What Love Tastes Like: 2017

https://www.youtube.com/watch?v=d2XzI4heDxI

Danone Karaoke: 2017

https://www.youtube.com/watch?v=1iXci-jH_yg

Alarko Kombi (Alarko Heater): 2016

https://www.youtube.com/watch?v=rRkafHmRP7U

Toyota Hybrid: 2017

https://www.youtube.com/watch?v=AsAHND-w0Xw

ING Bank: 2012

https://www.youtube.com/watch?v=3pt4-9NCzBE

Media Markt, “I have a dream!”: 2016

https://www.youtube.com/watch?v=LnaOiceAoIE

22 T. E. Yildirim and A. Milla

discrete, longer-form/Standard/familiar advertising. The

previous research indicates that children have a difﬁcult time

identifying “embedded”content as advertising, and under-

standing the intention to persuade them to buy that product

[13]. Currently, children and young people are vulnerable

towards such advertising and there are no precise measures

of the extend or effect of young people’s exposure to product

placements and other kinds of embedded advertising.

Another interesting observation is that product placements

seem to affect children but not to affect mothers. A closer

examination of the children’s top-ranked brands partially

explains why: companies place their products heavily on TV

shows that children mostly watch. Rather than mere expo-

sure, however, a more fundamental perhaps complementary

explanation is that children may be less able to detect per-

suasive intents of product placements, and thus more sus-

ceptible to product placement inﬂuences.

There were 2 phases of these experiments that was con-

ducted by European Commission. At the ﬁrst experiment it

was found that embedded advertisements have a subliminal

effect on children. At the second experiment they found that

exposure to prompts to make in-app purchases has a sig-

niﬁcant impact on children’s purchasing behaviour [8].

3 Data Collection: Analysis of Two Online

Ads

To present what is claimed in this paper the authors include

an analysis of two ads. These are two samples selected bulk

of ads, See Table 1, targeting adults by using either children

or children’s culture (kinderculture). The second group of

ads in the selection are those present children like tiny adults

acting like grownups presenting grownup experiences. For

this reason the ﬁrst ad chosen is Snickers Wrestler Video-

game and the second is McDonald’s Family Time Forever.

For the analysis both Freudien (Psychoanalysis) and Jungien

(Analytical Psychology) will be used.

3.1 Snickers Wrestler Videogame: A Case

of Infantilization

In January 2017 Snickers Arabia introduced a video adver-

tisement titled as Snickers Wrestler Videogame on You-

Tube. The ad presents an over tempered bus driver because

he is hungry. The moment he grabs a snickers he gets back

to normal (Figs. 1and 2).

The hungry driver is portrayed as angry, aggressive and

noisy. In one scene he makes head banging listening to

heavy metal music and in another he screams as “the bus

driver sees everything!”. The teenage kind of action and

omnipotent mentality is observable. In addition to teen

acting when we see omnipotent mind set. The portrayed

character is having a deep regression to early childhood

period. The anal period of the child (ages 1–3) is a period

which child woks on being independent. This period is a

rebellious one. Still omnipotent mindset of the oral period is

there. Also a teenage kind of refusal attitude is accompanies.

The Snickers Wrestler Videogame advertisement char-

acter, Angry Bus Driver is and infantile ﬁgure. Displaying

qualities of a 2 or 3 year old child. Angry, noisy, uncom-

promising, claiming to be all mighty (omnipotence), cen-

tralizing infantile functions (such as eating or not eating. In

addition, although his face looks like a cave men in his

wrestler suit his body looks like an oversized baby. All these

indications tell us that we face with a baby/men.

A variety of advertising campaigns of adult-oriented

products today are designed with an infantile style [15].

Even if the advertised product is exposed to a dual audience,

the main target remains the adult consumer for at least two

reasons: his or her economic resources, and the massive and

growing presence of adults in the total population. If

advertising for adult products is really aimed directly at the

intended buyer, this would be then, without question, the

adult—and not the child [16]. The Snickers Wrestler

Videogame advertisement is a typical sample of this kind.

3.2 McDonald’s Family Time Forever: A Case

of Adultification

Here in McDonald’s Family Time Forever advertisement we

see children aged 3–4 to 8th year olds claiming their ofﬁce

working parents that they need to pay attention to family

values. Their work oriented life makes the family suffer so

they need a “family time”. For this reason an army of kids

invade the ofﬁce place and grab their fathers to have family

time in McDonald’s. The children are very clean and sharply

dressed. Cleanliness and tidiness conﬂicts with children’s

usual being so much that we could even say that these kids

are formally dressed for the business place. As if little tiny

adults gong into parents’kinder garden and grabbing them

from their ties or shutting their laptops. We witness that

parent role and child role is switched: kids lead parents to

McDonald’s to have family time (Figs. 3and 4)

The role of the adult and child is switched. As mentioned

by Eric Berne in his Transactional analysis theory the ego

state of adult is activated in these children. In accordance

with that ego state of child is activated in their parents. The

result is we see adult like kids guiding and advising their

fathers about the importance of “family time”as McDonalds

advertisement display. As mentioned above in adultiﬁcation

children are out of the realm of childhood. Acting like adults

having adult ambitions with adult point of view. Interest-

ingly in McDonald’s Family Time Forever advertisement we

A Critical Evaluation of the Effects of Advertisements Targeted …23

Fig. 1 Image of the bus driver when out of snickers. Snickers Arabia Advergame Ad, January 2017 [14]

Fig. 2 With snickers driver is back to human form. Snickers Arabia Advergame Ad, January 2017 [14]

24 T. E. Yildirim and A. Milla

Fig. 3 Kids in business place counseling parents: A father running after his business toy. McDonald’s Family Time Forever Ad, 2011 [17]

Fig. 4 Adults act as naughty kids grabbed to be punished: Another father pulled from his tie. McDonald’s Family Time Forever Ad, 2011 [17]

A Critical Evaluation of the Effects of Advertisements Targeted …25

don’t see a frame these kids are grabbing the parents to play

of have fun or even to go to McDonald’s. Such a section in

ad is not presented. We only see kids taming their parents

that they shouldn’t spend so much time with their business

toys. This absence of fun puts the greatest sign that what we

see is adultiﬁcation.

Children and teenagers represent an important demo-

graphic to marketers. They are now “the epicenter of con-

sumer culture who command the attention, creativity and

spendings of advertisers; their tastes drive market trends and

their opinions shape brand strategies”[18]. This has led to

the circumstance that their culture has become virtually

indistinguishable from adult consumer culture as it was

inﬂuenced by it over the course of the last century [7,19].

The most crucial point is that advertisers are aware that

children inﬂuence the purchase of not just children’s prod-

ucts anymore, but everything in the household and

elsewhere.

4 Results and Conclusions

Children are increasingly targeted in advertisements because

they have their own purchasing power and inﬂuence their

parents’buying decisions [7,20,21]. Furthermore, it is often

argued that companies’main aim is to attract and reach

children in their early years in order to transform them in

later times to consumers of their own brands [15]. But the

most crucial point for this research is that advertisers are

aware that children inﬂuence the purchase of not just chil-

dren’s products anymore, but everything in the household

and elsewhere. The consequence is that, apparently, many

advertisements seem to become (more) childish and juvenile

in their character to attract children even if the advertised

product is intended for adults as, for example, life insurances

and automobiles [20]. It can be observed that different

marketing methods are used to capture the attention of

children with the result that a variety of advertising cam-

paigns of adult-oriented products today are designed with an

infantile style, for example, with mere exposure effects or

spoken characters that have been shown to positively inﬂu-

ence children’s recognition [15].

5 Limitations and Further Research

This research focuses on the part of children’s psychology

being affected by the advertisements. However, as an

extension of advertisements targeted to minors (which

includes the teenagers also) there are many ads threating

adults as children. For this reason one step forward to this

research is the adultiﬁcation and infantilization processes in

advertisements. The ﬁrst one is making children adults

(adultiﬁcation) uploading them the desires and ambitions of

adults and the latter one is reversing the maturity of an adult

back to the mentality of childhood by making adult purchases

and decisions in the mindset of a child. So if we only focus

about children being targeted by the ad industry and stop

there, than we will miss a great chunk of the phenomenon. In

the ﬁeld of advertisement it is the idea of childhood is being

used as a new strategy, rather than children. Brands make use

of certain components from children’s culture that are now

instrumentalized for adult purposes to reconstruct childhood

features in order to engender and enforce infantilizing

mechanisms in numerous different ways in adult-targeted

advertisements—a phenomenon that was named in the pre-

sent research as Kinderculture. So it is not just children’s

mind being targeted also keeping adults as children and/or

causing nostalgia to extent of causing a regression in the

pschosexual and psychosocial developments of adults is also

largely being practiced.

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A Critical Evaluation of the Effects of Advertisements Targeted …27

A Gulf College Case Study: Technology

Enhanced Students’Learning Geared

with Mobile Devices

Rowena Ocier Sibayan , Alrence S. Halibas ,

and Kenneth Ocier Sibayan

Abstract

Over the decades, the world has become increasingly

hyper-connected. The people and businesses can com-

municate with each other instantly where machines are

equally interconnected. Through the help of the internet

and its associated services, information is accessible and

immediate for every-one. In education, the utilization of

information and communication technologies helps

improve teaching pedagogy and enhanced students’

learning. The use of technology affects the quality of

education, and more speciﬁcally it can result in better

student performance and enhance the student learning

experience. Today, mobile devices are widely used for

communication, education, entertainment, research col-

laboration and social interaction. Research issues and

challenges related to technology-enhanced learning are

discussed for classroom learning at a distance, digital

libraries, online learning, and collections of various

online information, and e-collaboration. Nowadays, the

learning world has used mobile devices intensively for

various day-to-day activities. However, some technology

developers, teaching pedagogical experts and teachers are

still tied to the old world of desktop computers for

software and application development. The proposed

research aims to investigate the various methodologies,

framework and approaches adopted to demonstrate the

role of technology in enhancing the students’learning

experience in which enhancement is conceived and the

use of various technologies in empowering mobile

devices as an innovative tool to an effective learning

environment. The aim would be in developing a

framework (like teachers) to tailor their learning materials

and using different educational technologies in mobile

devices to substantiate claims about technology enhanced

learning. Qualitative and quantitative data analyses are

used to examine the relationships explored between the

aims of technology improved learning interventions. The

evidence presented, and the ways in which enhancement

is conceived and how large it has effects on the student’s

learning and teacher pedagogical approaches are

highlighted.

Keywords

Mobile Technology Education Learning 

Enhancement

1 Introduction

Innovation is a major pillar of knowledge economy. Simi-

larly, innovation entails creation and exploitation of oppor-

tunities that will result in better services and the

development of new skills and competences. Education as

one of the building blocks in the innovation and

knowledge-based economy drives social change. The like-

wise, the learning institutions utilise technology to prepare

the students to think critically and develop innovative skills

to be globally competitive. The role of mobile devices in all

learning institutions is becoming progressively important to

support the use of these technologies for effective teaching

and learning that will transfer the needed workforce

knowledge and skills. There are some research issues and

challenges related to technology-enhanced learning studied

and discussed for classroom learning at a distance, online

learning, digital libraries, online resources, virtual laborato-

ries, e-collaboration, and virtual environments. Recognizing

the potential of small changes in technology, both positive

and negative will have tremendous effects on learning and

R. O. Sibayan (&)A. S. Halibas

Gulf College, Seeb, Sultanate of Oman

e-mail: rowena.sibayan@gulfcollege.edu.om

A. S. Halibas

e-mail: alrence@gulfcollege.edu.om

K. O. Sibayan

Trend Micro Inc., Manila, Philippines

e-mail: kensbyn@outlook.ph

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_4

teaching pedagogy of many learning institutions which are

discussed in this research.

The mobile learning technologies have progressively

evolved globally. It offers teachers-students more ﬂexible

approach of learning. It also helps to improve the means of

communication, human daily activities and social interac-

tion. The increasing improvements in design, functionality,

reduced in size, improvements in storage capacity and the

reliability and ubiquity of the networks that supports mobile

technology devices are perceived by everyone as essential to

the behavior of people’s everyday activities [1]. In an edu-

cational context, ubiquitous connectivity and the portable

nature of mobile devices facilitate access to more collabo-

ration in learning experience which understands into greater

ownership of teaching-learning processes [2]. Furthermore,

another researchers [3] studied that potential advantages of

blended learning such as time ﬂexibility and meeting indi-

vidual learning styles are enhanced with the use of mobile

technologies. Most mobile learning tools should be sup-

ported by the institution in which the educational websites

like VLE should sustained by the institution once the project

administrator resigns the institution [4].

It was suggested that any theory of mobile learning must

embrace the considerable learning that occurs outside the

classroom and is personally initiated and structured. It must

also account for the dynamic trends of learning [5]. A rele-

vant theory of learning must embrace the contemporary

practices and the development of learning. It was added in

one research [6] that technology-enhanced learning spanning

a range, starting with basic brain research and ending with

the study of complex systems. Most learning institutions are

facing challenges in identifying strategic priorities for

investment in mobile learning capabilities to maximize the

student’s educational outcomes, but to minimize institutional

costs.

1.1 Mobile Learning Theories

There are many deﬁnitions of e-learning, distance learning

and online learning [7]. With the advent of the internet and

intent-save use of technology, those deﬁnitions lead to the

process of learning as an output of the use of the internet.

Some researchers discussed that the use of internet based on

Information and Communication Technology in teaching,

learning processes can be responsible for promoting lack of

leadership [8]; increasing drop-out rates [9]. On the contrary,

other researchers justiﬁed that the internet can also be an

enabling tool for an easy communication, accessibility to

multiple online resources, especially when comparing with

the traditional teaching and learning strategies. A theory of

mobile learning is essential when thinking of the role of

mobility and communication in learning environments [5].

Like a blended environment, mobile learning helps

learners move in and out of engagement with technology and

learn across both space and time and move from topic to

topic. A key point in mobile learning theory is that it is the

learner that is mobile, not the technology [10]. As devices

are ubiquitous, learning can be linked with everyday life

activities. Control of mobile learning environments can be

distributed, and context is constructed by learners through

their interaction with devices and with each other. Educators

and learners acknowledge that mobile learning can both

complement and conﬂict with formal education and it raises

ethical issues both of privacy and ownership. However, a

researcher [11] believed that mobile learning interconnects

with e-learning and he considered learning to be facilitated

by a convergence of the internet, wireless networks, hand-

held devices connected to the internet and consider learning

to be distinctive characteristics of mobile learning and

e-learning.

It was reviewed in several literatures relating to mobile

learning and were identiﬁed that few studies have focused on

the development of speciﬁc frameworks to support the

design of mobile learning [12].

1.2 Teaching Pedagogical Considerations

Learning through mobile device requires extensive design

and pedagogical considerations. The traditional teaching

pedagogy theories are not suitable for mobile learning since

the main assumptions on teaching are in the classroom.

Some initiatives have already implemented for deﬁning

distinctive today, technology emphasise the importance of

communication and collaboration in building of knowledge.

Furthermore, there are researchers who believe that tech-

nology can help students learn best when undertaking

authentic tasks within relevant and meaningful contexts [13].

It also emphasises the importance of enabling personalised

learning experiences, encouraging students to take owner-

ship of the learning process [14].

Distance learning has existed for the past decades. In this

era, modern technologies have allowed students and teachers

to connect directly, no matter where the locations are with

the use of internet and mobile devices. Mobile technology is

one of pedagogical tools that helps student learning and

teaching techniques that inﬂuence educators to use wireless

applications and social networks to improve learning out-

comes and provide innovative ways to increase access to

vast educational resources. Technology experts have devel-

oped different mobile applications to help educators and

learners at every level optimise the use of mobile learning

resources that would effectively enhance educational expe-

rience and improve the learning process regard-less of

physical location.

30 R. O. Sibayan et al.

Since the competitiveness in higher education is

increasing, many learning institutions look for different ways

of managing and providing quality in teaching delivery, but

to some extent, this innovative way of teaching needs to

evaluate the impact of delivery to promote a better under-

standing of quality of teaching and learning and the

enhancement of its quality. Many learning institutions in the

Sultanate of Oman and even all over the world have started

to explore the capabilities of mobile handheld technologies

for teaching range of understandings and skills across the

curriculum. It is known that the traditional classroom

learning has already well deﬁned pedagogical principles

which include good practices such as encourages students

through faculty contact, improve cooperation among stu-

dents, develop active learning and respects diverse talents

and ways of learning. Unlike mobile learning, nowadays is

often directed by pedagogy which is extended with new

deﬁned principles speciﬁcally for e-learning. E-learning

teaching methodology extends in creating institutional

environment that support and encourages inquiry and

e-collaboration, Hence, it was suggested [15] that the eval-

uation process must be structured that will align to the need

of different stakeholders and must comprise a set of criteria

for a clear assessment. It is important to understand the

following: (1) performance indicator, (2) stakeholders’

expectations, (3) and measure to what extent these expec-

tations are considered and achievable [16].

1.3 Quality in E-Learning

Quality learning is not only essential for meeting people’s

educational basic needs, but is also fundamental in fostering

the conditions for global peace and sustainable development.

Learners should acquire attitudes, values and skills as well as

information and learn need to be active, collaborative and

self-directed ways to ﬂourish and contribute to the com-

munity. Therefore, teachers, learners and learning institu-

tions should adapt to new demands of using technology in a

manner that enhances the learning experience of learners.

In education, the term quality is a client-oriented concept

in which quality requirements are deﬁned through a partic-

ipation process between clients and providers. Their teach-

ers, peers, communities, curriculum and learning resources

must help prepare students to recognize and to value the

importance of acquiring relevant skills and competencies for

21st century employment opportunities.

In the US, mobile devices as teaching tools are becoming

a more common part of the education system experience in

classrooms, from preschool through graduate studies. The

teachers are building that tech-savvy learning environment

in their lesson plans by embracing bring-your-own-device

policies and leading the push for mobile devices every stu-

dent [17].

In the Sultanate of Oman, mobile learning has started to

emerge as supporting tool in the education process. Many

students are using mobile devices which are more advanced

nowadays. These devices provide opportunities to access to

vast of information that will help them to enhance learning

performance. This research is intended to ﬁnd out the

effectiveness of utilising mobile devices in the learning

process of Gulf College and to promote teachers-students’

collaboration in their education activities.

Even though, the utilisation of mobile devices is being

considered as an enhanced teaching tool to the existing

e-learning platform and the content of e-learning is trans-

ferred to mobile devices, for some pedagogical researchers

considered this a relatively new. An investigation on how the

efﬁcient the integration of mobile devices into existing

activities has resulted in a two-way process to support the

learning based on studying activity theory [18]. The design

of the mobile learning and the learning needs of connected

people. Mobile technology is not like the e-learning and it is

not focused just to the mobile phones which are always

connected [19].

2 Research Methodology and Respondents

The researchers administered a survey questionnaire to

undergraduate students and lecturers, IT staff for the Aca-

demic Year 2016–2017 of Gulf College (GC). The respon-

dents’age-range was 18–50. The respondents consisted of

60 males and 43 females. The respondents were instructed in

the survey to offer information about their experiences in

collaborative learning and the impact of using mobile

devices in the learning process. A quantitative approach and

statistical data were used to analyse the collected data. In

addition to the questionnaire, the researchers compared the 2

Semesters for AY 2016–2017 module wise results for some

selected modules that require more usage of mobile devices.

The modules are Technical English for Computing

(TEC) which is 100% coursework that the students need to

do some research paper and portfolio planning and Intro-

ductory Business Concepts (IBC) which is 50% Exam and

50% coursework that requires research on the business plan

as a major concern.

The questionnaires were randomly distributed to the

respondents of the study. The instrument used for the study

was designed based on the objectives of the study. The

researchers applied a four-point Likert Scale (1 for strongly

disagree to 4 strongly agree) in the study. The questions

were easy to understand and the answers were divided into

four sections to make it clearer so that the researchers can get

A Gulf College Case Study: Technology Enhanced …31

respondents’opinions about the use of mobile devices for

academic activities and the result of enhanced learning is

achieved. Each participant was provided with a question-

naire and a brief background to the study.

3 Data Analysis and Findings

To determine if the students’performances in their educa-

tional activities enhanced by using mobile devices, 103

respondents were selected which involved 61 of

under-graduate students and 37 lecturers, and 5 IT staff. The

respondents were randomly chosen from different under-

graduate specialization offered by GC, three faculties of

studies.

Table 1shows that most of the mobile users are com-

puting sciences students and lecturers with 24.27 and

14.56% respectively as it also reﬂects on their specialization.

Most mobile users were followed by business students and

lecturers with 19.42 and 12.62%, respectively, then followed

by foundation studies students and lecturers with 15.53 and

8.74% accordingly while IT staff who are managing the

college virtual learning with 4.85% participation were also

included.

Nowadays, mobile devices such laptops, Smartphone, etc.

are being utilized by different users to support their daily

activities. For GC students and lecturers, mobile devices are

very useful in their academic requirements and being used

for the following reasons shown in Fig. 1. It reveals that

72% of the respondents accessed huge information through

their mobile devices followed by 64% of the respondents

utilized mobile devices for educational purposes such as

collaboration with peers through social media apps and 47%

of the respondents used mobile devices to access entertain-

ment while 17% for other purposes.

In addition, Fig. 2reveals that 71.84% of the respondents

preferred to use WhatsApp for e-collaborative work com-

pared from the popularity of Facebook with 30.66% and

YouTube with 44.66% followed by Instagram. Seventeen

and forty-eight percent LinkedIn user while Twitter is also

popular, for educational activities, only 7.76% users.

The study also reveals that it is helpful for the respon-

dents to use mobile devices to improve their performance in

the class. Students are conﬁdent that with the use of mobile

devices, speciﬁcally smart phones, they will not be left

behind and will be able to ﬁnd the right information faster

whenever they need. The students said that “mobile devices

help them to do research and allows for immediate feedback

from their teachers and classmates”. They added that “they

don’t even need to carry around their lecture materials

because virtual learning environment can be accessed

through their mobile phones”. This means that students can

study anywhere, anytime and beneﬁt with the use of mobile

technology as making things easier, better, and faster.

Every semester, GC module leader submits Module

Monitoring Report (MMR) to determine the performance of

the students and if the module learning outcomes are

achieved. Based on the TEC and IBC MMR documents

submitted to the Faculty of Computing Sciences, the

researchers did the comparison of the 2-semester results for

the following modules shown in Table 2. The table shows

that the marks of the students increased when the students

used their mobile devices in their classroom activities. This

means that their classroom performance was enhanced

because the passing rate of the module increased

tremendously.

Enforcing the utilization of mobile devices in the class-

room requires proper monitoring and policy so as not to be

abused while students are in the classroom. The IT staff

agreed that mobile devices should be utilized because of its

effectiveness and helpful both for the students and lecturers

and strongly agreed that website restriction should be

implemented. It is essential to target the classroom experi-

ences that fundamentally shape student learning and

emphasize the range of skills required for lifelong well-being

and societal cohesion with proper IT management to maxi-

mize the full potential of mobile device technologies. The

researchers decided to triangulate the ﬁndings of the study to

Table 1 Demographic proﬁle of the respondents

Category Faculty of studies No. of respondents Percentage (%)

Students Foundation studies 16 15.53

Computing sciences 25 24.27

Business and management studies 20 19.42

Lecturers Foundation studies 9 8.74

Computing sciences 15 14.56

Business and management studies 13 12.62

Other IT staff 5 4.85

Total no. of respondents 103 100

32 R. O. Sibayan et al.

ﬁnd some similarities and in some way, to validate each

opinion. The ﬁndings reveal that although the college has

included innovation within its vision and mission statement,

internal innovation should be strongly intensiﬁed.

4 Conclusion and Recommendations

The main purpose objective of this study has been to investi-

gate the effectiveness of using mobile device technologies in

educational activities, students’accessibility to GC VLE,

teaching methodology to tailor learning material using dif-

ferent educational technologies, and student’s academic

performance. It was found out the use of mobile devices as an

additional tool to provide students with an opportunity to

actively participate in the learning process by accessing online

discussion, searching additional educational learning materi-

als does motivate and encourage students to adopt a deep

learning approach that enhance their academic performance.

Some reviewed literature discussed that mobile devices have a

bad reputation in any learning institutions, but that is the

beginning to change. Instead, stakeholders should embrace

them because the study reveals that the students are more

engaged and motivated to learn when they use mobile phones.

With proper training and implementation to explore the full

potential of this high technology gadgets, teacher, learners and

other stakeholders will be able make paces to empower and

uplift students in their learning. This research will be a basis to

do an experimental research for AY 2017–2018.

References

1. Evans-Cowley, J.: Planning in the real-time city: the future of

mobile technology. J. Plan. Lit. (2011)

2. Graham, C.R., Woodﬁeld, W., Harrison, J.B.: A framework for

institutional adoption and implementation of blended learning in

higher education. Internet High. Educ. (2013)

3. Ho, A., Lu, L., Thurmaier, K.: Testing the reluctant professor ’s

hypothesis: evaluating a blended-learning approach to distance

education. J. Public Aff. Educ. (2006)

4. Kember, D., McNaught, C., Chong, F.C.Y., Lam, P., Cheng, K.F.:

Understanding the ways in which design features of educational

websites impact upon student learning outcomes in blended

learning environments. Comput. Educ. (2010)

5. Sharples, M., Taylor, J., Vavoula, G.: A theory of learning for the

mobile age. Learning (2007)

6. Pachler, N., Bachmair, B., Cook, J.: Mobile Learning (2010)

7. Moore, J.L., Dickson-Deane, C., Galyen, K.: E-Learning, online

learning, and distance learning environments: are they the same?

Internet High. Educ. (2011)

8. Jara, M., Mellar, H.: Factors affecting quality enhancement

procedures for e-learning courses. Qual. Assur. Educ. (2009)

9. Parker, A.: A study of variables that predict dropout from distance

education. Int. J. Educ. Technol. (1999)

10. Vrasidas, C.: Issues of pedagogy and design in e-learning systems.

In: Proceedings of the 2004 ACM symposium on Applied

computing—SAC’04 (2004)

11. Motiwalla, L.F.: Mobile learning: a framework and evaluation.

Comput. Educ. (2007)

12. Cobcroft, R.: Literature review into mobile learning in the

university context. Control. 138 (2006)

13. Loyens, S.M.M., Gijbels, D.: Understanding the effects of

constructivist learning environments: introducing a

multi-directional approach. Instr. Sci. (2008)

14. Demian, P., Morrice, J.: The use of virtual learning environments

and their impact on academic performance. Eng. Educ. 7,11–19

(2012)

Table 2 Comparison of module results for 2-semesters AY 2016–

2017

Semester 1 Passing rate (%)

Technical English for computing 90

Introductory business concepts 74

Semester 2 Passing rate (%)

Technical English for computing 99

Introductory business concepts 86

17%

Fig. 1 Usage of mobile devices

Respondents

71.84%

17.48%

7.76%

27.18% 44.66%

Instagram Youtube

30.66%

Fig. 2 Purpose of using mobile device technologies

A Gulf College Case Study: Technology Enhanced …33

15. Pawlowski, J.M.: The quality adaptation model: adaptation and

adoption of the quality standard ISO/IEC 19796-1 for learning,

education, and training (2007)

16. Kirkwood, A., Price, L.: Learners and learning in the twenty-ﬁrst

century: what do we know about students’attitudes towards and

experiences of information and communication technologies that

will help us design courses? (2005)

17. Lynch, M.: Do mobile devices in the classroom really improve

learning outcomes. Conversat. [Blog] (2015)

18. Waycott, J., Hall, W.: An investigation into the use of mobile

computing devices as tools for supporting learning and workplace

activities (2001)

19. Wagner, E.D.: Enabling mobile learning. Educ. Rev (2005)

34 R. O. Sibayan et al.

A Review Study on the Accuracy

of Conversion Between IFPUG FPA

and COSMIC Function Points

Abedallah Zaid Abualkishik

Abstract

Functional size measurement methods are widely used by

software project managers since it supports early estima-

tion. Function Point Analysis (FPA) was the ﬁrst method

proposed for the purpose of capturing functional size, but

unfortunately it is ﬂawed in some ways. A sec-

ond-generation method was COSMIC function points

that offered a novel design. However, since then, the

accuracy of convertibility between the two measures has

become an issue. This study aims to determine how

accurate are the conversion types featured in the literature

employing the ordinary least squares regression model by

examining the convertibility of Fetcke case study via the

leave one out cross validation. The ﬁndings indicated that

the most commonly-used conversion type did not provide

the highest accuracy. Instead it was the transaction

function-based type that achieved best results. Therefore,

in order to obtain high accurate results, several conversion

types must be tested.

Keywords

IFPUG FPA function points COSMIC function points 

Measures Conversion Accuracy

1 Introduction

Functional Size measurement (FSM) is a very useful method

for early estimation. It can be used for project management

functions such as effort estimation, pricing, bidding, and

contacting. Function Points Analysis (FPA) by Albrecht [1],

was a pioneering approach in effort estimation. After a

while, Albrecht and Gaffney [2] adjusted the method for

capturing the functional size. Despite the widespread use of

FPA there was still criticism about its limited ability to

capture only the size of some types of software [3,4].

Furthermore, the FPA method suffers many theoretical and

structural problems [5], for example, it contains some steps

that violate the principles of measurement theory such as

transforming measure of ordinal scale to ratio scale.

On the contrary, COSMIC function points [6] was pro-

posed to fulﬁl software engineering and measurement theory

principles, and to tackle the limitations of FPA. The con-

vertibility between the two methods had been enhanced

since its initial proposal and several organizations have been

willing to convert the accumulated knowledge of functional

size measured in FPA to the corresponding COSMIC value.

Toward this end, many studies were published to address the

convertibility issues. The conversion between the two

methods can be classiﬁed into two main types as follows:

•Statistical conversion: Converts the FPA measure or any

of its sub measures into the corresponding COSMIC

Function Points (CFP) statistically using regression

models [7–18],

•Theoretical conversion: Converts the FPA size or any of

its sub measures into the corresponding CFP size using

proposed formulas derived through a deep study of the

similarities and correspondence between the two meth-

ods. Two studies were published in this regard [18,19].

Many studies were published in the literature that eval-

uated the conversion accuracy between the two methods

[20–24]. Many conversion types were also proposed for the

purpose of estimating the CFP using different FPA measures

like the Unadjusted Function Points (UFP), Data Functions

(DF), Transaction Functions (TF) and the File Type Refer-

enced (FTRs). For example, it is possible to use the TF as an

independent variable to estimate the dependent variable, i.e.

CFP. This paper aims to examine the accuracy of these

conversion types using Fetcke case study [25]. In this con-

text, accuracy refers to the closeness of an estimated value to

the actual value.

A. Z. Abualkishik (&)

American University in the Emirates, Dubai,

United Arab Emirates

e-mail: abedallah.abualkishik@aue.ae

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_5

This paper is structured in the following manner: Sect. 2

presents the background of FPA and COSMIC Function

Points, while Sect. 3describes the research methodology.

Section 4explores the analysis of Fetcke case study. Sec-

tion 5proceeds to describe the empirical evaluation of the

accuracy for the tested conversion types and Sect. 6presents

the discussion of the ﬁndings. Section 7rounds up the study

and makes recommendations for future research.

2 Functional Size Measurement Methods

2.1 Function Point Analysis (FPA)

The FPA method [26] has ﬁve Basic Functional Components

(BFCs) classiﬁed into two types: Data Functions (DF) deal-

ing with data inside and outside the system boundary, and

Transaction Functions (TF) which comprise processes that

facilitate the data exchange between the measured system

and the user in relation to the system boundary. DF is of two

main types: Internal Logical File (ILF), which is a user

recognizable and identiﬁable group of logically related data

or control information that is within the system boundary

and maintained by the measured system, and External

Interface File (EIF), which is a user identiﬁable group of data

or control information referenced by the measured applica-

tion but maintained by another application.

TF is classiﬁed into three types according to data ﬂow in

respect of application boundary and the processing logic of

each transaction. External Input (EI) is an elementary process

that carries data from outside to inside the system. External

Output (EO) is an elementary process that carries derived data

from inside the system to outside. External Query (EQ) is an

elementary process that sends data from inside to outside the

system boundary with a primary logic to present retrieved

information to the user. IFPUG FPA has a weighting system

that assigns certain weights to each TF BFC according to the

referenced Data Elements Type (DETs) and FTRs. As for DF,

each ﬁle is evaluated according to the DETs and Record

Elements Type (RETs). More information can be found in the

IFPUG FPA counting practice manual.

2.2 COSMIC Function Point

COSMIC function points [6]deﬁnes the smallest unit of

functional user requirements as a functional process, which is

deﬁned as: “a set of data movements, representing an ele-

mentary part of the Functional User Requirements for the

software being measured”[6]. A functional process comprises

a pair of sub-processes: Data manipulation type and/or data

movements types, the latter being COSMIC BFCs that move a

data group type. Four data movements are described in [6]:

•Entry (E): A data movement that moves a data group

from a functional user across the boundary into the

functional process where it is required.

•eXit (X): A data movement that moves a data group from

a functional process across the boundary to the functional

user that requires it.

•Read (R): A data movement that moves a data group

from persistent storage into the functional process which

requires it.

•Write (W): A data movement that moves a data group

lying inside a functional process to a persistent storage.

Each data movement type has one unit of the ﬁnal

CFP. The ﬁnal size of an application is the total of all data

movements deﬁned in all functional processes.

3 Research Methodology

3.1 Regression Models

Shapiro Wilk’s test was used to measure the normality,

while Pearson test was used to measure the correlations

between the variables. The Ordinary Least Squares

(OLS) was used to obtain the conversion equations:

•OLS: Is the most used regression model in convertibility

studies. It provides the estimation of the dependent variable

value through the independent variable value linearly. OLS

minimizes the sum of the squared residuals for the depen-

dent variable and the estimated value by the linear regres-

sion model [27]. The linear regression model looks like:

Y¼axþb

3.2 Accuracy of Predictive Models

Many ﬁtting measures that are typically used in empirical

software engineering studies involved in evaluating the

accuracy of the obtained models:

•Magnitude of Relative Error (MRE): MRE measures the

difference between the actual value and the estimated

value divided by the actual value. The MRE measure is

computed using the formula:

MRE ¼Actual Estimated

Actual

•Mean of MRE (MMRE): Is the mean of all MRE values

of all the data points in the dataset. In software

36 A. Z. Abualkishik

engineering studies, an estimation that has MMRE

0:25 is considered reasonable and acceptable.

•Pred (25): Represents the portion of the data points

estimate within MRE ±0.25% for the actual observa-

tions. According to Kitchenham et al. [28], MMRE and

Pred (25) are measures for spread and kurtosis. Addi-

tionally, we use Pred (10).

•Median or MRE (MdMRE): Is the median of all MRE

values.

All the ﬁtting measures were obtained through the Leave

One Out Cross Validation (LOOCV). The LOOCV prevents

and alleviates over ﬁtting. For a dataset of size N, the

LOOCV uses (N −1) data points as a training data for the

construction of the model and then validates it against the

left data point to obtain the desired ﬁtting measures. The

regression model is constructed in each iteration. Finally, the

average is computed for all the desired measures. The

absolute residuals boxplots are used to compare the obtained

models equivalences as suggested by Kitchenham and

Mendes [29]. In addition, the Wilcoxon signed rank sum

test, also known as Mann-Whitney test, is used to compare

the signiﬁcance of the obtained models by comparing the

absolute residuals.

4 Fetcke Case Study

Fetcke et al. [25] case study is a warehouse Management

Information System. The case study includes four subsys-

tems: Warehouse operation application, Manufacturer’s

warehouse, Customer management application, and Large

warehouse operation. Table 1shows the dataset.

Based on the data availability, it is possible to perform the

following based conversion types: TF, DF, UFP, and FTRs.

Table 2shows the descriptive statistics of Fetcke case study

parameters.

Shapiro-Wilk’s test is used to test the normality of the

variables TF, DF, UFP, FTRs, and CFP and the reported

results are: 0.73, 0.36, 0.86, 0.74, and 0.59, respectively.

Table 3shows the correlation results using Pearson corre-

lation test.

It is of interest to note that the correlation values are quite

high, thus, it is expected to obtain good ﬁtted models.

Table 4shows the parameters of the conversion models

obtained by the OLS regression models.

In general, all the conversion types obtained good

adjusted R2value except for the DF based conversion type.

Therefore, this type is not expected to provide as accurate a

model as the other types.

5 Accuracy Measures Obtained with LOOCV

Table 5shows the accuracy measures obtained for the

conversion types reported in Table 4The accuracy measures

show that the best conversion type for this dataset is the

TF-based type with minimum MMRE, MdMRE and nar-

rower relative error. This is followed by the FTRs-based

type, which is the most common type used in the literature,

and ﬁnally the DF-based type. Figure 1shows the boxplots

of the absolute residuals. Figure 1conﬁrms the results

reported in Table 5.

To statistically make sure that the reported values have

not been obtained by chance, the Wilcoxon signed rank sum

test is used to test whether the absolute residuals yielded by

Table 1 Fetcke dataset Application name TF DF UFP FTRs CFP

LS 19 12 31 9 29

LC 37 19 56 18 52

C3514491752

M2614401239

W5621772781

Table 2 Descriptive statistics of

Fetcke case study Application name TF DF UFP FTRs CFP

Mean 34.6 16 50.6 16.6 5.6

Median 35 14 49 17 52

Sdev 13.9 3.8 17.5 6.8 19.5

Range 19–56 12–21 31–77 9–27 29–81

Mean 34.6 16 50.6 16.6 5.6

A Review Study on the Accuracy of Conversion …37

the LOOCV of model 1 are either greater, or less, or equal to

model 2 absolute residuals as shown in Table 6, with the

following three null hypotheses:

1. Ho: The absolute residuals of model 1 are equal to the

mean absolute residuals of model 2.

2. Ho: The absolute residuals of model 1 are greater than

the absolute residuals of model 2.

3. Ho: The absolute residuals of model 1 are less than the

absolute residuals of model 2.

Table 6conﬁrms the previously reported results. To

conclude, it is possible to state that the TF conversion type

produces the conversion with the highest accuracy for this

dataset followed by the FTRs, UFP, and DF.

6 Discussion

The published results in this paper conﬁrm the results pub-

lished in the literature in which it is impossible to ﬁnd a

unique statistical model between the two measurement

methods, and so, it is needed to test the accuracy of various

conversion types to achieve the most accurate results.

Each conversion type is affected by certain factors that

increase the likelihood of achieving high accuracy in the

conversion process. For example, the TF-based type is

affected by factors as the size distribution of transaction

functions to data functions, the ratio between elementary

processes and functional processes. However, there are

common factors that affect any conversion type. For exam-

ple, the structure of FPA method that comprises ﬁve different

BFCs is classiﬁed into two types, in addition to the FPA

weighting system that sums ordinal scales value which in

principle violates the measurement theory.

Moreover, it is due to the COSMIC data movements that

are dependent on the data group and object of interest

deﬁned according to COSMIC method as well as the char-

acteristics and data intensity movements of the measured

Table 3 Correlations between

Fetcke case study variables Combination Pearson P-value

TF versus CFP 0.998

DF versus CFP 0.883

UFP versus CFP 0.989

FTRs versus CFP 0.996

TF versus CFP 0.998

Table 4 Conversion equations Conversion type Equation R2

TF CFP = 1.39 TF + 2.26 0.996

DF CFP = 4.53 DF −21.95 0.779

UFP CFP = 1.1 UFP −5.32 0.978

FTRs CFP = 2.28 FTRs + 3.55 0.993

Table 5 Accuracy measures of

conversion types obtained with

LOOCV

Conversion type MMRE MdMRE Pred (25) Pred (10) Relative error

TF 0.025 0.020 1 1 −4.73 to 2.93

DF 0.242 0.258 0.4 0.2 −36.3 to 27.5

UFP 0.052 0.065 1 0.8 −11.31 to 7.63

FTRs 0.035 0.050 1 1 −6.25 to 5.35

Fig. 1 Boxplots of relative residuals of all models

38 A. Z. Abualkishik

system. In addition to the subjectivity of measurement

between different measurers, the quality of documentation is

used to obtain the counts. Moreover, there is also the theo-

retical correspondence between the two methods. In addi-

tion, there are a number or applications used to derive the

regression model and the regression model type.

The FPA weighting system efﬁciently trims large process

sizes. For example, an EI that references 3 FTRs or 7 FTRs

will be assigned the same weight. Moreover, the ratio of DF

to TF affects the accuracy of the tested conversion types. The

ratio of DF to TF for Fetcke case study ranges between (37.5

and 63.1%). This ratio shows differences in the distribution

of each application in this dataset, and consequently, dif-

ferent conversion equations with different accurate results.

This makes it necessary to apply a systematic conversion

approach that includes testing more than one conversion

type.

Abualkishik et al. [24] pointed out that several conversion

types must be tested to pick the most accurate type that

best-ﬁts a certain dataset. They proposed a new conversion

type that is based on FTRs and found it the most accurate for

several datasets. However, this is not the case for this dataset

in which the TF-based type was found to be the best con-

version type. This can be justiﬁed by the lack of correlation

between the FTR and data movements that derived from

various reasons as mentioned previously. The results

reported in this paper coincided with the conclusion reported

in [24] in which more than one conversion type must be

tested to achieve best level of accuracy.

The results of this study are subject to internal threats, for

example, the quality of the experimental data and the sub-

jectivity of the measurements. It is noteworthy to mention

that the measurement of Fetcke case study was carried out

by experts in the ﬁeld. Moreover, the size of the dataset used

is critical to obtain representative and sound statistical

results. However, obtaining such a dataset is difﬁcult due to

the high cost of FSM counting, for example, one hour of a

certiﬁed measurer could cost up to 200 euro/hour, and the

fact that any software organization usually uses one FSM

method for the sake of cost estimation.

The conclusion validity addresses the underlying statis-

tical methods used to obtain the results. In this paper, the

LOOCV was used to obtain the aggregated accuracy mea-

sures, thus preventing any over ﬁtting. Non-parametric tests

were used to test the null hypothesis that does not necessitate

the normality assumptions. Consequently, the error rang of

this study could be marginal.

7 Conclusion

The convertibility between FPA and COSMIC function

points has been increasing since the proposal of COSMIC

function points. The accuracy of several conversion types

was tested using Fetcke case study. The accuracy measures

were obtained via the LOOCV. The results showed that the

TF-based conversion type offers the highest accuracy for this

case study. Future work should consider applying the con-

version types into further datasets.

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TF versus DF ––1

TF versus UFP ––0.90

TF versus FTRs ––0.90

DF versus UFP –1–

DF versus FTRs –1–

UFP versus FTRs –0.90 –

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40 A. Z. Abualkishik

Analyzing the Role of Human Computer

Interaction Principles for E-Learning

Solution Design

Zahra Al Mahdi, Vikas Rao Naidu, and Preethy Kurian

Abstract

Education technology is one of the key application areas

of Multimedia. Interactive multimedia also called as

Hypermedia plays a vital role in enhancing the teaching

and learning experience in higher education sector.

Various e-learning solutions are already available in the

market and many of them are even available for free.

These solutions may include, E-books, interactive

lessons, video-based tutorials, interactive exercises for

revision, educational games, mobile-based educational

tools, and so on. The Higher education sector has students

of varying age groups. Therefore, in order to make sure

that appropriate e-learning solution is adapted with

suitable interface design, it is important to keep all the

principles of Human-Computer Interaction (HCI) in con-

sideration. This research paper analyzes the role of HCI in

the design of e-learning solution. Authors have performed

a thorough literature survey on various resources related

to this topic. The result of this research will provide

guidelines for better e-learning solution design, which

could be considered appropriate for respective users.

Keywords

Advanced Human-Computer interaction 

Education technology E-learning HCI principles 

Higher education Hypermedia Mobile learning

1 Introduction

Human computer interaction (HCI) plays a vital role in

designing effective e-learning solutions with key focus on

usability. The objective of this research paper is to review

the relationship between Human computer interaction and

e-learning. In order to achieve the objectives of this paper,

sufﬁcient literature was reviewed to explore the potentials of

linking HCI in e-learning. As the technology is enhancing,

designers and developers need to recognize and apply the

right HCI principles to develop a best ﬁt e-learning appli-

cation for our learners. HCI principles are applicable to all

the interactive application design and hence e-learning

solution is no different. E-learning solutions need appropri-

ate user interface (UI) design for different level of users. For

basic users, which can be considered to be at the school

level, the design of UI can incorporate such screen interface

which is appropriate at that level, with respect to font or

color combination apart from graphics. Whereas, when it

comes to higher level of implementation, UI needs to be

analyzed for appropriate user such as elderly or other users.

Moreover, this differs from platform to platform. Hence, for

desktop it may differ and for mobile devices, it may differ.

To enhance the natural learning experience of user, designer

must carry out a deeper study to explore the possibilities of

HCI in e-learning and educational pedagogies. This will

assist in successful creation of an e-learning environment

contrary to traditional environment. The purpose of this

research is to analyze human computer interaction principles

and explore methods on integrating the identiﬁed principles

into the design model of e-learning application.

2 HCI Principles

The application of human computer interaction in e-learning

is a blend of art and science which requires a thorough study

on user characteristics and technology capabilities to

Z. Al Mahdi (&)

Centre for Academic Practices, Middle East College,

Seeb, Oman

e-mail: zahra.almehdi@gmail.com

V. Rao Naidu P. Kurian

Computing Department, Middle East College,

Seeb, Oman

e-mail: vikasrn@gmail.com

P. Kurian

e-mail: preethy@mec.edu.com

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_6

develop appropriate graphical user interface. While design-

ing effective e-learning applications, HCI principles are

applied to explore the methods of mapping computing

functions to user capabilities effectively to satisfy users

within the context of its use [1].

It is the accountability of the designer of e-learning

applications to sightsee the user requirements and set prin-

ciples accurately to ensure that the ﬁnal artifact is not only

functioning but promote learning experience through effec-

tive design [2]. The Shneiderman’s eight golden rules [3]

supports for crafting human interactive systems to support

user’s learning experience. The rules must be accentuated on

the interface of e-learning application. Consistency is

essential for interface in terms of layout, command and

dialogue. The user must get proper feedback of their actions

which stimulate them to keep continuing their learning using

application. Facilities must be embedded in the interface to

practice shortcut for executing tasks which promote

e-learning. The user must also be communicated promptly

the status of task completion. The interface of e-learning

application must shield the users from errors and in case of

any fault; users must be given support to get rid of them.

E-learning application must have facilities in interface to

reverse user’s actions at any point of time. User is expected

to get a control of the system as if he is the master of whole

artifact which motivates him to keep continuing its use. The

application also possesses innovative design techniques in

display which facilitate time for the users to learn action

sequences [4]. The systems must support user’s task efﬁ-

ciently and effectively and absolve the careless mistakes [1].

The above rules comprehend wholly requirements of an

interactive interface with prime focus on easing the usability

of the e-learning application.

3 HCI in E-Learning

Teaching and learning systems at education sector are

designed to produce employable graduates who are not only

knowledgeable in their own ﬁeld of study, but also forward

thinking, creative, and responsible members of society. In its

quest to achieve this objective, the institution has developed

a set of generic graduate attributes that are embedded in

program me and module learning outcomes. A wide spec-

trum of teaching methodologies is applied, including lec-

tures, practical work [5], and usage of different technology

moving from generic content and skill development. These

days, the huge demand of HCI is lying in the ﬁeld of edu-

cation for various e-learning resource developments with the

support of latest tools and technologies. E-learning using

interactive games motivate students for better knowledge

acquisition and develop a positive attitude among learners

[1].

Students are engaging in educational game by deploying

HCI evaluation methods. Those games craft a new learning

approach and enhance the learning process. The key objec-

tive of designing interactive games for educational purpose

is to engage students and motivate them to learn whilst

playing [6]. The developer can use HCI evaluation tech-

niques to develop and asses the educational Technology

tools and platforms to achieve an extremely productive

environment for learners. The ﬁrst step towards effective

engagement of students in educational Technology tool is to

examine the Human Computer Interaction facets in the

speciﬁc platform. User engagement is evaluated on how

close the interaction occurs between the learner and the tool.

To measure the level of user engagement by applying HCI

principles and evaluate the response of the user to see how

the learners are engaging with the tool and techniques.

However, there are some challenges in learning, such as lack

of engagement or the repetitive nature of tasks. In order to

overcome these challenges, designers need to strive towards

building interaction games [7] by establishing interactive

user interface is highly encouraged in educational institu-

tions. Implementing HCI in e-learning will sustain learning

opportunities and user interaction.

4 Design Approaches for E-Learning

The use of e-learning tools by deploying HCI principles and

applying pedagogical approaches is high in demand for

effective learning [8]. The e-learning becomes an integral part

of educational institutions which motivate learner and get

them engaged easily. E Learning enables the student to

understand fast and create a ﬂexible interaction between

student and learning resources. E-Learning also supports

disabled community to a great degree for achieving learning

objectives in a consistent and ﬂexible way. Also, its gives the

student freedom to learn and do whatever they need and to

learn at their own convenience. Designers must ensure that

e-learning design does not hindrance or stigmatize any group

of users but accommodate wide range of individual prefer-

ences and abilities [9]. The interface must support the learner

to retrieve information regardless of ambiguous conditions.

The learner must be facilitated ways to minimizes hazards in

the interface design and also minimize the consequences of

accidental or unintended actions. The interface of e-learning

application must aid the user to get the knowledge efﬁciently

and comfortably [8], and with a minimum of fatigue [6]. The

42 Z. Al Mahdi et al.

design must satisfy the student and teacher’s expectations

and should meet the following criteria.

•The visual appearance of subject matter must be

appealing.

•Easy to use navigation structure.

•Learning must be made fun using animations and

graphics.

•Clear instructions on how to use the application.

The most important strategy deployed during the design

process is to use a collaborative approach by analyzing

expectations of: the learners, teachers and educational planners.

5 Proposed Methodology

The design process of e-learning solution or learning

resources by following HCI principles could be very effec-

tive once we implement a systematic approach. Authors

would recommend the methodology given in the Fig. 1that

makes the process clearer [9].

As we see from Fig. 1, the proposed methodology has

ﬁve major stages.

5.1 Analysis of Subject Area

In this stage, the subject area is analyzed to identify which

topic needs the assistance of e-learning. In some cases, the

entire subject is identiﬁed to produce in interactive format

for better learning [10].

5.2 Identification of Appropriate Solution

Once the subject area is identiﬁed, appropriate solution is

adapted from the wide variety of choices [11]. Here the

developer faculty needs to decide if the subject could be well

presented in e-book or video based tutorial or any other

interactive media [12]. The type of learning resource is

decided at this stage.

5.3 E-Learning Solution Design

At this stage, the actual design process begins. This stage is

governed by HCI principles, to make sure the solution

design is as per recommended standard and guidelines [13].

Moreover, for the respective learners, such as elder people or

mid-level students or primary level students, corresponding

design strategy is adapted. This involves, design of layout,

choice of fonts and color, and many such accessibility

options.

5.4 Testing and Implementation

After the completion of design process, the learning resource

is tested for various technical and non-technical factors [9].

The testing stage is also governed by HCI principles, to

ensure all the guidelines are followed with respect to the

requirements. Once the testing phase is clear with positive

result, the solution is implemented for the end-users, i.e.,

students [7].

5.5 Feedback and Recommendations

At this stage, feedback is collected from the end-users in

order to measure the effectiveness. Based on the feedback,

recommendations are provided for further improvements and

hence this make the methodology cyclic [9].

6 Recommendation

The context of traditional classrooms always supports the

student for face to face interactions with the instructor.

However, in modern era students prefers e-learning envi-

ronment due to its ﬂexibility and ease of use. The emerging

technologies also supports better e-learning environment for

all learners. Efﬁcient e-learning solution can be developed

using an integrated approach of collaborating HCI principles

and educational pedagogies. Emphasize must be given on

e-learning activities and interface must have essential fea-

tures for thoroughgoing interactions which can engage

HCI

Principles

Fig. 1 Proposed methodology

Analyzing the Role of Human Computer Interaction …43

e-learning users [11]. The designer must develop a learner—

centric approach in planning, design and implementation of

e-learning platforms. A user centered framework can be

developed by exploring the context of use, analyzing the

tasks and environment and also exploring technology to be

used. A study of personal characteristics, aptitudes and

learning style of users also can contribute in [5] developing a

fruitful e-learning solution with preferences and interests for

the learner’s success. The research supports that interactive

e-learning application with games and animation can create a

positive impact in learners psychologically [7]. The

e-learning platform must facilitate dynamic learning envi-

ronment which must ﬁt with learners individual learning

style [10]. From the perspective of designing e-learning

applications, designers must create a meaningful design

blended with appealing visual design and user interaction to

make learners a comfortable learning environment.

Acknowledgements Authors would like to extend their sincere thanks

to the Management of Middle East College, for support and encour-

agement towards research.

References

1. Issa, T., Isaias, P.: Sustainable Design HCI, Usability and

Environmental Concerns (2015)

2. Terblanche, J.T.: Using HCI principles to design interactive

learning material. Mediterr. J. Soc. Sci. 5(21), 377–380 (2014)

3. Karim, D.F., Kanti, U.: Usability guidelines for usable user

interface. Int. J. Res. Eng. Technol. 3(9), 79–81 (2014)

4. Saini, R.: Graphical user interface design essentials & process. Int.

J. Adv. Res. Comput. Sci. Softw. Eng. 3(9), 482–483 (2013)

5. Andrina Granic, M.C.: Universal design within the context of

e-Learning. In: Conference on Universal Access in

Human-Computer Interaction: Applications and Services, Berlin

(2007)

6. Blazanka Divjek, D.T.: The Impact of Game-Based Learning on

the achievement of learning goals and motivation for learning

mathematics-literature review. JIOS 35(1) (2011)

7. Zhan, L., Duanb, Y.: Evaluation of learning performance of

e-learning in China: a methodology based on change of internal

mental model of learners. Turk. Online J. Educ. Technol. 9(1)

(2010)

8. McKay, E.: Enhancing Learning Through Human Computer

Interaction, p. 290 (Jan 2007)

9. Mehlenbacher, B., Bennett, L., Bird, T., Lucas, J., Morton, J.:

Usable E-Learning: a conceptual model for evaluation and design.

In: 11th International Conference on Human-Computer, Las Vegas

(2005)

10. AL-Hunaiyyan, A., Al-Huwail N., Al-Sharhan, S.: Blended

e-learning design: discussion of cultural issues. Int. J. Cyber

Soc. Educ. 1(1), 17–32 (Mar 2008)

11. Berry, M.: Enhancing Learning Through. In: Idea Group Inc

(2007)

12. Gross, T.: Human computer interaction education and diversity. In:

Human-Computer Interaction Group (2014)

13. Kurosu, M.: Human computer interaction theories, methods, and

tools, Greece (2014)

44 Z. Al Mahdi et al.

Automatic Detection of Students Learning

Style in Learning Management System

T. Sheeba and Reshmy Krishnan

Abstract

Learning style is one of the major factors of student

performance in any learning environment. Determining

the learning style of students enhances the performance of

learning process. This paper proposes an approach to

classify students learning style automatically based on

their learning behavior. One of the best widely used

classiﬁer algorithm is decision tree which is proposed in

this paper. The main concern in decision tree classiﬁer is

the construction of signiﬁcant rules which are required for

accurately identifying learning styles. Lack of signiﬁcant

rules would result in misclassiﬁcation of learning style.

Hence, the main focus of this paper is to construct most

signiﬁcant rules which would strengthen the existing

decision tree classiﬁer to precisely and accurately detect

the learning style of students. The student behavior is

obtained from the web log ﬁles and then mapped with

three learning dimensions of standard Felder Silverman

learning style model. Subsequently, by employing sig-

niﬁcant rules in decision tree classiﬁer, the student

behavior has been automatically classiﬁed with high

accuracy. This approach was experimented on 100

students for the online course created in Moodle Learning

Management System. The evaluation result is obtained

using inference engine with forward reasoning searches

of the rules until the correct learning style is determined.

The result is then analyzed with a confusion matrix of

actual class and predicted class which shows that

processing dimension shows variance whereas perception

and input dimension were detected correctly with an

average accuracy of 87%.

Keywords

Learning management system Weblog 

Learning styles Felder-Silverman learning style

model Decision tree classiﬁer

1 Introduction

Learning style is typically deﬁned as the best way the learner

prefers to learn. Everyone has his/her own style on learning

which helps them to learn better and can also vary from one

situation to another. The learning style of a learner determines

how learners learn and acquire knowledge in different ways in a

learning system. It is characterized by different types of factors

such as course contents i.e., notes, exams, assignments, tutorials

and exercises; the order in which course is organized and pre-

sented; how information is presented to the learners; the inter-

action mechanisms among learners such as discussion forums,

chat rooms, and email systems. The learning system is used by a

diverse variety of learners with different background, abilities,

preferences, skills, needs, interest and learning styles. The

problem of detecting how learners would learn and acquire new

knowledge and skills has been gained great interest of research

in the last decade. In order to achieve this goal, there is a need to

determine each learner’s learning style and adjust the courses or

assist the learner to best ﬁt each learner needs.

The rest of this paper is organized as follows: Sect. 2

gives the background work in the similar area. Section 3

describes the proposed approach. Section 4demonstrates the

experimental results and discussion. Finally, Sect. 5pro-

vides a conclusion.

2 Literature Review

The various studies in learning system have proved that the

learners learning have improved when the educators’

teaching style match with the learners learning styles.

T. Sheeba (&)

Department of Computer Science and Engineering,

Karpagam University, Coimbatore, TamilNadu, 641021, India

e-mail: tsheebat2002@yahoo.co.in

R. Krishnan

Department of Computing, Muscat College, P.O. Box: 2910

P.C: 112, Ruwi, Sultanate of Oman

e-mail: reshmy_krishnan@yahoo.co.in

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_7

In order to detect the learning style of learners and to reduce

the gap between educators’and learners’style, there is a

need to discover each learner’s learning style and adapt the

courses or assist the learners to best ﬁt to it.

There are two ways to obtain learning style. The most

popular method is questionnaire which is a static approach

and time consuming and may not be accurate. After the

emergence of using Learning Management System (LMS) in

education, it become more appropriate to acquire the learn-

ing style dynamically and indirectly using automatic detec-

tion method. There were two approaches used for automatic

detection of learning styles: data-driven and literature-based

approach. The data-driven approach uses sample data to

build a classiﬁer that imitates a learning style instrument.

This approach mainly uses AI (Artiﬁcial Intelligence) clas-

siﬁcation algorithm which takes the learner model as input

and returns learners learning style preferences as output [1].

This approach has the advantage of to be more accurate and

less error-prone, as it uses real data to detect students’

learning styles. On the other hand, literature-based methods

uses simple rules to calculate learning style from number of

matching hints. The weakness in this approach is that there is

a possibility that some behavioral patterns of learning styles

may not be taken into account for the calculation of learning

style [2].

The proposed system employs data-driven approach

using AI classiﬁcation algorithm to automatically detect

learning styles. Several models of learning styles have been

described for deﬁning learning styles such as Kolb’s,

Gardner, Felder and Silverman, Biggs and custom learning

style model [1]. Each model has its strength and weakness.

Among the proposed models, Felder and Silverman learning

style model (FSLSM) is chosen as it is the widely used

model proven to be suitable to use in educational systems

and tested in engineering education exhibiting a good degree

of reliability, validity and internal consistency. This model

describes the learning style of learners into four different

dimensions (active/reﬂective, sensitive/intuitive,

visual/verbal, sequential/global) based on the behavior pat-

terns of learners using the system.

Depending on the FSLSM, various research works have

been proposed to detect learning styles on a data driven

approach using several AI classiﬁcation algorithms. The

various AI techniques used are Bayesian network [3], Deci-

sion Tree [4], Genetic Algorithms [5,6], Neural Network [7],

Genetic algorithms with K-NN [1] etc. Comparison of these

algorithms in terms of four dimensions [Processing (Pr),

Perception (Pe), Input (In) and Understanding (Un)] of

FSLSM are shown in [8,9]. As each algorithm has its own

strength and weakness, the most widely used AI algorithms

for classiﬁcation are Bayesian network, Neural Network and

Decision Tree. Bayesian network uses conditional probabil-

ities to represent uncertainty of data, but it has no universally

accepted standard for constructing this network from data.

Neural network shows good classiﬁcation accuracy as it has

the learning capability from speciﬁc examples, whereas it has

the weakness of having high computational complexity; no

theoretical rule deﬁned to determine the optimal number of

hidden neurons; complex to deﬁne number of hidden layers;

lack of descriptive power and difﬁcult to identify rules for

both inputs and outputs.

The decision tree is a widely used classiﬁcation algorithm

which has proved to have high accuracy. This algorithm

requires signiﬁcant classiﬁcation rules for identifying

learning styles. The previous studies reported in the decision

tree implementation does not show signiﬁcant rules for

identifying learning styles based on FSLSM. Hence, the

construction of most signiﬁcant rules would be the main

focus of the proposed system in order to strengthen the

existing classiﬁer to make accurate classiﬁcation and pre-

diction of learning style of learners and to emphasis on the

automatic classiﬁcation of learning styles when weblog ﬁles

are given as input to the classiﬁer which is not been previ-

ously done by other researchers in this area.

3 Methodology

3.1 Proposed Approach

The proposed architecture is shown in Fig. 1. The approach

starts with data collection which controls the process of

collecting web log ﬁles created automatically in

Moodle LMS based on the student actions. Then data pre-

processing is done to acquire learning style from web log

ﬁles. It includes weblog analysis in which students’behavior

is extracted and using signiﬁcant rules of decision tree,

learning style is extracted based on FSLSM.

3.1.1 Data Collection

Web log ﬁles contain all the behaviors that the learner per-

forms in Moodle LMS. These logs are automatically created

when the learners use the system. It records all the activities

in the form of chats, forums, quizzes, exercises, assignments,

exam delivery, frequency of accessing course materials etc.

Initially, the web log ﬁles of each learner are collected and

ﬁltered out by the activities and their corresponding actions

as shown in Table 1.

3.1.2 Data Preprocessing

Data preprocessing includes web log analysis in which

learner actions are extracted based on the three dimensions

(processing, perception and input) of FSLSM. The fourth

dimension of FSLSM describes the sequential and global

learner is not considered for experimentation in the proposed

system, since most of the learning content used in

46 T. Sheeba and R. Krishnan

Moodle LMS is provided as a whole content instead of

sequential order.

Processing dimension: This dimension determines the

active and reﬂective learners by their participation in doing

activity something physical or theoretical. Active learners

mainly prefer to work in groups and perform more number

of exercises whereas reﬂective learners prefer to work alone

and perform less number of exercises. Based on this learning

behavior, the behavior patterns of learners such as forum

discussions, chats and assignments are investigated from

weblog ﬁle. For forum discussion, the actions such as ‘add

post to start discussions’,‘view & add post messages’,‘only

view forums & discussions’and ‘no participation’are ana-

lyzed. For chats, the actions such as ‘view & report’,‘only

view’and ‘no participation’are analyzed and for the

assignments, the actions such as ‘submit’and ‘view-submit

assign form’are analyzed.

Perception dimension: This dimension determines the

sensitive and intuitive learners. The sensitive learners mainly

have more attentiveness, carefulness and low trial and high

Student

Learning Style Acquiring

WebLog

(Behavior)

Database

Decision Tree Classifier

based on FSLSM

Decision

Tree Rules

Data Preprocessing

Fig. 1 System architecture of

proposed approach

Table 1 Activities versus

actions of WebLog ﬁles Activities Actions

Quiz Quiz attempt

Quiz continue attempt

Quiz close attempt

Quiz review

Assignments Assign view

Assign submit

Assign view submit assignment form

Chats Chat view

Chat report

Chat talk

Chat add

Forums View forum

View discussion

Add discussion

Add post

Notes Resource view

Powerpoints Resource view

Hyperlinks URL view

Automatic Detection of Students Learning Style …47

completion towards the performance in exams and exercises

whereas intuitive learners’show being bored by details,

carelessness and high trial and low completion in exams and

exercises. Based on this learning behavior, the behavior

patterns of learners such as exam and assignments are

investigated from weblog ﬁle. For exams, the actions such as

‘exam review’,‘attempt and continue attempt’,‘exam

delivery time’and ‘exams done’are analyzed and for

assignments the actions such as ‘submit’and ‘view-submit

assign form’are analyzed to determine the number of times

the particular action is performed to determine the number of

times the particular action is performed.

Input dimension: This dimension determines the visual

and verbal learners by their preference over the learning

content and the participation in group activities. Based on

the characteristics of visual and verbal learners, behavior

patterns such as text, power point and hyperlinks are

investigated from weblog ﬁle. For these behavior patterns,

actions such as ‘view’and ‘no view’are analyzed to

determine the number of times the particular action is

performed.

3.1.3 Create Learning Style Model

The learning style model is created using decision tree

classiﬁer for classifying the learning styles based on

FSLSM. The decision tree is a ﬂow chart like structure in

which internal node represent a test on the features to be

tracked that lead to those targeted learning style and the

leaves represent the target learning style to be inferred. The

ﬁnal structure of a decision tree consists of root nodes,

decision nodes, leaf nodes and branches. The root node

represents the base attribute used to build the tree. It is

divided into one or more decision nodes which represent the

test on an attribute that describe the inner part of the tree;

leaf nodes represent the class labels to infer, and the bran-

ches connecting the nodes represent the possible values that

the attribute of the branch initiates [1].

Figure 2shows the modelling of learners’behavior in

Moodle LMS system in which internal nodes represent the

FSLSM dimensions and the action of the learner behaviors

accessing the system.

3.1.4 Classify and Predict Learning Style

The ﬁnal step is to classify and predict the learning style of

the learners based on their input behavior. The learners’

behaviors extracted from the web log ﬁles are given as input

to the decision tree classiﬁer. Based on the signiﬁcant rules

of the decision tree classiﬁer, the classiﬁer accurately

determines the output which is the learning style of each

learner based on FSLSM. The classiﬁcation process is

divided into two phases namely training phase and testing

phase. The training phase constructs a perfect tree by par-

titioning the data set recursively into smaller subsets until all

the records in a partition have the same class. In the testing

phase, the nodes are tested with test data set and iteratively

pruned to obtain a tree with higher accuracy. The classiﬁed

learning activities of each learner is then used for predict the

learning style of new learners based on the set of decision

rules (Table 2).

For example: The processing dimension (active/

reﬂective) includes the group activities such as forum dis-

cussion, chats and assignments. For forum discussion, the

actions like ‘add post to start discussions’or ‘view and add

post messages’or ‘only view forums and discussions’or ‘no

Learning Style

Processing

(Active/Reflective)

Perception

(Sensory/Intuitive)

Input

(Visual/Verbal)

Forum

Chats

Assignment Exams Assignments

Exam Review

Exam Attempt Exam Delivery Time

Exams Done

Text

PPT

Hyperlink

Fig. 2 Modelling learner’s behavior with Moodle LMS

48 T. Sheeba and R. Krishnan

participation’are processed. For chats, the actions like ‘view

and report’or ‘only view’or ‘no participation’are pro-

cessed. For assignments, the actions like ‘submit’and

‘view-submit assign form’are processed. Based on the rules

applied to these actions, ﬁnal values are calculated (Table 2)

which are then used to calculate the ﬁnal category of

dimensions such as extremely reﬂective, medium reﬂective,

neutral, medium active and extremely active.

The perception dimension (sensitive/intuitive) includes

the activities such as exams and assignments. For exams, the

actions like ‘Exam Review’or ‘Attempt & Continue

Attempt’or ‘Exam Delivery Time’or ‘Exams done’are

processed. For assignments, the actions like ‘submit’and

‘view-submit assign form’are processed. Based on the rules

applied to these actions, ﬁnal values are calculated (Table 2)

which are then used to calculate the ﬁnal category of

dimensions such as extremely intuitive, medium intuitive,

neutral, medium sensitive and extremely sensitive.

The input dimension (visual/verbal) includes the activities

such as text, ppt and hyperlinks. For all these activities, the

actions like ‘View’or ‘No View’are processed. Based on

the rules applied to these actions, ﬁnal values are calculated

(Table 2) which is then used to calculate the ﬁnal category

of dimensions such as extremely verbal, neutral and extre-

mely visual.

3.2 Algorithm of Extracting Learning Style

See Fig. 3.

Table 2 Decision tree rules

Automatic Detection of Students Learning Style …49

4 Experimental Results and Discussion

The proposed work is experimented on around 100 online

learners taking ﬁve online computing courses created in

Moodle LMS. The learners registered for these ﬁve online

courses had no previous knowledge on the topics taught in the

course, since all these courses are delivered as basic units.

These courses cover rich course topics represented in different

types of elements such as texts, hyperlinks, assignments and

quizzes etc. More number of assignments is presented to the

learners for each topic as per the requirement of the course and

the learners can access as many assignments based on their

need. Also, learners are given more number of quizzes

including formative and summative assessments, in which the

learners can participate themselves at any time. Any number of

quizzes can be attended by the learners whenever they want to

practice the questions to test their knowledge. Also, interac-

tion among learners and educators are provided with the help

of forum discussion and chat room facilities in order to discuss

and share the ideas and views about the topic by posting and

replying to others.

All the learner activities performed in Moodle LMS while

learning are stored automatically in the web log ﬁles. The

log ﬁles automatically record the learner activities such as

the type of learning content preferred (text, powerpoint,

hyperlinks), the number of assignments done, the number of

quizzes attended with number of revisions and delivery time

and participation in discussion forums and chat facilities etc.

which are used to detect each learners learning style auto-

matically. These actions are extracted from the log ﬁles and

then processed in terms of the category used in Table 2

using decision tree learning algorithm in order to detect each

learner learning style.

Algorithm

Input: Weblog files of each learner

Output: Learning style of each learner in three dimensions of FSLSM

1. Access the weblog files of each learner.

2. Preprocess weblog files

Filter the activities and their corresponding actions of each learner from weblog files

based on the three dimensions of FSLSM model.

3. Create learning style model

a. Determine the activities of learners in Moodle LMS

b. Build Tree using decision tree classifier

i. Initially Tree T is empty

ii. T = Create root node and its splitting attribute

iii. T = Add branch to the root node for each split attribute and label it with test

value

For each branch do

Move to the split attribute

Test on possible value of split attribute

Create a new branch below root based on the test result

If stopping point is reached for this branch, create leaf a node with

appropriate label.

4. Predict learning style model

a. Input is the learner activities

b. Start at the root node

c. Move to the decision node

d. Test on each possible value of decision node and descend the appropriate branch

e. Test repeated until a leaf node is reached

f. Return the classification of leaf node which is the learning style

Fig. 3 Algorithm of extracting

learning style

50 T. Sheeba and R. Krishnan

4.1 Evaluation and Analysis

Classiﬁcation Accuracy. Evaluation is done by determining

the performance of decision tree classiﬁer for around 100

students using classiﬁcation accuracy. The classiﬁcation

accuracy determines the percentage of correct instances

placed in the correct category. Equation (1) gives the for-

mula used for calculating classiﬁcation accuracy and error

rate for the three dimensions of FSLSM model:

Accuracy ¼Correct Predictions=Total Number of Predictions

Error Rate ¼Wron g Predictions=Total Number of Predictions

ð1Þ

The achieved experimental results shown in Table 3

ranges from 75 to 95% shows a high precision for the three

dimensions of FSLSM, thereby proving its suitability for

identifying the learning style of learners with an average

accuracy of 87% and a very less error rate of 13%.

By analyzing the evaluation results obtained, decision

tree classiﬁer is able to classify perception dimension with a

high precision of 95% as most learners did most of the

exams and exercises provided for the course and hence

signiﬁcant variance not found in this dimension. The input

dimension is classiﬁed with a precision of 90% as most of

the learners are interested in using the power point slides and

hyperlinks instead of using the theoretical notes for their

study and hence shown less variance in the predicted class.

The processing dimension is classiﬁed with precision of

75% as the learners found to use less use of forums and chats

facilities and hence variance found in this dimension. The

main reason for the variance is that most of the learners have

used the facilities such as chat, email and forum very less.

As a conclusion, learners should be encouraged to use the

facilities of forums, chat rooms, email etc. in order that the

active learners may be discovered and to use collaborative

tasks such as assignments and exercises. The number of

assignments and exams could also be increased for an

effective analysis of learning style.

Confusion Matrix. The evaluation of classiﬁcation results

is done by a confusion matrix to illustrate the accuracy of

decision tree classiﬁer solution. The confusion matrix con-

tains information about actual and predicted classiﬁcations

which is used to determine the performance of the decision

tree classiﬁer. In confusion matrix, for a single prediction,

there are four different outcomes: true positives (TP), true

negatives (TN), false positives (FP), and false negatives

(FN) for a two-class case with classes “1”(“yes”) and “0”

(“no”). A false positive is when the outcome is incorrectly

classiﬁed as “yes”(or “positive”), when it is in fact “no”(or

“negative”). A false negative is when the outcome is

incorrectly classiﬁed as negative when it is in fact positive.

True positives and true negatives are obviously correct

classiﬁcations.

Input Dimension: Table 4shows the confusion matrix

obtained for the prediction of three different learning styles

(Neutral, Extremely_Visual and Extremely_Verbal) of input

dimension.

Processing Dimension: Table 5shows the confusion

matrix obtained for the prediction of ﬁve different learning

styles (Extremely Reﬂective, Medium Reﬂective, Neutral,

Medium Active, Extremely Active) of processing dimen-

sion. The values in the diagonal of Table 5would always be

the true positives (TP).

Perception Dimension: Table 6shows the confusion

matrix obtained for the prediction of ﬁve different learning

Table 3 Experimental results of decision tree classiﬁer

Performance Processing (%) Perception (%) Input (%) Overall (%)

Classiﬁcation accuracy 75 95 90 87

Error rate 25 5 10 13

Table 4 Confusion matrix of input dimension

Actual

Input dimension Neutral Extremely_Visual Extremely_Verbal

Predicted Predicted_Neutral 70 15 15 Total

predicted = 100

Predicted_Extremely

Visual

15 80 15 Total

predicted = 110

Predicted_Extremely

Verbal

15 5 60 Total predicted = 80

Total

retrieved = 100

Total

retrieved = 100

Total

retrieved = 100

Automatic Detection of Students Learning Style …51

styles (Extremely Intuitive, Medium Intuitive, Neutral,

Medium Sensitive, Extremely Sensitive) of perception

dimension. The values in the diagonal of Table 6would

always be the true positives (TP).

The confusion matrix is used to compute the precision

and recall for each class. Precision is the fraction of retrieved

instances that are relevant, while recall is the fraction of

relevant instances that are retrieved using formula in Eq. (2).

Precision ¼True Positive=Total Predicted

Recall ¼True Positive=Total Retrieved ð2Þ

The plot obtained for the precision and recall values of

each dimension are shown in Fig. 4.

5 Conclusion

The paper proposes a method for the automatic classiﬁcation

and prediction of student learning style related to FSLSM

using decision tree classiﬁer algorithm. From the experi-

ments conducted, it is concluded that signiﬁcant rules used

in decision tree is able to classify the learner characteristics

into learning style with an accuracy of 75% in the processing

dimension, 95% in the perception dimension, and 90% in the

input dimension based on three Felder Silverman learning

dimensions with an overall accuracy of 87%. It is evident

that learners learning style obtained are consistent with the

learners preferences based on FSLSM. The ﬁnal outcomes

Table 5 Confusion matrix of processing dimension

Actual

Input dimension Extremely_Reﬂective Medium_Reﬂective Neutral Medium_Active Extremely_Active

Predicted Predicted_Extremely

Reﬂective

69 10 6 11 5 Total

predicted = 101

Predicted_Medium

Reﬂective

975 5 9 10 Total

predicted = 108

Predicted_Neutral 11 9 80 3 10 Total

predicted = 113

Predicted_Medium

Active

44474 15 Total

predicted = 101

Predicted_Extremely

Active

725360 Total

predicted = 76

Total retrieved = 100 Total

retrieved = 100

Total

retrieved = 100

Total

retrieved = 100

Total

retrieved = 100

Table 6 Confusion matrix of perception dimension

Actual

Input Dimension Extremely_Intuitive Medium_Intuitive Neutral Medium_Sensitive Extremely_Sensitive

Predicted Predicted_Extremely

Intuitive

78 5 9 11 4 Total

predicted = 107

Predicted_Medium

Intuitive

690 6 9 8 Total

predicted = 119

Predicted_Neutral 9 2 76 4 6 Total

predicted = 97

Predicted_Medium

Sensitive

42472 7 Total

predicted = 89

Predicted_Extremely

Sensitive

315475 Total

predicted = 88

Total

retrieved = 100

Total

retrieved = 100

Total

retrieved = 100

Total

retrieved = 100

Total

retrieved = 100

52 T. Sheeba and R. Krishnan

would beneﬁt educators to incorporate various learning

materials based on the student’s learning style. The classi-

ﬁcation results are also used to cluster the learners based on

their learning style which would help the educators to design

the pedagogical structure of the courses.

The future research is to integrate the classiﬁer into the

Moodle LMS system in order to automatically detect the

learning style based on the students’behavior which would

help to design an effective adaptive system.

References

1. Feldman, J., Monteserin, A., Amandi, A.: Automatic detection of

learning styles: state of the art. Artif.Intell. Rev. 44(2), 157–186(2015)

2. Ahmad, N., Tasir, Z., Kasim, J., Sahat, H.: Automatic detection of

learning styles in learning management systems by using literature

based method. In: 13th International Educational Technology

Conference, Vol. 103, pp. 181–189, Procedia, Elsevier (2013)

3. Garcı´a, P., Amandi, A., Schiafﬁno, S., Campo, M.: Evaluating

Bayesian networks precision for detecting students learning styles.

Comput. Educ. 49(3), 794–808 (2007)

4. Abdullah, M.A.: Learning style classiﬁcation based on student’s

behavior in Moodle learning management system. TAMLAI Trans.

Mach. Learn. Artif. Intell. 3(1) (2015)

5. Yannibelli, V., Godoy, D., Amandi, A.: A genetic algorithm

approach to recognize students’learning styles. Interact. Learn.

Environ. 14(1), 55–78 (2006)

6. Chang, Y.C., Kao, W.-Y., Chu, C.-P., Chiu, C.H.: A learning style

classiﬁcation mechanism for e-learning. Comput Educ 53(2), 273–

285 (2009)

7. Kolekar, S.V., Sanjeevi, S.G., Bormane, D.S.: Learning style

recognition using artiﬁcial neural network for adaptive user interface

in e-learning. In: Computational Intelligence and Computing

Research, 2010 IEEE International Conference, pp. 1–5, IEEE (2011)

8. Al-Azawei, A., Badii, A.: State of the art of learning styles-based

adaptive educational hypermedia systems (LS-BAEHSS). Int.

J. Comput. Sci. Inf. Technol. (IJCSIT) 6(3), 1–19 (2014)

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Fig. 4 Precision versus recall curve of FSLSM dimensions

Automatic Detection of Students Learning Style …53

Big Data Security and Privacy Concerns:

A Review

Akbar Khanan , Salwani Abdullah, Abdul Hakim H. M. Mohamed,

Amjad Mehmood, and Khairul Akram Zainol Ariffin

Abstract

The past few decades have recorded increases in the

development of new technologies. These technologies,

such as the smart phone, computers, and social network

sensors, have resulted in the production of a large amount

unstructured data from different formats ranging from

Tera Bytes (TB) to Peta Bytes (PB). This huge and

differently formatted data is known as big data. Big data

has a great potential for both the public and private sector.

The utilisation of big data can have a positive impact.

Different tools and techniques such as analytics and data

mining are being used to make the data useful. However,

big data is beset by security and privacy issues.

Researcher from different domain are trying to overcome

the issues in the big data, this paper will focus on the

applications and major security, and privacy issues of big

data.

Keywords

Big data Data analytics Privacy Security

1 Introduction

The past few decades have recorded increases in the

development of new technologies. These technologies, such

as the smart phone, computers, and social network sensors,

have resulted in the production of a large amount unstruc-

tured data from different formats ranging from Tera Bytes

(TB) to Peta Bytes (PB). This huge and differently formatted

data is known as big data. Big data has a great potential for

both the public and private sector. The utilisation of big data

can have a positive impact, for example, on health care.

A hospital will be able to store and analyse patient data to

prevent the outbreak of diseases. Business can also make use

of this data. A company can analyse its customer sales

record to determine customer choices and thereby make

informed decisions about the effective sourcing and distri-

bution of goods and services in a timely manner, and thus

increase proﬁts and make customers happy.

Big data is already used by Google as a distributed

storage system called Bigtable that has been designed,

implemented, and deployed to manage structured data. This

system has the reliability to handle thousands of machines

and PB’s of data, and has achieved several goals including

wide applicability, scalability, high performance, and high

availability. The system is also used in Google products [1].

Government can use big data for transparency in public

affairs for citizen engagement, to prevent fraud and crime, to

improve national security, and to comfort the common citi-

zen. The government sector deals in general issues (like data

from multiple sources with different formats or costs), spe-

cial issues (e.g., data from different sources of the govern-

ment), and sharing of the data with sources of big data [2]

(Fig. 1).

Some signiﬁcant and insightful studies have been done to

show the importance of big data, but there are still some

questions that need to be asked about what big data means,

how and which data to access [3], and what security and

privacy challenges big data faces. This article will contain

A. Khanan (&)S. Abdullah

Centre for Artiﬁcial Intelligence Technology,

Universiti Kebangsaan Malaysia (UKM), Bangi, Malaysia

e-mail: P89401@siswa.ukm.edu.my

S. Abdullah

e-mail: salwani@uk.edu.my

A. Khanan A. H. H. M. Mohamed

Department of Management Information System,

A’Sharqiyah University, Ibra, Sultanate of Oman

e-mail: abdulhakim.mohamed@asu.edu.om

A. Mehmood

Institute of Information Technology, Kohat University

of Science & Technology, Kohat, Pakistan

e-mail: dramjad.mehmood@ieee.org

K. A. Z. Arifﬁn

Research Centre for Software and Management,

Universiti Kebangsaan Malaysia (UKM), Bangi, Malaysia

e-mail: k.akram@ukm.edu.my

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_8

ﬁve sections. Section 2will be about the deﬁnition, sec-

tion 03 Applications of Big data and characteristics of big

data, and Sect. 3will be about security and privacy concerns

for big data, along with possible solutions.

1.1 Big Data Definition

Although there is no proper deﬁnition for the term, it is safe to

say that ‘Big data’can be used for large data sets (unstructured,

different formats) that cannot be managed by traditional

database management systems. The processes for storing,

retrieving and managing the different types of data within a

suitable time frame can be difﬁcult for traditional common

software. Daily data’s size constantly increases by a few dozen

TBs to PBs in a single data set [4]. In today’s world, people are

generating data through technology faster than before [5]. This

huge amount of data, which is mostly generated by social

media, cellular phones, and other digital communication

devices can be the true form of big data [6]. Due to its usage

and application in decision making, big data has become more

attractive and accessible to the public sector, the private sector,

and the ﬁeld of academia [6].

Big data and analytics can have a positive impact on

business and industry. Companies can invest in big data,

analytics, and other technology to track customer needs and

preferences, and to provide an easy access to goods and

services by various accommodating small markets. Big data

can also help ﬁnd problems on a societal level by using new

technology For example, big data can be used to identify

new trends in health care, prevent diseases, and much more.

If the data is managed well, it can also help ﬁnd new sources

of economic growth [7].

1.2 Characteristics of Big Data

Big data has been characterised by the 3Vs: Volume,

Velocity, and Variety, Simply put, volume refers to its huge

size, velocity to the speed of its creation, and variety to its

differentiated formats and sources. A later study suggests

that 3Vs are insufﬁcient to describe big data, so more

components have been added to include Volume, Velocity,

Variety, Veracity, and Complexity [8] (Table 1).

1.3 Big Data Timeline

The concept of a ‘Database Machine’emerged in the 1970s.

The aim was to store and analyse data with the help of

technology, but due to huge increases in the demand for data

processing, the single machine was insufﬁcient. Therefore, in

order to meet the requirement of ‘share nothing’, a parallel

system was proposed in 1980. The architecture of ‘share

nothing’was based on the cluster that every machine has its

own processor, storage, and disk [14]. The availability of

the World Wide Web in 1991 opened the door to the

public, which later on in 1998 lead to the concept of IOT

[15].

It is predicted that the current volume of data will grow

from 130 Exabyte to 40,000 Exabyte between 2005 and

2020, which means that the growth of the data will be double

Big Data

Application

Government

Health

Banks

Telecom

Autom

Energy

Utility

Fig. 1 Big data applications

56 A. Khanan et al.

after every two years. This is why this huge amount of data

—big data—is attracting researchers to ﬁnd solutions for

various government and industrial problems [16].

2 Big Data Applications

The role of big data can be helpful for many public and

private sectors; some of the examples are listed below.

2.1 Big Data in Healthcare

According to history, most of the data [17], that has been

recorded is by the healthcare sector for record keeping, com-

pliance, and retention of patient care records; most of the data

recorded is in hard form [18]. Use of a proper system to collect

and analyse the data can help the healthcare industry to improve

the quality of life. The future of big data analytics predicts an

increase in epidemics, cures, and diseases [19]. Big data can

also assist the government sector by indicating areas where the

government can take action and save thousands of lives. Big

data in healthcare can be divided into different sub-categories

like bioinformatics, neuro-informatics,clinical informatics, and

public health informatics. Bioinformatics mainly focus on

molecular data; analytic tools can be used to know how the

body works by using molecular data. The main focus of

neuro-informatics is to know how the brain works and how the

data gather frombrain images and medical conditions can even

be associated. Research on clinical information helps GP’sto

get better and more accurate decisions about their patients by

analysing their data. Public health informatics deal with public

data to analyse and get accurate medical information [20].

2.2 Big Data for Government

Big data can play a vital role in the government sector,

because this sector is always trying to improve quality of

life. The government only needs to have an advanced system

in order to collect and analyse data that can help them

identify areas they need to focus on. However, the govern-

ment needs to have a look at the data, and information

policies like privacy, data reuse, data accuracy, data access,

archiving, and preservation as play with data can have pri-

vacy and security issues [21].

2.3 Intelligent Transportation

The development in communication [22] and robotic tech-

nology had a good impact on the life of common people.

Advancements in these technologies have given rise to an

opportunity for the autonomous vehicle to be created. The

aim to introduce autonomous vehicles is to reduce costs and

increase transportation accessibility [23]. The sensor is

another important technology. Advancements in sensor

technology open the door for innovation. Transportation

includes sensor technology with the Global Position Satellite

(GPS) system and on-board cameras. GPS systems help

vehicles locate the required route, and sensor technology

enabled with trafﬁc control systems help control the vehicle

[24]. One example of intelligent transportation and the

autonomous vehicle is the Google car; this car is enabled

with a camera, 3-D radar/range ﬁnder, and an artiﬁcial

intelligence system that is use for calculation. A combination

of all these technologies and others has enabled the launch of

the self-driven car [25].

Table 1 Volume, velocity,

variety, veracity, and complexity Factor Identiﬁcation References

Volume Volume is a huge amount of data that is created from different sources

(transactions, unstructured streaming from text, images, audio, VoIP,

video, TV, and other media, sensor, and machine-to-data)

[9]

Velocity Velocity refers to the rate of change of data or how often the data is created [10]

Variety Data variety is the measure of the variety of data (text, images, video, and

audio); one of the best challenges to the effective use of big data is data

variety for analytics, because of incompatible formats, lack of structure,

and inconsistencies

[11]

Complexity Complexity denotes the data that comes from multiple sources that needs

to be linked, matched, cleaned, and transformed

[12]

Veracity Veracity is the reliability of data linked with different types of data just like

correctness, truthfulness, and accuracy

[13]

Big Data Security and Privacy Concerns: A Review 57

3 Big Data Security and Privacy

Security and privacy are the big hurdles for users who have

to outsource their data. For sensitive and personal data,

speciﬁc laws need to be established. For example, data

protection and privacy concerns have been regulated in

different countries [26]. Databases related to the government

or people need a high level of security polices and mecha-

nisms to secure them against illegal and malicious use. That

big data technology such as Hadoop and Cassandra are

suffering from insufﬁcient security is of serious concern [27]

Moreover, technologies and mechanisms like ﬁrewalls and

DMZ’s for security and privacy cannot be applied or used

for big data because of its vast border. Big data security

objectives are the same as other data types (e.g., conﬁden-

tiality, integrity, and availability [28].

Cloud Secure Alliance (CSA) has classiﬁed four main

challenges for big data security: infrastructure security, data

privacy, data management, and integrity and reactive secu-

rity [29] (Fig. 2).

To provide security to the infrastructure, distribution

computations and data stores must be secured. To secure

data information distribution, privacy must be protected, and

the sensitive data must be secured with cryptography and

granular access control. Managing large volumes of data

requires scalable and distributed solutions to secure data

storage and to provide efﬁcient audits and data sources. Data

integrity must be checked for data coming from diverse

sources and analytics for security can be performed to ensure

the health of the infrastructure [30].

3.1 Infrastructure Security

Modern science infrastructure is solving new large-scale

problems; these solutions were not possible before, as they

produce huge amounts of data capable of storing, distribut-

ing, and processing these data. This is referred to as scientiﬁc

data e-infrastructure. The scientiﬁc data is more complex and

interrelated with other objects. As things become new and

technology-driven, big data science requires solutions to a

number of components and challenges [31]. One of the basic

challenges is processing of huge data. The collection of data

is easier than the processing of it because the complete

behaviour of data (structure, value, format, etc.) needs to be

analysed and understood. For example, social media allows

any format of data by the user, but the volume can be

increased to a level that can be difﬁcult to manage, because

the amount of data that a single processor can process is still

limited. In order to process this huge data, special algorithms

need to be designed [32].

3.2 Data Privacy

One of the sensitive problems that big data is facing is data

privacy. Manipulation of data can cause a privacy issue, like

information collected from the user and used for the business

purposes of an organisation about which the user is unaware,

or that user information is collected and combined with other

data to get certain results [33]. A lot of personal and private

information that can include health, medical, ﬁnancial, bank,

and much more can be accessed, which may be a violation of

a personal legal right for privacy. Therefore, the ﬁeld should

make sure that all the privacy policies are properly placed

[34]. Social media and health informatics are the biggest

sources of data collection. One of the threats to personal

security is the unregulated collection of data by different

organisations, especially by social media companies.

Developing an algorithm that can randomise the data among

other data sets is a major research problem [35].

3.3 Data Management

Management of data is another one of the difﬁcult issues that

need to be addressed by big data. Although data is already

managed by traditional ways in the business world, it will

still be difﬁcult if the data is distributed to different places

that are owned and managed by different entities, and

coming in at a large volume; hence, a big management

solution is required [36]. Dealing with big data is a difﬁcult

task because of the huge amount of data with different for-

mats (picture, audio, video, etc.); yet, this can be handled.

The problem becomes worse if the data is stored in different

Big Data

Security

and Privacy

Data

Management

Integrity and

Reactive

Security

Data Privacy

Infrastructure

Security

Fig. 2 Big data privacy and security domain

58 A. Khanan et al.

geographical locations. In this case, it becomes impossible to

manage the data. Management of data plays a key role in

large organisations. Various technologies like Hadoop,

MapReduce, and Hive have been introduced to the market to

manage data. Hadoop data is broken down into several parts

that can be spread into a number of systems. In this process,

data is repeated many times on different nodes to provide a

security for any failure node [37].

3.4 Integrity and Reactive Security

It is difﬁcult to check the trustworthiness of big data’s dif-

ferentiated sources, but the data from varied sources can be

used by certain algorithms to produce accurate results.

Authenticity and integrity of data must be considered [38].

Data integrity is a key element for collaborative analysis

where analysts and decision makers use information within

organisations. Mostly, data mining approaches are being

applied to improve the efﬁciency of decision making.

Integrity can also be affected by the quality and reliability of

data. Basically, integrity is the prevention of illegal and

unauthorised access to the data [39]. In the ﬁeld of infor-

mation security, data integrity’s main concern is maintaining

and assuring the accuracy and consistency of the data by

preventing unauthorised access. For maintaining integrity,

all the characteristics of data must be correct, including

business rules, relations, deﬁnitions, and so on [40].

Quality and Reliability of data. Quality of data has a

high importance for big data utilisation. Low quality of data

is just a waste of resources and transmission. A lot of factors

can be included to restrict the quality of data including

generation, acquisition, and transmission. Quality of data is

mainly important for accuracy, completeness, redundancy,

and consistency. The problems related to quality need to be

addressed; therefore, effective methods to detect the quality

of data automatically and repair the data need to be exam-

ined [41]. Reliability of data—whether or not we can trust

data—accuracy, consistency, and completeness are all

essential [42].

4 Research Trend in Big Data

The author in the article [43], brieﬂy overview the issues

related to big data and email security. The analyses of the

data showed in the article, describe the threat related to big

data. According to author, different type of threat like mal-

ware can trap the data easily. The author proposes to have a

framework with having guidelines for the prevention big

data security.

The article [44], reviewed the primarily security issues

related to energy big data analytics and for internet of thing

based smart grid. According to author the smart grade can

beneﬁt from the IoT Technology, meanwhile the smart

devices are integrated with so huge number, that now they

are causing the main security for the internet based smart

grid. The data need to be kept save form intrusion and pri-

vacy, if we want to be beneﬁted from the smart grid and big

data.

According to author [45], modernization in the technol-

ogy also arise the volume of big dat. A much more focus

need to be given to secure sensitive health care data from

adversaries and malicious software. That will help to

maintain integrity and privacy of sensitive information. The

security issues therefore must be dealt and new security need

to build in health care context. The availability and protec-

tion of data without having the privacy concern will deter-

mine the potential to adopt the health care data into the cloud

environment.

The author in the article [46], proposed solution in order

to overcome the issue associated with storage of big data

through could compute. As the adoption of cloud computing

services for storing big data is increasing with a rapid speed.

According to author there are still many open security risks

that need to be addressed in the cloud. The conﬁdential data

store at cloud could have a security risk on data ﬁle in one

place.

5 Open Security and Privacy Challenges

Big data is facing numerous challenges; some of the research

challenges identiﬁed by researchers of big data security and

privacy are as follows:

•Scalable and compostable privacy preserving data min-

ing and analytics [47].

•Risks in outsourcing and use of third-party tools [48].

•Organisational learning culture and competencies [49].

•Lack of infrastructure to insure the security of data (in-

tegrity, accountability, availability,) and become more

vulnerable if data is from different sources [50].

6 Conclusion

Indeed, big data can be a gold mine for both the public and

private sector, as it can be used for variety of purposes.

Business can boost and government can improve health

facilities by using this huge data. Yet, at the same time, big

data also faces a lot of challenges including data manage-

ment, infrastructure, and analytical issues, as well as security

and privacy issues and data visualisation. Therefore, big data

is the main focus of research for many researchers. This

Big Data Security and Privacy Concerns: A Review 59

paper discussed big data literature, security, and privacy

concerns, and listed current big data privacy and security

issues.

Acknowledgements This work was supported by the Universiti

Kebangsaan Malaysia (DIP-2016-024).

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Big Data Security and Privacy Concerns: A Review 61

China’s Relations with Arab Gulf States

Golam Mostafa

Abstract

Arab Gulf states are important for China and play

signiﬁcant roles because of their geo-strategic location,

huge reserve of oil and gas, fast and steady growth of

economy with rapid expansion of market for consumer

and merchandise goods which China has a plenty of

them. The area was, however, out of the radar of Chinese

attention until recently as Beijing was preoccupied with

other parts of the world. The paper focuses on China’s

multilevel interests in economic, trade and investments in

strategic sectors as well as steady and guaranteed supply

of oil and gas from the region. The ﬁndings of the paper

are: Economic ties between China and GCC countries

have increased signiﬁcantly since the mid-1990s and are

expected to grow rapidly in future; Oil and gas dominate

China’s import items from the Gulf and Saudi Arabia has

become the largest supplier and will remain so in near

future; As China intends to increase its inﬂuence and play

an increasingly important strategic roles in the region

Beijing is focusing on getting involved in new and

strategic sectors like, nuclear energy, aerospace, commu-

nication, infrastructure building and so on; China’s

ultimate politico-military and security goals and objec-

tives in the region are to be gradually involved in the

multi-billion dollar military, security and strategic sectors

of arms market not by challenging or going into direct

conﬂict with the West, particularly to the US who are

currently dominating the market, rather by using the trust

and supports of the leaderships in the region.

Keywords

GCC Middle East OBOR Arab Gulf states 

Free trade agreement

1 Introduction

China has become one of the fastest growing economies in

the world during the last four decades or so, a rising

superpower with rapid economic growth and expansion of

trade and investments all over the world and the Gulf region

is not an exception. China’s relations with GCC countries

are not based on a long historical traditions and experiences

rather evolved to the current stage through many twists and

turns over the last few decades. China wants to establish and

improve relations with GCC countries both at institutional

frameworks as well as on individual basis, and, so far, the

later one has proved to be more effective and successful.

Chinese Foreign Minister Huang Hua sent a congratulatory

telegram to the Secretary General when the GCC was cre-

ated in 1981, and expressed interests in cooperating and

developing relations with the newly created organization but

there was no positive response and interests were shown in

developing links with the communist China [1].

Individual Gulf Arab states showed interests and took

initiatives in recognizing and establishing with China. In

1971, Kuwait became the ﬁrst Gulf country to establish

diplomatic relations with China and supported its entry into

the UN which was highly appreciated but no further devel-

opment took place until the mid-1990s. As China was

modernizing its foreign policy and opening to the outside

world through the policies of ‘open door’and “go broad”in

the late 1970s, it was eager and interested in establishing

contacts with more Arab countries. Beijing established

diplomatic relations with the Sultanate of Oman in 1978, and

other GCC countries followed the suite. But despite formal

diplomatic relations, real communications and expansion of

trade, business, connections and linkages were not devel-

oped mainly because of the reminiscence of Cold War pol-

itics, division of the world among great powers for sphere of

inﬂuence, control and domination, and China’s own internal

power struggle. GCC countries were not considered as

strategically important in the Chinese eyes as it was

G. Mostafa (&)

American University in the Emirates, Dubai,

United Arab Emirates

e-mail: golam.mustafa@aue.ae

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_9

overwhelmingly preoccupied in building relations with US,

ASEAN, South Asia and exploring Africa. But China’s Gulf

policy got a renewed importance in 1993 when the country’s

demand exceeded its domestic supply of oil and started

looking for imports from stable and reliable sources, and

Gulf countries considered to be the obvious choice.

The study of Sino-GCC relations is important for many

reasons. From the Chinese perspective relations with the

GCC is important and crucial because; (a) China views the

GCC countries as the most reliable partner (more than 50%

of its oil consumption is supplied by Saudi Arabia) and

stable supplier of its energy needs for both oil and gas as

they have a huge reserve of it; (b) Saudi Arabia has the

largest economy in the Arab world with signiﬁcant inﬂuence

in the Arab and Islamic world as well as it is a member of the

G20 and China considers the Kingdom politically and

strategically important to maintain close and friendly rela-

tions and gradually forming an alliance/partnership with it;

of the OPEC carries a lot of weight in deciding oil pro-

duction and price setting in global market, which is impor-

tant for China as a growing oil importing and consuming

nation; (d) GCC countries, along with the Arab League

members, recognize “One China”policy and practice it in

their foreign policy and diplomacy which is very important

for China; (e) China’s Gulf policy also ﬁts into its grand

project of “One Belt One Road, (OBOR)”project of linking

Asian trade and business with Europe [2]; (f) GCC countries

strongly support and actively participate in ﬁnancial insti-

tutions initiated and created by China for funding and sup-

porting OBOR and other projects for investment,

infrastructure building and development. For example, all

GCC countries (except Bahrain, a prospective member) are

members of Asia Infrastructure Investment Bank (AIIB)

created in 2016 and are heavily investing in it.

For GCC countries, China is important because; (a) It is

an emerging peaceful superpower with a very high and

steady economic growth and industrial development and a

continuous demand for imports of oil and gas; (b) Arab Gulf

states trust China, respect its policy of neutrality,

non-intervention and non-interference into domestic affairs

of others; (c) They also consider China as a distant Asian

neighbor with emerging global power and inﬂuence and

consider it as a reliable and trustworthy partner and feel

comfortable in doing business with and dealing with it;

(d) China does not carry any past political, military or ide-

ological baggage in the Gulf and that make easier for it in

dealing with the countries in the region; (e) Recently, par-

ticularly after September 11, GCC countries are under

scrutiny/pressure and targets of criticism from US Admin-

istrations about their political systems, human rights, way of

life, roles, positions and actions on global war on terrorism

as well as on regional wars and conﬂicts which offended and

irritated many leaders in the region but China never criti-

cized or raised those issues or put any pressure on them

which are highly welcomed by the leaders in the region.

Charles Freeman, former US Ambassador to Saudi Ara-

bia, characterized China’s relations with the Arab countries

as, “The Arabs see a partner who will buy their oil without

demanding that they accept a foreign ideology, abandon

their way of life or make other choices they would rather

avoid. The Arabs see China as a country that is far away and

has no imperial agenda in their region”[3].

The paper is organized into several sections; In the

Introductory Section, the role and importance of the topic,

and a brief historical review of the establishment, evolution

and overtime growth of Sino-GCC relations are discussed

and analyzed; Sect. 2discusses the general trends and

overall growth of China’s economic, trade and investment

relations with the GCC countries; Sect. 3provides a critical

analysis of China’s relations with the Kingdom of Saudi

Arabia (KSA); Sect. 4concentrates on China’s relations

with the United Arab Emirates (UAE); Sect. 5brieﬂy ana-

lyzes Sino-Kuwaiti relations; Sect. 6is about Sino-Qatari

relations; Sect. 7elaborates China’s relations with Oman

and Bahrain; Sect. 8is the ﬁnal Concluding one that suc-

cinctly summarizes the ﬁndings of the research and raises

some challenges and opportunities.

2 Trade, Economic, Investment

and Institutional Relations

China’s primary interests in the Gulf are to promote trade,

increase exports of its consumer and manufacturer goods

into the markets of the Arab Gulf states which is important

and necessary for its economic growth and industrial

development. Beijing is now the number one exporter to all

GCC countries as well as many Arab states in broader

Middle East. China’s relations with the GCC states repre-

sents one of the fastest growing trade relationships in the

world—and the trajectory is still moving upward. China’s

trade with GCC countries was worth of more than $92 bil-

lion in 2010 that increased to $158 billion in 2014; exports

increased more than $56 billion in 2010 to $98.07 billion in

2014 [4].

Along with burgeoning trade relations China has been

steadily investing in important strategic sectors in GCC

countries, like transportation, communication, railway,

agriculture and so on. Hundreds of treaties, MoUs and

agreements are signed between China and individual GCC

member states during high level bilateral visits and meetings.

For example, in 2008 China’s Sinopec signed a $350 million

oil drilling deal with Kuwait Petroleum Corporation (KPC);

China Railway Construction Corporation concluded a $5.5

billion agreement to build a rail network in Saudi Arabia;

64 G. Mostafa

Chinese National Petroleum Company (CNPC) started a $3

billion oil project in Iraq; and the CNPC won a bid to build a

$3.29 billion oil pipeline in the United Arab Emirates. In

between 2001 and 2009, Chinese companies signed about

3000 contracts worth approximately $2.7 billion in the Gulf

oil services sector alone [5].

China’s interests in the Gulf go beyond the simple eco-

nomic, trade and investment relations with individual

countries but has also carefully orchestrated and focused on

institution building for cooperation in political, cultural and

strategic sectors. Thus, China established the China-Arab

States Cooperation Forum in 2004, representing 22 members

of the Arab League that meets in every two years. In the

sixth ministerial meeting in 2014, which was held in Beijing,

the Prime Ministers of Kuwait and ministers from 20 other

Arab states attended the Forum where three important doc-

uments—“Beijing Declaration”,“Action Plan for 2014–16”

and the “Development Plan for 2014–24”—were signed.

A comprehensive strategy known as “1+2+3”proposed

by China meaning; cooperation in energy, improving trade

and investment, and cooperation in new sectors of nuclear

energy, aerospace technology, construction and job creation

[6]. Within the China-Arab Cooperation framework, China

was supposed to build Confucius institutes in the Arab world

for teaching and learning Chinese language, art, culture,

literature and translating important Chinese books on the

region into Arabic language but the progress is slow. In early

2013, there were only 7 Confucius Institutes in the Arab

World, and only 2 are in GCC countries; one in UAE and the

other in Bahrain [6]. China is also providing fellowships and

scholarships to students from GCC countries to study in

Chinese educational institutions, holding exhibitions and

regular exchange programs, cultural activities and so on for

promoting people-to-people diplomacy. But most of them

are done and organized on bilateral basis rather than on

institutional framework by involving all or most of the GCC

countries.

Another important area for institutional cooperation is the

signing of a Free Trade Agreement (FTA) between GCC and

China. In 2004 during a ministerial meeting, the decision

was made to sign a comprehensive FTA between China and

the GCC countries to boost and expediate trade, investment

and other economic ties. So far, 9 Round of Negotiations

took place where the parties worked hard to ﬁnalize the

agreement by 2017. During his historical visit to Saudi

Arabia in January 2016 Chinese President Xi Jinping met the

Secretary General of the GCC reviewed of progress of the

FTA and agreed to accelerate the pace of negotiations and

committed to work closely to conclude a comprehensive

FTA at the 10th Round of meeting scheduled to be held at

the end of March 2017. But it could not happen because of

the conﬂict between Qatar and several other GCC countries

and the issue is uncertain and not clear when the ﬁnal FTA

can be signed [7].

Cooperation in banking and ﬁnancial sectors is also

another important aspect in China-GCC relations. GCC

funds in various member states are interested in and actively

invested in major Chinese bank IPOs, including China

Agriculture Bank and the Industrial and Commercial Bank

of China [8]. Chinese construction companies are also

actively engaged in trillion dollar-plus GCC construction

market.

To achieve its goals and objectives, China wants to

maintain; close friendly relations with all GCC countries;

promote multilevel cooperation and friendly relations with

the countries in the region; ensure stable and peaceful

growth and success of modernization process; rise as an

emerging superpower with enhanced power, international

status and inﬂuence. But so far, it has been proved that

China has become more successful in bilateral relations in

dealing with individual GGC member states than those

dealing within institutional frameworks. The following sec-

tions analyze China’s relations with individual GCC

countries.

3 China-Saudi Relations

Saudi Arabia, with its huge reserve of oil and gas, is not only

the most important country and largest economy in the Gulf

region but in the broader Middle East. China’s trade rela-

tions with the Kingdom can be traced back to the era of the

ancient Silk Road and later some limited political and eco-

nomic ties were established during the 1930s and 1940s, but

all relations were cut after the communist revolution in

China in 1949. Some unofﬁcial links were reestablished after

1979 even in the absence of diplomatic relations mainly in

three sectors; allowing Chinese Muslims to perform Hajj;

limited Chinese good could enter into Saudi market; and

limited military cooperation when China started providing

Saudi Arabia with long-range missiles [9].

Establishment of formal diplomatic relations in 1990

opened wide opportunities for developing trade and eco-

nomic relations but no visible progress appeared to have

made. Relations developed by leaps and bounds in the new

millennium and soon China became the top trading partner

for Saudi Arabia. Chinese leaders also highly valued their

relations with Saudi Arabia always expressed interests and

readiness to cement then further. By 2013 China became

Saudi Arabia’s number one trading partner in exports and

remains so. Bilateral trade between the two countries

reached to $69.1 billion in 2014.

Bilateral relations between the two countries were highly

valued and appreciated by top leadership of both the

China’s Relations with Arab Gulf States 65

countries. During the high-proﬁle visit of Chinese President

Xi Jinping to Saudi Arabia in January 2016 he characterized

China-Saudi relations as “As Good Partners for Common

Development”[9].

China has four major objectives in its economic relations

with Saudi Arabia; to build a long-term, stable and reliable

partnership in energy sector; to expand trade and investment

in infrastructure building and communication; to engage and

involve in new and strategic sectors of economy with pri-

orities in aerospace, peaceful use of nuclear energy and

renewable energy; to promote and enhance travel and tour-

ism between the two countries mainly the Saudi visitors to

China [5].

China imports about 40% of its domestic consumption of

oil and a major portion it comes from the Arab Gulf states.

China’s energy consumption is increasing fast to meet its

rapid urbanization, infrastructure building, population

growth and industrialization with all probability these will

continue to grow. Eve with a slowdown of economy, in 2012

China imported 1.88 million barrels of oil per day (mb/d)

from the GCC countries which constituted 35% of its total

imports and out of that 1.08 million barrels were from Saudi

Arabia alone. According to US Energy Administration

forecast, the consumption of oil in China will increase sig-

niﬁcantly from 13.2 million barrels per day (mb/d) in 2020

to 17.5 (mb/d) in 2040 [10].

Saudi Arabia signed hundreds of MoUs, agreements,

protocols and treaties for trade, investment and develop-

mental projects, joint ventures as well as new aspiring sci-

entiﬁc projects of national and strategic importance. These

documents are signed and negotiated during the frequent

bilateral visits of top leaders between the two countries

which has become a regular phenomenon. After ascending

the throne, King Abdullah visited China, and this was the

ﬁrst visit of a Saudi ruler to China followed by the visits of

President Hu Jintao (2 times) to Riyadh. The historical visit

of President Xi Jinping in January 2016 and the return visit

of King Salman to China in March 2017 further cemented

relations between the two countries.

During the visit of Xi Jinping in 2016, he proposed for

forging a strategic partnership of mutual support and form-

ing synergy between the two states for respective develop-

ment strategies, increase mutual understanding and support

each other on issues relating to respective core interests and

major concerns, and cement political mutual trust’[7].

During a response visit of King Faisal to China in March

2017, 21 deals worth of US$65 billion were signed between

the two countries in the ﬁelds of energy, culture, education,

and technology. Saudi Basic Industries Corp (SABIC) and

Sinopec agreed to develop petrochemical projects in both

China and Saudi Arabia. Saudi and Chinese companies

signed deals, ranging from exploring investments in oil and

petrochemical plants to e-commerce and co-operation in

renewable energy markets. A MoU between the giant state

oil ﬁrm Saudi-Aramco and China North Industries Group

Corporation considering the building of reﬁneries and

chemical plants in China. Another important MoU was

signed by the Kingdom to participate in China’s Chang E-4

moon mission and partnership agreement for manufacturing

drones [11]. Other important projects are; Saudi-Aramco has

taken a 25% stake in a reﬁnery in Fujian and has formed a

joint venture with PetroChina for a 200,000-bpd reﬁnery in

the southwestern Chinese province of Yunnan. Saudi

investments also include downstream assets, including a

string of gas stations. Meanwhile, China’s Sinopec took a

37.5% stake in Saudi Arabia’s Red Sea Reﬁning Company

(YASREF) in the city of Yanbu [8].

During a recent meeting of Chinese Vice Premier Zhang

Gaoli and Khalid AlFalih, Minister of Energy, Industry and

Mineral Resources of Saudi Arabia, in Saudi-China Forum

held in Jeddah in August 2017, 60 agreements were signed

between the two countries worth of $70 billion which will

cover investment, trade, energy, postal service, communi-

cation and media [12]. It is also not only the one-way trafﬁc

of Chinese investments in Saudi Arabia, but the Kingdom

also aspires to be the biggest investor in the sector of reﬁnery

and petrochemicals in the Chinese market. Saudi Arabia is

keen to develop its nuclear energy for peaceful commercial

use particularly to develop water desalination plants, and

signed a MoU with China as early as 2012 to cooperate on

the civilian use of nuclear energy. Recently the Kingdom

launched a renewable energy and other mega projects for

diversifying its economy, as a part of the “Vision 2030”and

China is in close cooperation in these efforts. Riyadh is in the

early stages of feasibility and design studies to build the ﬁrst

two commercial nuclear reactors which will produce

2.8 GW. China National Nuclear Corporation (CNNP) has

recently signed an MoU with the Saudi Geological Survey

(SGS) to promote further cooperation to explore and assess

uranium and thorium resources.

Military and security cooperation between the two part-

ners started as early as in 1985 when Saudi Arabia report-

edly purchased 36 CSS-2 East Wind intermediate range

ballistic and 9 missile launchers from China. Even some

Saudi ofﬁcers were sent to China for training on how to use

Chinese weapons, but all these were kept obscured from the

US. Although economic, trade, investment relations and

Saudi oil exports to China were booming during the last two

decades or so, military and security cooperation lag far

behind as the Arab Gulf states were overwhelmingly

dependent on the West, particularly on the US for their

military and security needs. In contrast to multibillion dollar

security contract with the US, China sold only $700 million

in arms to Saudi Arabia during the period of 2008–2011

[13]. But recently there seems to have a surge in improving

and expanding military and security relations with China.

66 G. Mostafa

On November 7, 2016 King Salman met Meng Zhinazhu, a

special envoy of Chinese President Xi Jinping, in Riyadh

and signed a ﬁve-year plan for security cooperation in the

ﬁelds of counterterrorism cooperation and joint military

drills. Saudi Arabia is intersected in purchasing high tech

and sophisticated Chinese military technology and arms and

China is willing to sell without any political and ideological

strings attached [13].

Nevertheless, a scrutiny will reveal that China’s military

relations and arms sale to the Kingdom is still very low and

insigniﬁcant. There may be several reasons for this slow

growth; First, the GCC countries may not found the Chinese

military technology and arms as most appropriate and suit-

able for their needs and requirements; Second, political

reason; Saudi Arabia is not happy and satisﬁed with China’s

close military ties with Iran and its roles and policies

regarding the crisis in Syria and Yemen; Third, the leader-

ship of the Kingdom may be worried and concerned that a

warm and close military relations with China may anger and

frustrate America, its traditional ally, that may jeopardize its

hope and aspiration in rebuilding the close traditional alli-

ance with US Administration.

Some political observers and experts of the region

express doubt and suspicion that whether the Kingdom is

genuinely interested in building a security and military

alliance with China or these strategic maneuverers are cre-

ated and orchestrated to convince (and use it a trump card)

Washington to get maximum strategic advantage and bene-

ﬁts including the sale of most sophisticated arms to Riyadh.

4 China-UAE Relations

UAE has become one of the most important locations for

exporting and re-exporting of China’s consumer and man-

ufactured goods and products to the neighboring countries as

well as to Africa. Trade between the two countries increased

from $2.1 billion in 2000 to $24 billion in 2008 and $37.1

billion in 2015, when UAE became the 15th largest importer

of Chinese goods, and Dubai played the crucial role. Trade

between UAE and China increased to $60 billion by the end

of 2016, compared to $54.8 billion in 2015 [14]. China

usually imports oil, natural gas, and chemical products from

the UAE and exports garments, textile fabrics, electronic,

telecommunication equipment and other consumer and

merchandise goods. UAE has become the second largest

trading partner of China among the GCC countries after

Saudi Arabia.

One of the symbols and success story of China’s trading

culture in Dubai is the establishment of the Dragon Mart

which is the world’s largest Chinese trading center outside

the country. There are more than 5000 stores and about

one-third of them are run by Chinese retailers, and it can

welcome more than 120,000 visitors every day and with its

growing expansion and extension the capacity with certainly

grow further in future. Currently, more than 3000 Chinese

companies operate in Dubai compared to only 18 in 2005.

Similarly, the number of Chinese people living in Dubai

(currently 300,000) are also increasing rapidly [15]. A Dubai

consultancy ﬁrm, Falcon Associates, handles strategic ini-

tiatives of the Dubai government, has been tasked with

further strengthening relations with China. They recruit top

Chinese graduates to intern at top Dubai-based companies

and invites leaders from China to visit Dubai. Dubai has

become an attractive vacation destination for many Chinese

tourists, and it attracted more than 300,000 tourists in 2014,

and the number increased to 450,000 in 2015. Thirteen

Chinese cities, including Beijing, Guangzhou, Shanghai and

Shenzhen, as well as Hong Kong and Taipei, are connected

to Dubai with more than 100 weekly ﬂights [16]. The recent

introduction of visa-on-arrival scheme for Chinese citizens

will certainly help to further increase the number of Chinese

visitors into the UAE. Organizing special trade, cultural and

educational events between the two countries have become a

common and regular phenomenon. In 2016 a “Dubai Week

in China”exhibited in the heart of Beijing. Similarly, “China

or Shanghai week”in Dubai are organized on regular basis

as part of cultural events and promotion of people-to-people

understanding [8].

Trade, economic and investment relations between the

two countries are very strong and based on solid founda-

tions. As early as 2008 during the visit of Sheikh Moham-

mad, the Vice President of UAE and Ruler of Dubai, to

Beijing and Shanghai, Emmar signed a MoU with Chinese

government to explore the use and development of property

and infrastructure in Chinese cities. Etisalat signed a similar

treaty with Huawei Technologies for further cooperation

among them. DP World signed an agreement to invest

$1.9 billion in ports at Tianjin and Quanzhou; China’s Cosco

Shipping Ports invested US$400 million in building a con-

tainer terminal in Abu Dhabi, the capital of the UAE [1].

During a visit to UAE in 2012 Chinese Premier Wen

Jiabao emphasized the need and importance of further

improving and strengthening relations between the two

states and emphasized that “China is willing to expand

cooperation with the UAE in trade and exploration of oil and

gas as well as in the ﬁeld of developing new energy

resources, with the aim to establish a long-term, stable and

comprehensive energy partnership between the two sides”.

Leaders and ofﬁcials from the UAE side expressed similar

views and expressed optimism for further growth and

development of Sino-UAE relations. According to Hani

Rashid Al-Hamli, Secretary-General of the Dubai Economic

Council “Transforming Dubai into the biggest destination of

Chinese direct investment in this region is being driven by

directives from the wise leadership to bolster economic

China’s Relations with Arab Gulf States 67

relations between the two countries and make China a

strategic partner in development projects”[14]. In 2016

China Construction Bank, second largest in China terms in

of assets listed a $600 million bond on Nasdaq Dubai. All

major Chinese banks have their branches in Dubai, the

region’s largest ﬁnancial free zone; Dubai International

Financial Centre (DIFC). Abu Dhabi Department of Eco-

nomic Development, Abu Dhabi Investment Authority

(ADIA), Abu Dhabi National Oil Company (ADNOC), DP

World, Etisalat and others are working with Chinese banks

and companies for joint projects and collaboration that will

further strengthen relations between the two countries [15].

Dubai has become an important ﬁnancial center in the

Gulf and Middle East for China because of its growth, sta-

bility, security and importance as trade and ﬁnancial hub in

the Arab world. The UAE has become the most important

country in the Middle East in using yuan for direct payments

to China and Hong Kong. In 2015, the Chinese currency was

used for 74% of payments by value from the UAE to China

and Hong Kong on the Swift international transactions net-

work. The UAE center will provide local Chinese ﬁrms,

UAE companies and those from other regions with renminbi

liquidity for trade settlement and investment. China wants

the UAE to be included in its Renminbi Qualiﬁed Foreign

Institutional Investor scheme with a 50-billion-yuan quota,

allowing the UAE-based institutions to channel offshore

yuan holdings into Chinese securities [4].

All these positive factors and developments will further

cement bilateral ties, economic, trade and investment rela-

tions between the two friendly states. Leaders of the two

countries are eager and interested in improving, expanding

multi-level relations and there are no serious issues of con-

ﬂict and contention in bilateral relations between the two

countries.

5 Kuwait

As mentioned earlier, Kuwait established diplomatic rela-

tions with on March 22, 1971, being the ﬁrst Arab Gulf

country to do so and supported China’s inclusion into the

UN which was highly appreciated by the Chinese leadership.

Traditionally, China was not a major trading partner for

Kuwait like Saudi Arabia and UAE; in 2008 only 4.4% of

Kuwait’s exports went to China and 6.8% import items came

from China but that changed rapidly and soon China

became the largest trading partner in Kuwait’s imports.

Kuwait-China trade increased from $8.5 billion in 2010 to

more than $10 billion in 2014. A series of high proﬁle

bilateral visits resulted in signing treaties, agreements and

MoUs during the 1980s and 1990s for investment and

cooperation in various sectors of economy. As early as 1977

China and Kuwait signed an agreement on Economic and

Technical Cooperation which was revised and modiﬁed in

1989 to reﬂect new developments and changes. A MoU on

military cooperation was signed at Beijing in March 1995

followed by a contract signed in Kuwait in December of the

same year worth of $400 million (Kuwait News, 2009, May

4). During the 1980s China and Kuwait signed three

important agreements; Agreement on Civil Aviation Trans-

portation (1980; Agreement on Cultural Cooperation

(1982),) and Agreement on Sports Cooperation (1992) [5].

In April 2009, China’s Sinopec signed a $350 million oil

drilling deal with Kuwait Petroleum Corporation (KPC).

Kuwait Investment Authority (Kia) granted a $1 billion

license by China’s Central Bank in 2012 to invest in its

domestic inter-bank bond market that has a stake in the

Agriculture Bank of China. China’s foreign exchange reg-

ulator also awarded Kia a fresh quota of $700 million for

direct investment in the Chinese securities market in addition

to the $300 million granted earlier. Ten new agreements and

MoUs were signed to boost cooperation in the areas of

economy, investment, energy, culture, education and civil

aviation during the visit of Kuwaiti Prime Minister Sheikh

Jaber to China in June 2014 [9].

China and Kuwait share similar and identical views on

many major international and regional issues, events and

conﬂicts and support and advocate their peaceful resolutions

through dialogue and negotiations. During the Gulf Crisis in

1990 when Iraq invaded Kuwait, China strongly opposed the

move and demanded that Iraq should withdraw its troops

from Kuwait and restore and respect its independence,

sovereignty and territorial integrity. On the other hand,

Kuwait recognizes and strictly follow the ‘One China Pol-

icy’in all diplomatic forums and activities.

Kuwait is interested in expanding and promoting relations

with China at multilevel, particularly in trade, investments,

travel and tourism, and keeping that in mind Kuwait opened

Consulate General ofﬁces in various cities—Guangzhou and

Shanghai—as well as in Hong Kong in addition to the main

Embassy in Beijing.

6 Qatar-China Relations

When Qatar achieved full independence from the United

Kingdom on September 3, 1971, China sent an ofﬁcial

congratulation and expressed interests in developing rela-

tions between the two states but there was no response and

full diplomatic relations were established only in 1988.

Bilateral trade between China and Qatar increased by tree

times between 2008 and 2013 to $11.5 billion and that was

further increased to over $19 billion in 2015 [16].

Qatar is the largest natural gas supplier to China that

meets about 22% of its energy needs. In 2008 the China

National Offshore Oil Company (CNOOC) signed a 25-year

68 G. Mostafa

deal with Qatar for the annual supply of 2 million tons of

liqueﬁed natural gas (LNG) starting from 2009. PetroChina

also signed a separate 25-year deal with Doha to purchase

three million tons of LNG per year [17]. Thus, Qatar became

China’s second largest supplier of gas after Australia. In

2014 China signed agreements to participate in building $8

billion worth of infrastructure projects that include civil

construction works, road building, bridges, ports, telecom-

munications railways and building a new stadium for the

World Cup in 2022. China’s direct investment in Qatar has

also increased rapidly; a 77.5% increase in 2015 compared

to 2014.

One of the most signiﬁcant developments took place in

ﬁnancial cooperation sector when China established a ren-

minbi clearing center in Qatar in April 2015; the ﬁrst in the

Middle East. The main objective was to offer ﬁnancial

institutions access to Chinese renminbi and foreign exchange

markets. The new center beneﬁts Qatar in strengthening its

links with China and bolster its image as regional ﬁnancial

center [18]. The Industrial and Commercial Bank of China

launched its ﬁrst Middle Eastern Chinese yuan-clearing

center in Qatar and the aim was to expand trade and

investment between Beijing, Doha, and the region. China

decided to establish the clearing center in Qatar not by

accident; at that time Doha had about $43 billion in net

foreign currency reserve and $200 billion in foreign assets in

its sovereign fund. Qatar National Bank raised a $1 billion

loan in the Asia bank market where the Agricultural Bank of

China had a leading role [19].

China-Qatar relations is not only one-way ties, Qatar is

also actively investing in China which is growing rapidly. In

2014 Qatar’s Sovereign Wealth Fund (QSWF) paid Hong

Kong $4.78 billion to secure 20% stake of Sogo department

store operator Lifestyle International Holdings. The Fund is

actively investing in banking and ﬁnancial sectors and

already bought a 22% stake in Citic Capital Holdings, one of

China’s top investment funds.

The recent conﬂict between Qatar and three of its fellow

GCC members (Saudi Arabia, UAE and Bahrain) and Egypt

made China worried and concerned about its future relations

with the Arab Gulf states (Wintour, 2017, June 5) although

policy differences and tension between Qatar and its Arab

neighbors are not new. As mentioned earlier, China has been

negotiating a free trade agreement with the GCC countries

since 2004 and a signiﬁcant progress is made but the rift

between Qatar and three other GCC members will certainly

make the process delayed and more complicated [20].

Chinese policy on this matter is neutral and

non-involvement, and Beijing considers it as an inter-GCC

problem that must be resolved diplomatically, and it does not

want to interfere and become involved into it although it is a

matter of concern and irritation because until the issue is

resolved there will be no progress in the FTA project

between China and the GCC countries.

7 Qatar-China Relations

China-Oman relations demonstrate China’s opening to the

world and a new pragmatic change in its foreign policy

perceptions and orientations by moving away from its old

political, ideological supports to Marxist-Leninist rebels.

Contemporary Sino-Omani relations emerged out of some

mistrust, distrust and hostility during the period of domestic

unrest of an armed uprising in Oman’s southern Dhofar

Province in the 1960s. China provided moral, diplomatic,

ﬁnancial and military assistance to the rebels by providing

military training and deploying advisers to ﬁght alongside

the rebels in the region. Despite these inauspicious begin-

nings, Oman established diplomatic relations in 1978.

Trade between the two countries increased from $10

billion in 2010 to $24 billion in 2014. Oman started

exporting oil to China as soon as Beijing started importing it

after 1993 and soon assumed the leading position. By 1997

China became the third largest recipient of Omani oil that

represented an estimated ten percent of China’s total oil

imports [21].

China-Oman contacts date back to ancient Maritime Silk

Route that linked Asia with Europe. The two countries are

eager now to revive and further develop and expand these

links under the auspices of China’s new 21st century project

of Maritime Silk Road (OBOR). Oman is an important

country for China as it is in the southeastern Arabian

Peninsula close to the Strait of Hormuz, the vital maritime

artery between the Arabian Gulf, Gulf of Oman, and the

Arabia Sea and wider Indian Ocean, and about 40% of the

world’s seaborne oil crosses this Strait.

China wants to get beneﬁt from Oman’s development and

expansion of infrastructure building; road and railway that

will integrate Sohar Port and Freezone to existing Omani and

GCC transportation corridors and further extending into the

UAE and Saudi Arabia [22], AIIB provided $300 million to

Oman to expand its Duqm port and to start the Sultanate’s

ﬁrst railway system. Ultimately, these transportation net-

works system will provide Oman a competitive advantage

over others to establish logistical and transportation hubs in

the region.

Despite all these positive and important factors China’s

relations with Oman are somehow overlooked or did not get

proper attention. However, in recent years, contacts between

these two countries are expanded and diversiﬁed beyond the

energy sector, yielding notable developments on the diplo-

matic, military, and economic fronts. People’s Liberation

Army Navy (PLAN) warships engaging in anti-piracy

China’s Relations with Arab Gulf States 69

operations in the Gulf of Aden made over 20 port calls to

Oman’s Port Salalah for replenishment and supply, testa-

ment [23].

Oman has long charted and followed an independent

foreign policy based on the principles of neutrality, prag-

matism, moderation, non-involvement, negotiation and

compromise, and to maintain good and friendly relations

with all countries. Oman is the only Arab Gulf country that

maintains cordial diplomatic ties, robust social, economic

relations and holds regular military exercises with Iran

which has drawn the ire of most GCC countries but gets full

supports of China as Beijing also maintains a robust eco-

nomic, trade and military relations with Tehran.

China’s relations with Bahrain started late as in the cases

of many Arab states and China never forged to have ofﬁcial

ties with Manama mainly because of Cold War politics,

ideological and other military and security issues and con-

siderations. Bahrain formally established diplomatic rela-

tions late in 1989 and since then the two countries developed

modest but growing economic, trade and investment rela-

tions. According to Bahrain Chamber of Commerce and

Industry the total trade between China and Bahrain (imports,

exports and re-exports) was about $1.22 billion in 2015. The

relations boosted after the high-level visit of King Hamad

bin Isa al-Khalifa to China in 2013 when several important

agreements were signed on trade and investments [24].

To improve and strengthen economic, trade and invest-

ment ties, the ﬁrst China-Bahraini Committee for Economic,

Trade and Technological Cooperation was founded in 1990.

Several other important Forums and Councils were also

formed later. For example, the Bahrain-China Joint Invest-

ment Forum (BCJIF) was formed in 2010, co-organized by

the China Council for Promotion of International Trade

(CCPIT). Bahrain Chamber of Commerce and Industry

(BCCI) was created to promote trade and business with other

countries including China. The BCJIF seeks to promote

investment initiatives and advantages between the two

countries by identifying opportunities to enhance ﬁnancial

cooperation in ﬁnance, real estate and banking, and to open

new prospects about mutual advantage.

Bahrain’s trade with China is nominal but increasing

rapidly. On September 13, 2013, the trade volume between

Beijing and Manama reached more than $1.5 billion, which

exceeded US$1.22 billion in 2015, and the forecast is for

further growth [25].

China showed growing interests in investing in several of

Bahrain’s major construction and infrastructure projects. In

January 2014, Chinese construction companies signed

agreements with the Bahraini government to build 40,000

new residential units across the country. The same year,

Bahraini government announced a plan to open a vast,

China-themed mall like that of the Dragon Mart in Dubai

and calls it “Dragon City”. Bahrain also maintains close

cultural and educational ties with China. Chinese Govern-

ment provides regular scholarships and funding for Bahraini

students to study in higher educational institutions in China.

Another important aspect of China-Bahrain relation is

Beijing’s strong support for Bahrain’s sovereignty, territorial

integrity, stability and peace and China’s position largely

corresponds to that of the Bahraini and Saudi ones. China

conveyed a message to Iran that it would not support any

instability in the Gulf, a stance that was highly appreciated

by Bahrain [18]. Despite the fact of China’s declared support

of Bahrain’s independence and territorial integrity, Manama

is suspicious and concerned about the real Chinese role and

motivation because of its close and robust relations with

Shiite Iran that, Bahrain believes, is meddling and interfering

into its domestic affairs and fueling the tension and conﬂict

by using and escalating the sectarian issue and supporting

the Shiia community who are ﬁghting against the Sunni

Government.

8 Conclusion

A scrutiny of China’s relations with the Arab Gulf states

demonstrates that Beijing has developed multilevel and

multidimensional relations with all of them without excep-

tion but at a different space and limit. Trade, investment and

ﬁnancial relations are developed much quicker and faster

with oil-rich, economically strong and more powerful Arab

states like, Saudi Arabia, UAE, Qatar and Kuwait than those

of others—Oman and Bahrain. Another observation can be

drawn that relationships between China and individual GCC

member states grew faster and more rapidly than those at

institutional levels. Dozens of bilateral treaties, agreements

and MoUs worth of hundreds of billions of US dollars are

signed for cooperation in the ﬁelds agriculture, trade,

investment, oil sector, infrastructure building, railway, roads,

bridges and ports, telecommunication as well as in the new

sectors of economy like, aerospace, nuclear energy, devel-

oping alternative energy and diversiﬁcation of economy.

Although China’s military cooperation and arm sales to the

region is insigniﬁcant, it is gradually picking up and coun-

tries like Saudi Arabia, UAE, Kuwait and Oman are showing

interests and cooperating in this sector [13].

As mentioned earlier, ambitious, well organized and well

planned multilateral organizations and institutions were

created for stable and sustainable growth of relations

between the two dynamic regions of the emerging world.

The China-Arab Cooperation Forum established in 2004 was

supposed to be used as a forum for GCC countries to interact

and deal with China, especially on political and strategic

issues. It had several meetings but failed to achieve fruitful

results and remains as an inactive and dysfunctional body.

Similarly, the Free Trade Agreement (FTA) between GCC

70 G. Mostafa

and China was another high ambitious project for institu-

tional cooperation to boost and expediate trade, investment

and other economic ties but it also failed to achieve the

desired goals because intra-GCC conﬂict [26].

There are number of issues and challenges behind the

lack of success through institutional framework; First, even

though GCC is functioning for more than 35 years, institu-

tions, negotiating, consensus building process and mecha-

nisms are still weak or absent. Often it has been suffering

from internal squabbles, tress, tensions and conﬂicts and

failed to create a cohesive, integrated, strong institutional

framework, so that external countries can deal with it as a

single entity. Second, China has also failed (or did not try) to

build a positive image about its people, culture and society

to the Gulf states rather, for them, maintaining and growing

state-to-state relations is good enough for diplomacy and

trade.

There are both objective and subjective factors and con-

ditions for further growth and expansion of China’s relations

with Arab Gulf states. China has a modern foreign policy of

growth, peaceful rise and ‘going out’for its market needs

and exports. The Gulf states, on the other hand, want to

diversify and reorient their foreign policies and want to

“look towards east”mainly as a response to the

pressure/criticism by their Western allies, particularly the

USA. But whether these are the sings for a long-term alli-

ance building or just a marriage of convenience is yet to be

seen in future.

China, as an emerging superpower depending and

deploying “Soft Power”strategy, wants to emerge as a

trusted, inﬂuential, powerful strategic partner to the countries

in the region, reduce the US domination and inﬂuence there

not by going into confrontation rather by working with its

allies in the region. China intends to play effective and

meaningful roles as a peace-maker and peace-broker to

resolve the local and regional conﬂicts where others failed.

The Arab Gulf states understand, recognize and support

China’s goals and ambitions in the region knowing fully of

Beijing’s own constraints and limitations.

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(2016)

72 G. Mostafa

Citizen-Centric Approach in Delivery

of Smart Government Services

Ayman Ahmad Obedait, Mohamed Youssef, and Nikolina Ljepava

Abstract

Urban centers and cities across the world are increasing.

As per Population Reference Bureau, 70% of world

population will live in cities by 2050. This will lead to

increasing pressure on city resources, congestion, water

and sanitation problems and many other challenges.

Governments across nations realize this and are working

towards making cities Smarter and governance citizen

centric which will help to improve the quality of life of

city residents and deliver government services in the most

efﬁcient manner. This paper provides a detailed literature

review of the existing research on Smart Cities and citizen

centric governance. First the role ICT plays in governance

is explained and the key trends in ICT which are affecting

governance explored. Moreover, the deﬁnitions of Smart

City are provided, along with an explanation of various

dimensions in a Smart City and capabilities required to

implement Smart City initiatives. The paper also provides

an overview of the key beneﬁts derived once a city

transitions to a Smart City. Various challenges faced in

delivering citizen centric governance has been reviewed

and a case has been made on how Smart

governance/e-governance can address these challenged.

Additionally, the state of Smart City implementation in

Dubai and UAE has been reviewed. The paper is

concluded by providing an overview of the various ways

in which customer centricity can be embedded into

Governance through the application of technology.

Keywords

Smart city Smart city dimensions Smart city

capabilities Governance Citizen-centric 

ICT Technology

1 Introduction

Newtonian physics suggests that the biggest task is con-

verting potential energy into a useful reality. Today, we are

faced with a similar issue wherein the biggest task at hand is

to harness the latent potential in technology to simplify the

life of citizens and improve quality of life rather than com-

plicate it by providing them more tools and processes to

follow. The spectacle of new trends and technologies and

latest breakthroughs is unyielding and is telling on many

fronts. The list of technology of the future is ever increasing,

and technology has become the inseparable part of everyday

life; yet, only few technologies have the potential and ability

to alter one’s way of living. However, organizations cannot

wait till the efﬁcacy of each of these are proven before

developing solutions and implementing in their organization

as they would be left behind the curve.

Technology impacts the daily lives of people, in their

homes, ofﬁces and while interacting with the government.

Today with Mobile, internet, social media, video confer-

encing tools and mobile apps, communication has become

smooth, quick and easy. These tools have been used to

spread knowledge, education and awareness which has led

to multifold changes. Knowledge in one country has spread

to another leading to quickening of development. Awareness

about rights has led to human right movements across the

globe. Quality education has made available in remote pla-

ces through the use of internet. Governments have utilized

technology to improve lives of citizens and provide better

services. For e.g. a lot of information about government

beneﬁts and services is provided on website, appointments

can be booked on internet and grievances can be addressed

A. A. Obedait (&)

RTA, Dubai, United Arab Emirates

e-mail: Ayman.obeidat@gmail.com

M. Youssef N. Ljepava

American University in the Emirates, Dubai,

United Arab Emirates

e-mail: mohamed.youssef@aue.ae

N. Ljepava

e-mail: nikolina.ljepava@aue.ae

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_10

through video conferencing. This has led to reduction in the

time and effort required to access government services by

citizens and at the same time reduces the transaction cost for

the governments.

2 ICT and Its Role in the Society

Information and Communication Technology (ICT) has

advanced at a rapid pace over the last ten years, more so

recently in the streams of data analytics, cloud computing,

core system transformation, digital technology and the

ever-evolving role of IT within the enterprise [1]. The goal

of implementing these technologies in business and gov-

ernment sectors has been to either improve overall customer

experience, operational efﬁciency or both [2]. ICT has had

far-reaching beneﬁts beyond the ones mentioned earlier,

however they would need to satiate a few hygiene factors

before they could revolutionize the world:

1. Mass adoption—ICTs are vectors of social and economic

transformation globally [3]. By enhancing the overall

connectivity and altering the way people communicate

with each other and with organizations, ICT would

transform the world. However, this transformation would

require a mass and systematic adoption of technology;

else, it would remain as pocketed initiatives with no

tangible impact to the society. Per McKinsey et al. [4],

2013 there is a strong correlation between the adoption of

ICT and the country overall economic and social

indicators.

2. Pervasive ubiquity—While technology is expanding

around globally at a pace swifter than ever before, it still

has not had the reach required to meet the global need,

despite efforts by several initiatives such as internet.org

by Facebook. Internet.org is a partnership between

Facebook and six companies (Samsung, Ericsson, Med-

iaTek, Opera Software, Nokia and Qualcomm) that aims

to make internet accessible to people in developing and

least developed countries by increasing efﬁciency and

facilitating development of new business models. There

still is a huge digital divide that exists between devel-

oping countries and developed countries in terms of the

reach of ICT, which undermines the efforts of digitally

prone organizations. Highly populated regions of the

world such as India, China, Indonesia, Brazil, Pakistan

and Nigeria are still evolving their readiness for ICT

revolution and are yet to fully harness the capabilities of

ICT. This is reﬂected from their rankings in the Network

Readiness Index, 2015 wherein according to the Global

Information Technology Report all of them are ranked

lower than 55 (China—59, India—91, Indonesia—73,

Brazil—72, Pakistan—110 and Nigeria—119) in a list of

139 countries. Network Readiness Index framework

assesses a country on six principles to evaluate a coun-

try’s capability to utilize ICT for beneﬁt of the people.

If channeled properly, ICT has the capability to create

new economic opportunities and help nurture better political

and social inclusion, which would ultimately lead to the

overall uplift of the society. ICT supports and fosters

entrepreneurship and provides new tools to the organizations

that help improve overall levels of productivity and efﬁ-

ciency [5]. More importantly, this enables and provides

better access to the wider population to essential services,

education and ﬁnancial services, which also acts as a direct

channel for an uninterrupted interaction between the

Government and its citizens. This improved presence of the

Government leads to efﬁcient public administration [6], and

improves the participation of the citizens in policy making

and decision making through open data initiatives.

Top trends in ICT

The following top trends in information and communication

technology that have the potential to alter the future and

strongly inﬂuence the quality of life and the citizens

well-being have been identiﬁed:

1. Internet of Things (IOT)—Internet of Things which

means inter-linking of physical devices, buildings and

other electronic items which enables these objects to

collect and exchange data, which can be used to provide

a seamless, connected experience to the user. It has

multiple potential applications across various industries

including the public sector—smart cities, smart gover-

nance, military etc. have been capitalizing on the beneﬁts

of connected things. This technology could prove to be

transformative once the potential of data is converted into

actionable insights [7].

2. Augmented Reality (AR) and Virtual Reality (VR)—AR

and VR have been adopted effectively by the retail and

real estate industry and is gradually pervading through

other allied industries. This has the potential to redeﬁne

business processes in the government [8], the roles and

responsibilities of ﬁeld workers, improve the way we

communicate with citizens and reform the training

environments.

3. Big data—refers to data sets that are large, complex and

require advanced processing software to utilize them. Big

data have applications in predictive analytics and user

behavior analytics which can be used to predict diseases,

crime, business trends etc. The public sector has been

using and harnessing data for enabling better decision

74 A. A. Obedait et al.

and policy making to help reduce the cost of governance

and improve overall citizen happiness [9]. However, with

the ability to capture data at multiple touch points from

all citizens and the capability to churn the data has pro-

vided the government a remarkable opportunity to

transform large scale data resulting in scalable and

repeatable revolutionary results.

4. Blockchain—Blockchain uses cryptography (like Bit-

coin) in order to store and verify data in a safe and secure

environment as part of shared ledgers. This technology

has the potential to redeﬁne how transactions are con-

ducted between governments and citizens—including but

not limited to licensing, contracting and payments [10].

While, the adoption of this technology is fairly in its

nascent stages, it needs to be adopted fairly soon and

harnessed in order to reap the cost beneﬁts of this

technology.

5. Artiﬁcial intelligence (AI)—AI has the potential to help

improve overall customer satisfaction and help reduce

costs through continuous machine learning [11] that

would enable governments to provide better and con-

sistent service by studying citizen behavior and transac-

tions continually.

3 Smart Cities—The Role of ICT in Smart

Cities

3.1 Definition of Smart Cities

Smart Cities have been deﬁned in various manner by

researchers covering the aspects of IT education and

infrastructure [12], economy and mobility [9], quality of life

and management of natural resources [13]. It can be argued

that a city can be classiﬁed as “smart”when the Government

and organizations invest in social and human capital,

infrastructure and disruptive technologies which helps foster

sustainable economic growth and improve the overall quality

of life, through contributory and inclusive governance with a

prudent management of all resources. The key goals of a

Smart City are economic growth, quality of life and eco-

logical footprint which is aligned to the concept of triple

bottom line [2].

3.2 Key Dimensions of Smart Cities

Based on the deﬁnition above, and the literature ﬁndings the

author considers ﬁve key dimensions to a Smart City—

economy, people, governance, mobility, environment lead-

ing to better quality of life:

1. Economy—This dimension covers the aspects of pro-

ductivity, entrepreneurship, innovation and industrial

coverage [14]. This is one of the key dimensions as it

would ensure employment and overall growth in

infrastructure.

2. People—They form the fundamental basis to any Smart

City as contributors to growth and consumers of the

services. The key features of this dimension are afﬁnity to

learning, qualiﬁcation, skills, creativity and open mind-

edness [15].

3. Governance—Governance forms the outer

all-encompassing layer of a Smart City covering the

aspects of regulation and enablement of decision-making

through participation of all stakeholders [10].

4. Mobility—This is the key enabler and forms the back-

bone of the city providing easy accessibility to amenities

and services. This covers communication, smart and

sustainable infrastructure, local and national accessibility

[15,16].

5. Environment—Susceptibility to natural resources is a

major factor that needs to be managed, by harnessing

non-conventional sources of energy. Overall environ-

mental protection is key to the success of Smart City and

pollution is a major deterrent that needs address [17].

4 Smart Cities—The Role of ICT in Smart

Cities

4.1 Challenges Associated with Implementation

of Smart Governance

A cornerstone of Smart Cities is Smart Governance, which

includes involvement of various stakeholders (especially

citizens) engagement in decision making and public ser-

vices. ICT infrastructure is utmost important to implement

Smart Governance, it helps to bring various stakeholders

together and implement a smooth and transparent process

[18]. But, implementation of Smart Governance faces below

challenges:

1. Data security in a digital environment –The main char-

acteristic of a Smart City is the amount of data that is

generated, stored and harvested. While the objective and

intent of data gathering by connecting objects and people

is positive, there is a risk of it being used by businesses

and individual with malicious and selﬁsh motives [13,

18].

2. Inclusiveness and social cohesion—According to

Hoevenaars [19], the issues related to inclusiveness and

social cohesion are one of the biggest challenges that

Citizen-Centric Approach in Delivery of Smart Government Services 75

might be faced by governments. While smart technolo-

gies can bring people together and create social cohesion,

there is a major risk on the lack of digital savviness

amongst the citizens, leading to a lower adoption of these

new technologies. Businesses and citizen communities

need to be made more responsible to address this social

problem through improved education and awareness.

3. Disruption of labor market owing to automation—The

labor market will be transformed drastically as a result of

automation. Robotics and AI leading to an increase in the

unemployment rates and requiring people to be retrained

on new skills, which would be relevant for the new

markets, will replace many traditional jobs. The key

challenge for the city would be to smoothen and expedite

this transition while ensuring that there is no impact on

employment and other key social indicators [8,16].

4. Need for talent—This is very closely related to the

challenge on the disruption to the labor market, however,

it covers the other aspect of the disruption, wherein, the

city would need to attract and retain the relevant

resources with a creative and technological bent of mind.

5. Reliability of infrastructure—Smart cities are notorious

for creating single points of failure due to the increased

dependency on digital technologies. If critical digital

infrastructure fails or is attacked, then there is a risk of

the city coming to a standstill. The challenge is to make

the entire system and infrastructure resilient to such

threats [20].

4.2 Governance and Its Challenges

Governance refers to the incentives, arrangements for

accountability, rules and regulations that affect the way key

agencies in government including politicians and other

constitutional bodies interact with citizens to deliver public

services. Governance also includes the ways in which ser-

vice providers could be held accountable for their efﬁciency

and responsiveness in providing the services. Considering

this, governance in a nutshell is a set of principle-agent

relations deﬁned by the rules, regulations, accountability

mechanisms and incentives to act in a certain way.

Governance involves interactions between multiple

stakeholders: First interaction is between government, politi-

cians and citizens. The quality and depth of this interaction

depends largely on the strength of government institutions,

rules, regulations and monetary motivation arrangements.

Civil service organization, policies for HR management,

resource allocations, public ﬁnancial probity and information

availability also affects the interaction in a big way. Second

interactions of citizens and policy maker’s take place through

channels for expressing voice, including votes, taxes, and

representation in parliament and other political bodies. Third

interaction is between citizens and actual service providers or

the government organizations. Citizens can improve this

interaction by proactively participating and assuming key

responsibilities in actual service delivery. They can also be a

key part of feedback mechanism and institutionalizing favor-

able changes by putting social pressures.

According to Wild et al. [21], four common constraints

have been found which leads to dysfunctions in the three

interactions and ineffective public service delivery:

Imperfection in politician citizen interactions

Those are the imperfections resulting from disturbances in

the interactions between government and politicians and

common citizens. Three types of imperfections in

politician-citizen interactions are possible:

1. Reduced trust due to low credibility of the promises

made by politicians.

2. Limited information availability with citizens about

politicians’performance.

3. Social fragmentation among citizens that can take form

of identity politics.

For example, in Malawi, entrenched state parties have

been using state resources for political gains. Water

resources have been given to ruling party aligned groups

who have used them in an unsustainable manner for

short-term gains, rather than using it for the larger beneﬁtof

population. Similar is the case with Nepal, where parties

compete to gain access to state resources and provide dismal

services [13]. The presence and extent of imperfect infor-

mation can have multitude effects on the quality of service

delivery outcomes, and this will affect government agency’s

incentives to improve these services in different ways. Thus,

access to information and the ability of the populace to

understand it is critical [13].

Policy incoherence

This constraint relates to the poor coordination and capability

gaps between design of policies, thought process on imple-

mentation, structure of policy and roles to be played by

different stakeholders in governance leading to poor imple-

mentation. There are two types of policy incoherence—

Horizontal—Non-exclusive roles/duties and unclear respon-

sibilities among co-providers and other public bodies and

Vertical—no capability with the implementation agencies.

76 A. A. Obedait et al.

For example, in the Kenyan water sector, coordination

was reportedly ‘very weak’, with 11 ministries sharing some

responsibility for water [22]. They neither had coordination

amongst the 11 ministries nor capability (vertical

incoherence).

Inefﬁciencies in monitoring performance

This is present in cases where regularized formal processes

for project management, monitoring and supervision are

poorly enforced and usually not followed. Informal pro-

cesses though exists are not sufﬁcient for proper execution of

project. This can take two forms—top down and bottom

up. Lack of performance oversight can result in dissatis-

faction leading to users opting out of the government pro-

vided services [18].

For example, in Uganda formal processes for monitoring

and supervision were not followed across the chain of

responsibilities in the health sector [23]. This mean that

health units and staff have not been subjected to active

oversight, leading to public facilities often being closed and

high level of absenteeism amongst the health centre staff,

diversion of funds leading to shortages of public medical

supplies and essential equipment.

Collective action challenges and Moral Hazard

Collective action from citizens is essential to enforce

accountability amongst public service provider. However, it

is not always possible to organize collective actions that

would lead to decrease in inefﬁciencies in governance. Even

if, citizen groups are formed, it is not necessary that they act

in the interest of the collective group although individual

members may beneﬁt on achievement of group objectives.

This is particularly relevant in the case of delivery of citizen

services, which often need participation from multiple

stakeholders—service providers, local authorities and

citizens.

Moral Hazard refers to the cases in which public services

providers are protected irrespective of their efﬁciency in

delivering citizen services [6]. This can result in a wide

variety of dysfunctional behaviours on the part of those

actors insulated from the risks associated with their decisions

(whether they be a part of the state, service users or service

providers), such as an unwillingness to put the sector on a

sustainable ﬁnancial footing (whether through user fees or,

in the case of public providers, through raising sufﬁcient

own revenues) or to invest resources that are available.

Where such dynamics are prevalent, service delivery is

likely to continue to be short term oriented and dismal.

GCC countries have faced all constraints identiﬁed above

at some time in the past. For countries in the GCC such as

UAE, the foremost challenge in delivering government ser-

vices lies in the characteristics of the country demographics.

Population is an amalgamation of different nationalities with

dynamic and often changing expatriate population, which

accounts for 88% of the total UAE population, a large per-

centage of which is young. Countries in GCC face multitude

society related challenges as well due to increasing share of

foreign nationals, demand from populace for participation in

governance and environmental pressure [24].

4.3 How Do E-Governance and Smart

Governance Help Overcome These

Challenges?

Governments have been using technology to improve efﬁ-

ciency and productivity for long time. For example, gov-

ernment in South Korea used computerization in the 80s and

90s to save information and data related to the Government.

However, this use of technology in governance has evolved

especially with the rapid development of ICTs.

E-governance is very fundamentally the use of information

technology to help deliver government services in an efﬁ-

cient manner thereby enabling a good citizen experience.

As can be seen historically and from the example of

South Korea, e-government has been evolving through

various stages. Several models have been deﬁned by

researchers to explain these stages of e-governance:

1. Hiller’sﬁve stage model which starts from emerging web

presence and evolves to a fully integrated web presence

[22].

2. United Nations and American Society for Public

Administration describe the stages from emerging pres-

ence to seamless and fully integrated presence.

3. Layne and Lee [25] have a four-stage model which

begins from cataloguing to transactions to vertical and

horizontal integration across various government entities

and services and customer interaction channels.

4. Moon [26] proposed a model with ﬁve stages from

information distribution to integrated political

participation.

These models can be further summarized into a ﬁve-stage

model which is an amalgamation of these models given that

all the models are based on similar principles:

1. Digital presence—This is a one-way communication to

merely provide information to the citizens through digital

channels.

2. Communication—This is a two-way communication

between the citizens and the Government, where the

Citizen-Centric Approach in Delivery of Smart Government Services 77

citizens and Governments can ask each other speciﬁc

questions.

3. Transaction—In this stage, the citizens can transact and

utilize Government services.

4. Transformation—In this stage there is complete integra-

tion of all Government institutions allowing citizens to

transparently interact and transact with all Government

agencies.

5. Smart Governance—Integration of information, com-

munication with citizens, organizations and government

agencies (G2C, G2B, G2G) [25] and deploy technologies

to plan and operate across all government agencies,

processes to help foster sustainable living [22].

In effect, based on the provided literature ﬁndings, it can

be assumed that Smart Governance is the evolutionary ﬁnal

stage of e-governance. The drivers and elements for Smart

Governance are same as that deﬁned by the author earlier in

the review, implying that Smart governance is the funda-

mental basis for the development of Smart Cities.

5 UAE and Smart Governance

Through its vision 2021, UAE wants to become a pioneer

and leader in providing best in class citizen services utilizing

technology. A strong effort has been made in order to

achieve this objective.

The challenge of delivering government services lies to

large part in the demographics of the country which is an

amalgamation of locals and non-residents, expatriate work-

ers from other countries. A large portion of the population is

consisted of younger generational cohort, individuals who

have come to UAE for work from other countries world-

wide. This social and age diversity complicates the provision

of governance and thus it is important that services are

provided in a way which easy to understand and navigate for

both locals and non-locals.

UAE has prepared an e-government strategic framework

which lists down the initiatives planned over a period of time

to improve governance. The framework leads to:

•UAE Vision 2021—making UAE one of the best coun-

tries in the world.

•UAE Government Strategy—put citizens ﬁrst, account-

able and innovative government.

E-Governance has been in the agenda of UAE since the

beginning of new century. The transformation towards

e-governance started with eDirham (2001) which was to

simplify collection of government service fees. The journey

has been continued with several other initiatives, leading to

UAE being considered one of the foremost countries in

utilizing ICT to improve governance.

5.1 Developments in UAE for E-Governance

E-government portal of Abu Dhabi provides a single shop

access to all government services. This portal is being used

by citizens, businesses, tourists, expats, efﬁciently delivering

government services in a cost-effective manner. The portal

also answers queries and receives complaints and sugges-

tions through the Abu Dhabi Government’s various

channels.

One of the notable developments in e-governance in UAE

has been the Abu Dhabi Systems and Information Centre

(ADSIC). This center has become key in developing, pilot

testing and supporting various initiatives with the vision to

transform government services. A key objective of the center

has been to establish a strong technology-led platform which

can act as a catalyst for e-governance transformation.

The e-government strategy developed for Abu Dhabi has

a twofold approach, to develop a world-class customer

experience for users of government services and drive

government modernization through positioning the govern-

ment as a customer focused service provider.

Few other initiatives stand out as well, for example:

1. The UAE national identity card which is a critical in the

successful execution of e-government and eServices.

2. Electronic Land Management System (eLMS) which has

simpliﬁed and optimized land services through the use of

technology.

3. Happiness meter—To measure the overall impact of all

the initiatives undertaken by the Dubai Government,

there have been happiness meters installed across the city

to help measure citizen happiness with the Government

and its services. These meters are now also being

extended to the private sector.

4. Smart District Guidelines—These are guidelines that

have been provided to developers to help them build a

truly seamless city for the citizens of Dubai.

5. Smart Dubai Index—Measurement is a critical factor for

implementation of smart governance to gauge the impact

of the e-government initiatives. The Dubai Government

has deﬁned an index across six city dimensions across

twenty-three core areas of city development.

6. Dubai Data—Dubai is moving towards becoming an

Open Data Government wherein all key information will

be shared with citizens and other governments to help

form a participatory government.

7. Smart Dubai Platform—This is Dubai’s initiative to

implement IoT citywide, wherein all critical

78 A. A. Obedait et al.

infrastructure would be mounted with sensors to capture

real time data on the city and report dashboards to the

citizens.

8. Dubai Blockchain—The Government is moving all its

services onto the blockchain to help improve the trans-

action time and reduce security threats.

5.2 Impact of Smart Governance Initiatives

Due to the efforts, UAE has been able to improve its rank in the

UN e-government surveys and improve the efﬁciency and cost

of providing governanceservices. Rankin the UN e-government

survey improved to 8th position in 2016 from 28th in 2012 and

49th in 2010. They also have an ambitious target of moving 80%

of Government services to digital by 2018 [24], which would be

a huge step in ensuring the Smart Dubai agenda.

6 Conclusion

It can be argued that that a customer centric approach is

being adopted for governance through technology world-

wide. Governments across the world have begun to adopt

principles of e-governance and Smart governance while

building Smart Cities; this study attempted to look at various

examples and case studies addressing key issues using

technologies and systems that have been highlighted and

identiﬁed in the earlier sections:

1. Augmented Reality (AR) for planning cities and

infrastructure—The application of AR in real infras-

tructure and land end case uses, has the potential to help

governments and citizens to visualize and understand

the architecture and identify the issues in the early

stages of design [27].

Kamp tower in Jatkasaari, Helsinki, Finland was one

of the ﬁrst time in the world that AR was used to make

real time decisions on infrastructure [27].

2. Citizen interaction via Virtual model facilitating—Vir-

tual modeling helps to engage with various stakeholders

within the government and with citizens who might not

be co-located to participate in governance and help

co-create their city.

Finland has a mandatory building act where inter-

action with the citizens is required before the setup of

any major infrastructure and virtual models are now

being used to enable this communication [28].

3. Social media to engage citizens—Social media has

helped transform the traditional communication

between citizens and citizen communities and

Governments. This is also aligned with the open data

concept of Governments, wherein the Government

shares facts and ﬁgures to engage with citizens and

form a participatory government [29].

4. Multiple countries across the world have resorted to

social media to engage with citizens.

5. Gamiﬁcation to enable learning—Gamiﬁcation can be

used as an effective tool to help motivate government

ofﬁcials to provide better customer service and help

citizens learn more about the government through an

interactive and gamiﬁed system [29].

6. Public procurement via smart contracts—Blockchain

enabled technology is being deployed by governments

to enable public procurement through secure and

dynamic smart contracts, wherein the time to procure

and pay has been reduced making the overall procure-

ment system efﬁcient [10].

7. Emergency management—Internet of things is being

used through mounted sensors to detect public safety

threats in real-time and take appropriate action to

minimize public damage.

8. Congestion management—Reduction in congestion

through smoothening of citizen and tourist movements

in busy areas. IoT is also being used to manage trafﬁc

jams and parking lots. For example, in London, a trafﬁc

management system utilizes sensors to optimize green

light time at trafﬁc intersections and co-ordinates trafﬁc

lights across the city to improve trafﬁc throughput. This

leads to reduction in time spent in trafﬁc and reduced

emissions from vehicles [7].

9. 3D printing—Three-dimensional printing of building,

components to reduce carbon footprint and also reduce

lead time to procure and build [4].

10. Waste management—IoT is being used to manage

waste through segregation and measurement of wastes

and ensuring more waste is added to containers before

being emptied, therefore reducing the carbon emissions

from the waste collection trucks [30].

11. Smart metering—Governments across the world have

adopted smart metering for utilities management across

the city. Enel SpA, Italy has deployed more than 30

million smart meters across its customer base.

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80 A. A. Obedait et al.

Cloud Concept for Implementing Multimedia

Based Learning in Higher Education

Vikas Rao Naidu, Anjum Zameer Bhat, and Baldev Singh

Abstract

Education technology is rapidly adapting various revolu-

tionary approaches to providing an enhanced learning

environment to the students. In many educational insti-

tutions, cloud-based services are being implemented to

facilitate the enhanced e-learning solutions. Cloud imple-

mentation enables on-demand educational resources in

various format, which includes, e-books, audio, video and

other interactive materials to support enhanced learning.

Cloud concept can transform the traditional way of

teaching to engaging and interesting pieces of media to

support teaching which is more accessible, even outside

the classroom. This research paper highlights few similar

approaches which are adapted to provide enhanced

e-learning solutions by implementing some multimedia

tools, for educational resources development. The study

of the existing system will provide guidelines to incor-

porate changes, wherever required, to facilitate successful

implementation of cloud-based services to support edu-

cation technology.

Keywords

Cloud in education Education technology 

E-learning Interactive media in education 

Teaching and learning solutions

1 Introduction

Computing resources are being utilized in every sector

successfully enabling seamless working environment and

providing cutting edge to organizations in matching to per-

petually increasing competition. Although computerization

can exponentially increase the productivity, mobility and

beneﬁts of the organization however it does not come

without expenditure. Companies of late have been spending

huge amount of money on computing resources and devel-

opment of infrastructure that is essential for running infor-

mation systems, specialized applications, databases,

repositories and much more. Researchers some time back

perceived that computing resources can be provided as a

service (a utility) like any other service e.g. water, electricity,

internet etc. The biggest advantage in such an arrangement

would be the pay-as-you-go feature i.e. you need to pay

exactly for the computing resources you are availing and

second thing is, what one procures is exactly what is

required by him. Cloud computing a buzz word in modern

IT industry is on demand computing which provides com-

puting resources as a service. Various cloud service archi-

tectures are available however more prominent ones are

Infrastructure as a Service (IaaS), Platform as a Service

(PaaS) and Software as a Service (SaaS) [1]. These service

architecture and many other variants are being used by

various organizations and cloud service providers are pro-

viding appropriate computing resources to organizations

without any investment from the availing organization for

the infrastructure development, maintenance and

administration.

2 Cloud Computing in Education

Cloud computing in recent past has been adapted in various

organizations ranging from software development compa-

nies to automobile manufacturers, from broadcasting

V. R. Naidu (&)A. Z. Bhat

Middle East College, Muscat, Oman

e-mail: vikas@mec.edu.om

A. Z. Bhat

e-mail: azameer@mec.edu.om

B. Singh

Vivekananda Institute of Technology, Jaipur, India

e-mail: baldev.vit@gmail.com

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_11

companies to higher education institutions and many more in

order to avail maximum computing resources with minimum

investment, no administrative overhead and no maintenance

with a ﬂexibility of enhancing or scaling up the resources in

future as demand may arise. Cloud computing in education

especially in higher education has been utilized and there are

various precedents where cloud resources have been used in

Universities, colleges and higher education institutions to

cater to the requirements of students.

The use of cloud computing is very much common in

multimedia where high end and expensive multimedia

computing resources are being provided on demand facili-

tating students with on disposal various expensive software

products which otherwise would be very difﬁcult to procure

and access. Moreover cloud computing is also used in

teaching multimedia and assisting students in understanding

the concept of multimedia tools. Moreover cloud computing

can promote collaborative learning especially in multimedia

application enhancing the learning capability of students and

assisting teachers in effective lesson delivery [2]. The cloud

applications in (SaaS), users can ﬂexibly access their data via

a web browser from a computer system or a laptop in home,

at school or a library or any other convenient and appropriate

place, and achieve rapid and efﬁcient communication, col-

laboration, exchange or share documents, contacts, notes,

audio/video and other data [3]. The e-learning solutions

through cloud computing can be very effective in reducing

the cost of multimedia tools as well as requiring no main-

tenance or update moreover providing high level of security,

privacy and compatibility to the end users [4]. The multi-

media applications which otherwise are expensive to be

procured by colleges and small institutions and hence

depriving students of their use and learning, cloud comput-

ing offers an affordable solutions for such institutions to

subscribe for on demand computing completely appropriate

to the requirements of that institutions and facilitating stu-

dents to utilize services which otherwise won’t be feasible

and possible in normal circumstances due higher cost.

3 Cloud Concept for E-Learning

Cloud computing has been utilized in various sectors and

ﬁelds in the recent past and most of the organizations irre-

spective of scale and nature of work have beneﬁtted from the

implementation of cloud computing. On demand computing

resources leveraging the beneﬁts of the organization and at

the same time providing ease of administration, ﬂexibility,

scalability and manageability at an optimal cost. Cloud

computing has been utilized in education sector by many

reputed universities and institutions all over the world.

Cloud computing has been implemented in many higher

education institutions for providing the virtual lab environ-

ments to students of degree and diploma courses [5]. It has

also successfully been utilized by many higher education

establishments for e-learning and e-Resources. Many of the

educational establishments have implemented the learning

management systems on the cloud providing optimum fea-

tures of scalability, redundancy, fault tolerance and load

balancing yielding high performance without literally any

administrative overhead. Cloud services are also being uti-

lized in many higher educational institutions for providing

application services to the students and faculty members.

There are various examples of higher education establish-

ments availing SaaS (Software as a Service) for multimedia

application on pay-as-you-go basis which otherwise are very

expensive for educational establishments to purchase.

Cloud computing has certainly enhanced the capability of

educational institutions for providing e-learning resources

and enhancing e-learning in an educational setup. Cloud

computing has beneﬁtted higher education institutions in the

following manner.

1. IaaS (Infrastructure as a Service) has provided ﬂexibility

to educational establishments to avail a required hard-

ware resources at a considerably much lesser which

otherwise may not be monetarily feasible for the insti-

tution to procure. This has certainly enhanced capabilities

of educational establishments to implement e-learning

projects and services which require high end hardware

devices.

2. PaaS (platform as a Service) has given ﬂexibility in

choosing the appropriate systems software most suitable

and compatible for the organization.

3. SaaS (Software as a Service) has signiﬁcantly enhanced

the capability of educational establishments to provide

appropriate high-end application software to the students

at a never before price.

All the above factors have enabled higher educational

institutions implementing cloud services to enhance student

experience and provide better learning to students of various

courses.

Use of cloud computing in multimedia is not new, various

educational establishments all over the world are availing

different public cloud services to facilitate students of mul-

timedia with variety of application software for learning

multimedia concepts. As a matter of fact most of multimedia

high-end applications are very costly and could sometimes

be difﬁcult even for many good and proﬁtable higher edu-

cation institutions to procure. Multimedia based cloud is an

excellent idea which leverages maximum services and

facilities to students however at a much lesser affordable

cost, without even requiring high conﬁguration client

82 V. R. Naidu et al.

machines. As the applications are run on the cloud, any

machine which can run a compatible browser should be ﬁne

to access the multimedia cloud services [6].

Cloud concept utilizes audio and video to present a

complex concept in simpliﬁed and visual form, which is

further stored on cloud for multiple access simultaneously.

This is meant only for the key concepts, and not for the

entire course materials. But based on the complexity of the

course materials, it can be further extended to entire course.

This can be used as the enhancement technique for providing

easy-to-learn solutions to the students. In another word,

cloud concept for e-learning is very helpful for engaging

students especially in activity based learning environment,

such as ﬂipped classroom.

Few universities around the globe has successfully

implemented this concept in their campus for enhanced

learning experience among faculty and the students. As

shown in Fig. 1, the ﬁrst stage is to identify the key con-

cepts, for which audio-visual materials is to be developed.

These key concepts could be the complex ideas and for-

mulations, which cannot be explained using traditional

chalk-and-board method. In the next stage, media (learning

resource) is developed, to make these concepts, easy to

understand. Later the entire package of these learning

materials is uploaded on cloud by means of internet.

In order to make the session more engaging and inter-

esting, the developer or faculty has to make sure that these

audio-visual materials should be short and to-the-point.

Ideally it is recommended to have couple of short video

tutorial of 5–10 min duration, instead of having a longer

one. Moreover, it is important to note that implementation of

cloud concept involves some hardware and software

requirements at the campus, and hence it cannot be imple-

mented without the presence of this infrastructure.

Finally, it is important to design the assessments which

better suits such type of classroom. Activity based learning

requires specially designed assessments. These assessments

could be formative or summative in nature. The concepts

should be linked to the assessment tasks which is designed

in interactive platform. Some examples of such interactive

assessment includes, interactive quiz, online shared screen

such as Padlet, interactive videos etc.

4 Proposed Framework for Implementing

Cloud Concept

The cloud concept could be implemented in any educational

institution with a generic framework as suggested in Fig. 2.

Certain hardware and software infrastructure would be a

pre-requisite but it depends on the level of implementation.

The ﬁrst step in proposed framework is the analysis and

identiﬁcation of key concepts on which the media based

elements need to be developed in order to facilitate activity

based learning for enhanced teaching and learning experi-

ence. This include identiﬁcation of such topics or modules

which really need assistance of technology such as

e-learning resources which needs to be accessed even out-

side the campus.

The second step is the actual process of media produc-

tion, which involves development of audio-visual materials.

There are many free and open source tools which can sup-

port such e-learning resource development. Some tools such

as Screencast-o-matic can be used for developing video

tutorials of practical modules which involves usage of

toolsets. Other such free access tool includes VideoPad

video editor, Blender, Alice, Pencil2D etc.

The next stage in this process would be to transfer the

multimedia based services on the cloud. The optimal solu-

tion would be to avail a cloud services from a public cloud

service provider and take an appropriate subscription based

on the requirement of a particular educational establishment.

As the implementation of private cloud would result in huge

investment, most of the educational establishment would

prefer to go for cloud services that are provided by a public

cloud service provider. Moreover the security is not at all

any concern in this case as the student availing the service

would be working on their practical’s and projects related to

multimedia and no conﬁdential information would be shared

Key

concepts

Audio /

Video

(Media)

Internet

Cloud

Concept

for e -

learning

Fig. 1 Basic structure of cloud concept for e-learning

Analysis and

Identification of

Key Concepts

Media Production

(Audio / Video)

Publish on

Cloud

Implementation in

Activity based

teaching

Assessment,

Feedback &

Reflections

Fig. 2 Proposed framework

Cloud Concept for Implementing Multimedia Based Learning …83

on the cloud. The data of multimedia applications in case of

students is always a dummy data that does not belong to any

organization and has no signiﬁcance as far privacy and

conﬁdentiality is concerned.

Once the media is published on cloud, the access could be

provided to the students by sharing the hyperlink in their

module notes. Students can access these video resources in

the form of Video-on-Demand (VOD) service at their own

convenience and pace. The ﬂexibility of access is the key

factor, which deﬁnes the scope and level of implementation.

The e-learning resources must be accessed without any

glitches and to ensure this, the developer must take care of

multiple optimization factors of the media. Appropriate

activities such as interactive quiz, or games could be con-

ducted during the class sessions to access the students’

learning. Interactive video based applications such as Vizia,

allows students to answer quiz even during the video play-

back, based on the part of the video they have watched so

far. Apart from quizzes, it also allows students to cast polls

for some activities such as critical evaluations.

The assessment results and feedback provide a way to

draw recommendations on the practical implementation of

cloud concepts in e-learning which allows the faculty or

developer to further improve the learning resources at the

next level. It also enables the faculty member to identify the

potential areas of improvement in order to provide the best

possible learning resources to the students.

5 Conclusion

Implementation of cloud services in education in general and

multimedia applications in particular is a revolutionary

change which is yet to yield its full potential and beneﬁts.

The cloud implementations speciﬁc for education and min-

utely speciﬁc for areas in education like multimedia are

going to be very common in next few years. The appropriate

architecture, methodology and framework for implementa-

tion of cloud services in multimedia is the need of the hour

as this area still demands a lot of exploration and research

and certainly the scope of improvement is very vast. Cloud

services can certainly yield vast beneﬁts for multimedia

students by providing them infrastructure, applications and

services through cloud that are relevant to the multimedia

specialization and cannot be easily procured because of high

cost. Many of the students from various higher education

institutions from multimedia specialization are not able

comprehend essential concepts related to multimedia

because of lack of resources and infrastructure, being fair

enough to higher education institutions multimedia appli-

cations are very costly as well. However, students in these

educational establishments are deprived from the learning

because of lack of enough resources and infrastructure.

Implementation of cloud computing services for multimedia

applications can bridge the gap and may result in improved

student experience and learning. This paper is a mere effort

in the direction of facilitating better learning resources for

students of higher education institutions especially from

multimedia specialization.

Acknowledgements Authors extend their sincere thanks to the Man-

agement of Middle East College, Oman, for support. Special thanks to the

management of Vivekananda Global University, Jaipur, India for pro-

viding all possible guidance and support to pursue this research work.

References

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84 V. R. Naidu et al.

Diplomacy in the Internet Age—Challenges

and Opportunities for the UAE

Melissa M. Cyrill and Aftab Kamal Pasha

Abstract

In the United Arab Emirates, internet-based tools have

increasingly shaped recent political, social, economic,

and public interactions. The number of users of social

media platforms alone reﬂect a highly engaged online

community in the country. The multi-functionality of

internet-enabled platforms hosted on the Web 2.0, which

include blogs, microblogging sites (Twitter), social net-

working sites (Facebook), video hosting sites (YouTube),

and visual media sharing websites (Flickr, Snapchat,

Instagram)—offer a range of options to the government

and state agencies to promote certain narratives, gauge

public opinion, receive real-time feedback, promote

citizen engagement, and shape the interpretation of

events, policies, and goals. At the same time, high levels

of internet penetration expose Emiratis to local, regional,

and international news and communication. With this

background, the proposed paper examines how the internet

has changed communication and, thereby, the contours of

diplomacy, including the challenges and opportunities that

countries like the UAE face in the internet age of

information abundance and real-time sharing. Lastly, the

paper brieﬂy touches upon the regional security and

geopolitical challenges faced by the UAE, namely, the

threat perceived from Iran and Qatar, and the consequent

bolstering of new partnerships.

Keywords

Internet diplomacy Information age Digital com-

munication Public diplomacy Networked society 

Geopolitics of the UAE

1 Introduction

Over the course of the past decade, the internet has become a

pervasive part of the daily lives of individuals, business

operations, and interactions between citizens and their gov-

ernments in Arab countries, similar to the rest of the world.

In the Arabian Gulf states, internet penetration rates are the

highest among West Asian nations; by 2014, Qatar (95%),

Bahrain (99%), UAE (96%), and Kuwait (93%) had near

universal access to the internet, while the larger countries of

Oman (80%) and Saudi Arabia (67%) showed widespread

diffusion [1]. Mobile broadband access is also very high in

this region; it reached an average of 120.32% 2015, with the

UAE showing an access rate of 144.20% [2]. Statistics from

the online tracking source, Internet World Stats, noted that

by mid-2011, an estimated 72.5 million Arabs were internet

users; this grew to 250.3 million in early 2017 [3].

This increase in internet penetration has dramatically

altered the scope for mass communication—with the avail-

ability of a multitude of private and public platforms

of communication (from internet-based instant messaging

services to blogging and microblogging websites and

smartphone applications). Transformation of information

communication technologies (ICTs) has implicated all

media, including the traditional domain of television, news,

and radio. These established information and broadcasting

channels now utilise internet-enabled platforms to adapt to

the changing audience consumption patterns and to remain

relevant. Parallel to these developments, website blogs and

citizen-driven news sources have also emerged. These may

have relatively smaller user bases but function as outlets of

alternative information: offering real-time updates (including

ﬁrst-hand), using different mediums to engage with news

and entertainment (satire), adopting positions different from

what is mainstream or state-endorsed, and providing a range

of perspectives on world and local events.

This has been made possible because of how the internet

in itself has changed in the past ten years. While earlier,

M. M. Cyrill (&)A. K. Pasha

Centre for West Asian Studies, Jawaharlal Nehru University,

New Delhi, India

e-mail: melissacyrill@gmail.com

A. K. Pasha

e-mail: drakpasha@gmail.com

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_12

internet-based platforms like social media, video sharing

websites, and instant messaging services primarily fulﬁlled

social networking needs—connectivity, communication,

socialisation, and entertainment—now these channels serve

as veritable tools of news gathering and publishing, broad-

casting, governance, development, diplomacy, and business.

Control over news and information is, therefore, shifting

away from a few elite sources of provision via the dispersed

ownership of online content creators. And, nowhere was this

more evident than within the Arab world—from Africa to

the Levant to the Gulf kingdoms—during the uprisings from

2011, initially christened in global media as the Arab Spring,

and later, the Arab Winter.

To ensure the themes of this paper are clear, it is neces-

sary to explain how ‘diplomacy’is understood as a function

of sovereign states and as an exercise. Diplomacy, as used

here by the paper’s authors, refers to the practical and

established methods of inﬂuencing the decision making

process and behaviour of foreign governments and peoples.

Diplomatic objectives are secured through dialogue, nego-

tiation, and other non-coercive measures. Communication

strategies, thus, lie at the heart of diplomatic reporting and

dialogue. In fact, several deﬁnitions underline the synonymy

of diplomacy and communication; Constantinou [4] under-

stands diplomacy as “a regulated process of communica-

tion”, while James [5] calls it “the communication system of

the international society”, and Bjola and Kornprobst [6] talk

about the “communication among internationally recognized

representatives of internationally recognized entities”.

This is why the central premise of the paper is that the

future of diplomacy is intrinsically linked to and shaped by

the future of communication media—in effect, the commu-

nication technologies facilitated by the internet. A corollary

to this argument is that the revolutionary developments in

information communication technologies (ICTs) have both

challenged diplomacy (by virtue of accelerating connectiv-

ity) and created inﬁnite opportunities (via platforms for

innovative outreach). A simple but illustrative example is the

way microblogging or tweeting by diplomats and politicians

shapes public opinion, which is made powerful and perva-

sive by the networked nature of the internet.

Today, internet media enables governments and diplo-

mats to measure public sentiment and track changes in

public sentiment. This in turn feeds into the country’s public

policy and decision making processes. States realise that by

virtue of their ubiquitous user base and connectivity, internet

or online media can effectively stimulate direct two-way

dialogues with citizens, garner them immediate feedback,

allow them to course correct poorly received policies, and

achieve limited referendums. In this way, the internet

enables the process of political communication and inﬂu-

ences its outcomes. It has the capacity to increase partici-

pation in the political system and spread awareness, and the

nature of its networked platforms creates a multiplier effect

—allowing for the transmission of messages on a signiﬁcant

scale.

These developments tempt us to be techno-optimistic—

having excessive conviction in the liberating and empow-

ering value of new technologies—yet, such expectations

must be tempered. The world of the internet or cyber space is

not an innocent, progressive alternative to the real-world

space; the internet is merely a host to those who use it, and

reﬂects the perils, curiosity, ambition, prejudices, and aspi-

rations as experienced and asserted by those using it. This

means that while the fundamental reach of the internet can

be a force for positive and constructive change, it can be

equally disruptive or manipulated. This characteristic and

power of the internet directly feeds into the scope and

practice of diplomacy as it confronts new threats and new

goals. For instance, cyber space has now emerged as yet

another frontier, which has created a new category of

diplomatic initiative—that of digital or e-diplomacy.

To better appreciate the impact of the internet on diplo-

macy imperatives in the UAE, this paper will ﬁrstly analyse

the state of the internet in the UAE and its application in the

arena of diplomacy and civic engagement, followed by a

brief examination of the internet’s intervention in the con-

duct of diplomacy. With this supporting framework, the

paper will explore the challenges and opportunities for the

UAE in expanding its diplomacy initiatives in a

hyper-connected era, and will make a comment on its pre-

sent geopolitical status.

2 Internet and State-Society Relations

in the UAE

In the UAE, internet-enabled media have empowered locals,

opened up entrepreneurial opportunities, and improved

sociocultural linkages, while also exposing them to surveil-

lance and propaganda, among other things. Users of

internet-based media vocalise their thoughts on a variety of

subjects, and can communicate across a widespread geog-

raphy, irrespective of their gender, religious, or ethnic

identities, away from the immediate pressures of society and

family. This in itself is transformative, given the traditional

identity of the Gulf Arab peoples. Consequently, the Emirati

state and its institutions are keen participants on the internet,

both to promote state narratives and monitor the behaviour

of online publics. In the recent past, this has resulted in

greater citizen engagement and the cultivation of nationalist

pride, on one hand, while also in the crackdown on con-

troversial content or arrest of detractors, on the other.

The ‘Arab Social Media Report 2017’throws some light

on the users of internet-enabled media in the region. Its

ﬁndings indicate that the proliferation of ‘social media’and

86 M. M. Cyrill and A. K. Pasha

increase in its users have made these channels the de facto

form of interaction for the masses in the Arab world. This is

a departure from the initial stage of growth where access to

internet platforms were limited to the elite classes [7]. In

terms of access and usage in the UAE, a 2016 social media

survey by The National, an Emirati daily, found that

WhatsApp access had reached about 97%, Facebook usage

was at 89%, followed by YouTube at 73%. At that time, the

least used platforms were Snapchat at 27% and LinkedIn at

16%. Finally, the largest cohort of social media users

belonged to the age group 18–21 [8]. The youth demo-

graphic is a key feature of the Arab world’s internet land-

scape—almost 64% of social media users in the region are

under 30 years of age. In the UAE, the percentage of the

population under the age of 25 stands at 34%. A persistent

concern, however, is the gender distribution of Arab internet

users. Data collected by the Arab Social Media Report 2017,

for example, shows that only one out of three social media

users are female (2010–16) in the Arab world; this drops to

one out of four users in the Arabian Gulf states or 24.6% as

compared to 36% in North Africa [7].

Nevertheless, the overall penetration levels of internet

and social media in the region, and the UAE in particular,

has caused the Emirati government to utilise these domains

to actively engage with their citizens. In 2013, a national

brainstorming session was conducted for the ﬁrst time,

where citizens and members of Emirati society could reach

out and interact with respective UAE council ministers on

Twitter—they discussed a myriad of public policy matters,

such as healthcare and education. A report was subsequently

released titled: ‘From Majlis to Hashtag Engaging Citizens

through Social Media’[9]. Yet, contradicting the notion that

the UAE is socially engaged online is a short-term study by

Banu Akdenizli on how foreign ministers in the Gulf (UAE,

Bahrain, Qatar, and Saudi Arabia) use Twitter. Her conclu-

sions come from an in-depth analysis of 438 tweets between

October 1, 2016 and December 31, 2016 (this is part of an

ongoing larger study that tracks a total of 16 accounts,

including embassies, foreign ministries over a year-long

period) [10].

Akdenizli states that among the four analysed accounts,

the UAE had the most followers at 3.6 million, followed by

Saudi Arabia with 1.3 million, Bahrain with close to

350,000, and ﬁnally Qatar with 25,544. The UAE foreign

minister followed 562 people in October 2016, which

increased to 600 by December, that year. Of all the tweets

analysed by Akdenizli during this time period—39.2%

belonged to Qatar’s foreign minister, 33.7% came from the

minister of UAE, 22.7% from Bahrain, and only 4.3% from

Saudi Arabia. Almost three fourths (74.2%) of the tweets

were original content, 20.6% were retweets, and a mere

5.3% were reply tweets, indicating a lack of interest among

the leaders in using this online tool in an interactive manner.

Only 9% of all the tweets contained a ‘mention’(of another

account on the medium that will improve exposure), and

only 2.2% posted a question to their followers. One ﬁfth

(21.3%) of the tweets contained links—mostly to interna-

tional news websites. Hashtags enhance visibility, as they

can be potentially read by individuals who are not following

the said minister. Almost half of all tweets contained a

hashtag (44.7%), and almost 90% of them were merely

about marking a location [10]. The majority of the tweets

were in Arabic (65.1% in Arabic and 34.9% in English),

which is unsurprising; the introduction of an Arabic interface

resulted in the growth of Twitter’s user base to 6.5 million in

2014 (posting an estimated 10 million tweets a day) [1].

Evidently, the UAE is beginning to see value in culti-

vating its online presence, either through limited engage-

ment on popular social media platforms or in the sharing of

key information online. However, the country’s diplomatic

cohort will most certainly lose out in securing long-term

inﬂuence over public opinion if it avoids interactive com-

munication. This becomes even more signiﬁcant in the case

of shaping foreign public opinion, where the language of

communication is also important.

3 Informational Abundance and New

Threats in the Internet Age

Simplistically put, the internet structurally inverted the

few-to-many architecture of old media, during which time a

small number of people could inﬂuence and shape the per-

ceptions and beliefs of societies en masse. In the present day,

the “many-to-many environment”of the internet ensures that

every desktop and smartphone can function like a printing

press, a broadcasting station, and a place of assembly.

Transforming this role of the internet is what technolo-

gists refer to as the Web 2.0, which has enabled the creation

of new tools of media. The Web 2.0 is deﬁned as “the

second stage of development of the Internet, characterized

especially by the change from static web pages to dynamic

or user-generated content and the growth of social media”

[11]. The new social and interactive media channels hosted

on the Web 2.0 contribute to the growth of ‘networked’

relations in the virtual sphere that run parallel to and spill

over into the physical public space.

Analysing this conﬂuence of digital networks and society,

Manuel Castells has spoken of a ‘network society’where

important social structures and activities get organised

around electronically processed information networks [12].

Similarly, Kittilson [13] discusses the capacity of cyberspace

to function as a virtual civil society, and serve as a medium

for civic discourse, articulation, and deliberation.

Inevitably, the extended usage and added functionalities

of internet media affects the scope of their impact in the lives

Diplomacy in the Internet Age—Challenges and Opportunities …87

of peoples, governments, and corporations. Developments in

cyber space shape those in the physical world and vice versa

as social media platforms monitor the pulse of almost all

social, political, cultural, and economic matters—both on a

macro and a micro scale. This makes communication and

interactions online highly vulnerable to manipulation and

perception management. The US Department of Defense

(DOD) deﬁnes perception management as “Actions to con-

vey and/or deny selected information and indicators to for-

eign audiences to inﬂuence their emotions, motives, and

objective reasoning as well as to intelligence systems and

leaders at all levels to inﬂuence ofﬁcial estimates, ultimately

resulting in foreign behaviors and ofﬁcial actions favorable

to the originator’s objectives”[14].

Such far-reaching and behavioural changes activated by

internet use—in the way we work, socialise, network, and

interact with knowledge and information—also fundamen-

tally alters the scope and course of diplomacy. For instance,

the sheer volume of information available that can be shared

at any time, as well as the security of this information

challenge modern day diplomats as they try to stay ahead of

online forces—both commentary and reporting.

Today, the impact of new communication channels is felt

upon the core business of diplomacy, moving it away from

branding and image management to action-oriented dis-

course shaping. This is because what is published on the

internet, anywhere, shapes public opinion, everywhere, as it

gets shared through social media networks. Obar and

Wildman [15]deﬁne social media as “computer-mediated

technologies that facilitate the creation and sharing of

information, ideas, career interests and other forms of

expression via virtual communities and networks”.

The pace of innovation and development of stand-alone

and built-in social media services proliferating

internet-enabled devices challenge the scope of deﬁnition,

but the authors identify certain common features of social

media: they are Web 2.0 internet-based applications; they

host user-generated content such as text posts or comments

or ‘tweets’, digital photos, audio feed, videos, and other

graphic data; users can create service-speciﬁc proﬁles for the

website or applications that are designed and maintained by

the social media organisation; and they facilitate the devel-

opment of online social networks by connecting a user’s

proﬁle with those of other individuals or groups [15].

Popular social media include blog sites like WordPress

and Medium, microblogging sites like Twitter, video hosting

sites like YouTube, social networking sites like Facebook,

and visual media sharing sites like Instagram, Snapchat, and

Flickr. Content shared through these social media online—

status posts, tweets, memes, satirical productions, or

manipulated reports—can dramatically inﬂuence policies,

elections, mainstream public discourse, and political

communication anywhere in the world, regardless of its

origin or authorship.

Thus, on one hand, online media offers tools for social

justice activists (by enabling fast spread of real-time video

and audio content); on the other hand, it is open to abuse by

terrorist outﬁts and propaganda. Among the most visible

recent examples of the latter are the cyber intrusions and

propaganda during the 2016 American elections by

Russia-based hackers, and the sophisticated ability of ISIS

networkers to attract volunteers, from the world over, to ﬁght

for the ‘caliphate’in their captured territories across Iraq and

Syria.

Out of this level of penetration, inﬂuence, and real-time

impact has emerged what is now lexically established as the

era of ‘post truth’and ‘fake news’. In this climate of so much

information all the time, it becomes a matter of national

security as governments increasingly pay attention to what is

being communicated in their countries online and scrutinise

its verity and capacity to incite. Moreover, in this era of

informational abundance, as we spend most of our time on

smartphones, computers, and other technology devices—our

senses are routinely overwhelmed by the scope of informa-

tion available online. This is not to say that the quality of

information available to us is authentic at all times. Trolls,

bots, hacks, post-truths, and misinformation are as much at

the forefront of today’s online vocabulary as is cutting-edge

innovation and breadth of news coverage.

Powers and Hensman [16] of the US Advisory Com-

mission on Public Diplomacy provide clear and simple

deﬁnitions for the most common and unsettling forces that

manipulate people and content on the internet, namely,

trolls, bots, and hackers. Trolls can be understood as indi-

viduals who post content or comment on content posted by

others, essentially in order to undermine the latter. Trolls are

known for their strength in numbers—where multiple per-

sonalities post expressly to annoy, demoralise, and hurt their

targets. Bots are used in two main ways—to amplify content

on the internet and to mimic actual human beings online.

For example, on Twitter, one individual may control

several hundred bots, which can automatically retweet the

content of their favoured public personality (for example,

politician or celebrity). This creates the illusion of ‘virality’,

where the popularity of a tweet or hashtag becomes aug-

mented. Bots can respond to speciﬁc prompts using artiﬁcial

intelligence, for instance, by responding to breaking news;

they can also mimic human traits online and participate in

online conversations. Hackers cause disruption through

information theft or manipulation in order to undermine trust

in and the credibility of individuals, organisations, govern-

ment institutions, or systems [16].

These represent some of the unique yet omnipresent

threats of the internet age—causing insecurity on the very

88 M. M. Cyrill and A. K. Pasha

internet-enabled platforms through which we communicate,

learn, work, and interface with vital institutions. In fact,

these threats depict a shift towards the weaponisation of

information, its host channels, and content creators. It is no

wonder then that politicians and thought leaders have ceased

to pontiﬁcate on the emancipatory ways of the internet as a

medium that could unite the world, and foster peace and

prosperity.

Yet, it will be no less ignorant to simply dismiss the

capabilities of the internet; it dissolves barriers to knowledge

and people, and provides access to the thought-processes of

individuals and communities previously considered

un-connected or not part of ‘the conversation’because of

disenfranchisement or discrimination. Finally, ICT devel-

opments in data gathering and computing abilities allow

governments and corporations as well as inventers and

innovators to respond to real-time needs, opinions, emer-

gencies, threats, and opportunities.

4 Diplomacy in the Internet

Age—Challenges and Opportunities

for the UAE

Diplomacy may be understood as a component of a nation’s

soft power—the ability to wield inﬂuence without resorting

to coercive means, such as war and violence. Practitioners of

diplomacy or diplomats seek to achieve the goals set by their

government, through strategies and broad tactics that are

prescribed by the foreign policy wing of the government. As

such, foreign policy and diplomacy are not synonymous;

diplomacy is an instrument of a country’s foreign policy.

And, while a country’s foreign policy may employ the use of

intelligence agents, subversive tactics, war or threat of war,

diplomacy necessarily substitutes the use of force in the

course of statecraft.

The primary tools of diplomacy are international and

public dialogue and negotiation; its conduct is entrusted to

the country’s diplomatic corps, which is the body of

non-politically trained and accredited envoys as well as the

country’s political leaders. The foremost objective of

diplomacy is the furtherance of the country’s national

interests. National interest is derived from the country’s

geography, history, economics, and the distribution of its

power capabilities in relation to its neighbours and the

international system. This includes but is not restricted to

safeguarding the country’s sovereignty as well as its terri-

torial, political, and economic security. Diplomacy is,

therefore, a continuous process; it is usually conducted in

conﬁdence, and its achievements are often the subject

material of international relations.

The role and importance of a country’s diplomatic efforts

cannot be overstated enough. Through the course of their

work, diplomats shape the image of their country abroad,

and are key messengers of their government in their inter-

actions with foreign diplomatic agents and governments.

Consequently, the role of the diplomat can be expansive, and

responsibilities range from reporting information collected

on the ground, to serving as emissaries, to convincing

stakeholders at high-table negotiations that the decision or

policy of their home country is what is best for all concerned

parties. Having enunciated the work and broad contours of

what diplomacy seeks to achieve, as well as the dramatic

evolution of internet-enabled and internet-mediated com-

munication technologies in previous sections, the next sec-

tion will focus on understanding how diplomacy is changing

with the transformation of the internet.

In the UAE, recent geopolitical events such as the per-

ceived rise of Iranian inﬂuence, the impact of social media

during the regional uprisings from 2011 onwards, and

regional differences with Qatar as well as strategic and

economic ambitions, have come to determine the country’s

diplomatic agenda and agenda-setting process. Below are

highlighted some of the most important consequences of the

ubiquitous role played by the internet on the practice and

policy of diplomacy. The internet has both expanded the

dimensions of diplomacy and introduced new challenges,

ranging from the way it is now practiced to the threats

emanating from cyber insecurity and new methods of con-

ducting propaganda attacks.

4.1 Diplomatic Reporting

In their explanation, Parris and Bryson (2010) have asserted

that “communicating in the right way, in the right voice,

with the right people, in the right order of precedence was

often more important than the objective truth or wisdom of

what you communicated”[17]. While clarity, coherence, and

concise communication remains vital, it is the element of

correctness or truth that is the most challenged for diplomats

in the internet era, yet also the most important—unlike

previous times, due to the transparent accountability facili-

tated by the internet, on one hand, and its obfuscatory

capacity, on the other. The latter is in major part due to the

speed at which information travels in cyber space, and how

easily it can become entangled in value laden accounts.

Diplomats and statesmen are increasingly confronted by

the need to verify sources while also being required to report

on information as it unfolds on the ground; sometimes the

latter is a detriment to the former. Examples of this are more

liberally found among politicians as they cater to an

immediate audience of voters, such as re-posting of fake or

incorrectly presented facts, fringe opinion pieces, or even

satirical accounts. The stakes become high when it comes to

audio or video accounts of unfolding events, such as during

Diplomacy in the Internet Age—Challenges and Opportunities …89

the time of a conﬂict or emergency when the internet

becomes populated with real-time information on social

media channels.

At another level, the growth of ICTs offers “more per-

sonal and informal channels of communication”[18], which

may allow ofﬁcials in an embassy to seek conﬁrmation of

facts and opinion from other persons of interest that might

not result in accurate analysis. It can also become a

doubled-edged sword as it may compromise the independent

ability of an embassy to assess local developments.

4.2 Transmission of Government Messages

More important than ever before in the instant communi-

cation era facilitated by the internet is ensuring that foreign

governments receive a logical and consistent position from a

country. In other words, this means that diplomats and

political representatives of a government must speak in a

singular voice, present a reliable version of, say, a decision

taken or development that has unfolded—instead of having

multiple voices speaking multiple versions.

Perhaps the most relevant, and which will probably be

studied in depth in future, is the current Trump presidency in

the United States [19]. Known for his preference for Twitter

communiqués, it is now an oft occurrence that a message

from the American president gets contradicted by the

country’s foreign policy wing (State Department) or

spokespersons of the White House administration or the

Pentagon (Department of Defense).

This has had tremendous implications on countries who

previously considered the United States a natural ally or

looked to the US to provide security and other forms of

support—they can no longer trust America to be reliable.

The changing American position on Qatar, depending on

who was speaking (President, State Department, or the

Pentagon) in the context of the Gulf Cooperation Council

(GCC) blockade of the country is a relevant example.

4.3 Shaping Public Narratives

Public diplomacy is probably the biggest beneﬁciary in the

ﬁeld of diplomacy in the internet era. Deﬁned without

general consensus, it is an expansive term that simply

translates as people’s diplomacy. It accounts for

government-endorsed efforts aimed at communicating

directly with foreign audiences or the people of other

countries.

Public diplomacy entails a government’sofﬁcial efforts to

shape foreign opinion or cultivate support for the country’s

strategic objectives. The instruments of public diplomacy are

varied, and include statements by key decision making

authorities, targeted campaigns by government organisa-

tions, and efforts to persuade international media to

favourably project ofﬁcial policies to foreign audiences.

Here it needs to be mentioned that there are two main

types of public diplomacy.

The ﬁrst is ‘branding’or what may be understood as

cultural communication. This is how a government tries to

improve its image without seeking particular support for any

immediate policy objective. States use this type of diplo-

macy to foster a better image of themselves in the world, to

generate goodwill, facilitate cooperation across a variety of

issues, maintain long-term alliance relationships, and

undermine external propaganda. One example would be

Qatar’s successful bid to host the 2022 FIFA World Cup.

The UAE has utilised this category of diplomatic initia-

tive most constructively in recent times. The creation of

‘Brand Dubai’effectively and persuasively showcases the

emirate as a forward looking, open-minded, economically

diverse, and commercially attractive oasis in the often

fraught Arab region. This has generated positive appeal from

around the world, as Dubai is associated with enterprise and

a pioneering spirit, seen as a thriving tourist destination, and

is attractive to corporates, artists, and marketing gurus alike.

Media coverage and advertisement of major landmarks,

such as the Burj Khalifa, Burj Al Arab, or the Palm

Jumeirah, on one hand, and events like Art Dubai, Dubai

Music Week, Dubai Drumming, Dubai Property Show,

Global Village, Dubai Food Festival, and the Dubai Inter-

national Film Festival, on the other, create a dynamic image

of the city, its business environment, and its culture. This

branding then strengthens the UAE’s authority to wield

regional and international inﬂuence.

Political advocacy is the second category of public

diplomacy. It is designed to achieve speciﬁc and immediate

policy objectives, unlike the long-term perception manage-

ment of ‘branding’strategies. Some recent examples may be

examined to fully grasp this category of diplomatic exercise.

The UAE was quick among the GCC states to ensure that

its public diplomacy measures engaged with its citizens

On May 23, 2017, Qatar and the UAE suffered a diplomatic

breakdown when the former complained of a cyber-hack that attributed

false statements to its emir, Sheikh Tamim bin Hamad Al Thani.

Subsequently, in June, a coalition within the GCC, led by Saudi Arabia

and the UAE, imposed an embargo on Qatar—shutting access to air,

land, and sea routes; Qatari diplomats and residents were also expelled

from the blockading states. The states of Saudi Arabia, UAE, Bahrain,

and Kuwait claim that Qatar has maintained unacceptably cordial

relations with Iran, has worked to promote terrorist activity, and has

meddled in the internal affairs of its neighbours. The countries have

asked Qatar to shut down its ﬂagship media channel, Al Jazeera. This

diplomatic impasse remains.

90 M. M. Cyrill and A. K. Pasha

during the aftermath of the neighbourhood uprisings (from

2011 onwards), and successfully maintained the country’s

political stability. Carrying forward the example of the

ongoing GCC crisis with Qatar, political advocacy initiatives

involve UAE diplomats and royal ofﬁcials convincing for-

eign publics, including those within the GCC, about the

validity of their claims.

More generally, public diplomacy initiatives under this

category attempt to secure the cooperation of leaders of other

countries, and minimise chances of the latter facing a

domestic backlash over unpopular actions. For instance,

after the takeover of Crimea in 2014, a move towards his-

torical validation was made by Russian state media, creating

an alternative perspective that might be accepted by people

in the countries that are seen as its allies.

4.4 E-Diplomacy

The application of internet media to the ﬁeld of diplomacy

has happened in the domain of public diplomacy as it is the

branch that interacts with societies at large. This channel of

diplomatic interaction is popularly and variously referred to

as e-diplomacy, digital diplomacy, cyber diplomacy, or even

Twitter diplomacy. Further, the expansion of this interface

between diplomats and political ﬁgures on one hand, and

foreign and domestic publics on the other, reduces the

insularity of traditional diplomacy.

Use of internet tools like social media transcends the

hierarchy of diplomatic communication, and includes ordi-

nary people in the political process by engaging in direct

(albeit not face-to-face) and sometimes sustained dialogue—

instead of the previous process of unidirectional messages

either through holding events, signing Memoranda of

Understanding (MoU), making speeches, or publishing

articles. Also, by virtue of its interactive operability and its

instant ability to share content, messaging and signalling by

diplomats and political actors on social media are now

exposed to immediate and universal scrutiny.

An array of amusing and bemusing instances become part

of the 24-hour news cycle as such actions or inactions are

labelled political or diplomatic faux pas at best, or dominate

the conversation at worst because it deprives the government

of control over its own policy narrative. This could be a

handshake, a mistaken or awkward or unsuitable gesture, or

statements made in an emotional or excited state, or errors

made during ‘live tweeting’. Once the image is clicked or

post updated or tweet sent, the rapidity of access can spin the

issue out of control. Here again, America’s experiences

under the Trump presidency can prove to be instructive to

those who study and practice public diplomacy via the

internet domain.

4.5 Cyber Security

The rapid expansion of the internet’s user base has left it

more vulnerable to attacks and underhanded forces than ever

before. This includes deliberate strategies such as the use of

trolls and bots—as explained in the previous section, mis-

information campaigns like fake news, online content like

memes and photoshopped images meant to inﬂame its

audience, and the work of hackers such as the Wikileaks and

the e-mail leaks of high-ranking ofﬁcials during the US

elections, among others.

All of these present a whole host of threats to today’s

diplomats who necessarily share sensitive information

through online networks, and may inadvertently expose

themselves or their state’s agendas. The accusations hurtled

between the UAE and Qatar in 2017–18 is a useful

case-in-study.

4.6 New Imperatives for Diplomatic Training

Diplomatic corps around the world are now having to be

trained and retrained to function effectively in this

all-information, all-the-time ecosystem of the internet.

Nirupama Rao, India’s foreign secretary from 2009 to 2011,

makes some insightful observations in this regard. She

observes how the diplomat has become naked with his/her

smartphone—exposed at all times, and subject to the over-

sight of whole social media platforms whose subscribers

equal the populations of large-sized countries.

As Rao notes, “The demands of openness and trans-

parency in policy deployment and articulation, real-time

communication, countering fake news and alternative facts

in a post truth world, clarity and conciseness, are all upon

diplomacy”[20]. The Australian security specialist, Rory

Medcalf, further notes, “The job descriptions for hacks,

spooks, diplomats and wonks are becoming less and less

distinct …when a crisis or event breaks across the 24 hour

information cycle, pioneers from each profession ﬁnd

themselves turning to fast-paced, ﬂexible social media—

Twitter, blogs, Facebook, YouTube—to help make and

project succinct meaning in a world of noise”[20].

Thus, modern day practitioners of diplomacy must not

only possess the ability to communicate clearly, courteously,

concisely, and comprehensively; they need to be trained in

the use of technology and online tools, to keep abreast and

Diplomacy in the Internet Age—Challenges and Opportunities …91

ahead of the news cycle—in order to secure the state’s

control over its agendas.

5 Geopolitical Challenges Facing UAE

Diplomacy—A Brief Examination

The Arabian Gulf states perceived the 1979 Iranian Revo-

lution as having destabilised the regional security architec-

ture. To contain revolutionary Iran, countries in the Arab

Gulf formed the Gulf Cooperation Council (GCC) in 1981,

and supported Iraq in its war with Iran from 1980 to 1988.

While, subsequently, these states tried to normalize ties with

Iran, the 1991 invasion of Kuwait by Iraqi forces perma-

nently changed the security conﬁguration of the region.

In the following decades, the terrorist attack on US soil

on September 11, 2001 acerbated regional tensions to some

degree, although, the 2003 invasion of Iraq by American

forces is what eventually precipitated geopolitical conse-

quences that have since shaken the security mapping and

defence architecture of the region. This is because with the

downfall of President Saddam Hussein in Iraq, the country—

once a powerful international and regional actor—fell into a

political and security vacuum, resulting in ﬁghting between

competing groups from different ethic and sub-religious

communities.

Ultimately, distance and costs of war shaped American

post-war reconstruction efforts in Iraq where the support of a

Shia (and presumably pro-Iranian) candidate as president of

Iraq shook the strategic calculus of Sunni Arab kingdoms in

the GCC, namely, Saudi Arabia, UAE, Bahrain, Kuwait,

Qatar, and Oman. This is because some of these Arab Gulf

states anticipated an increase in Iranian inﬂuence in Iraq,

alongside its efforts in Syria, its support of the Shia militia

group Hezbollah, Hamas in Palestine, and Shias in Bahrain

and elsewhere in the region.

The Arab uprisings of 2011 further stoked anxiety in the

GCC kingdoms, which have been known for their political

stability and relative economic security and wealth. In the

aftermath of the uprisings, Iran’s participation in Iraq and

intervention into Syria through the Hezbollah militia, as well

as the rise (although short lived) of the Muslim Brotherhood

and President Morsi in Egypt, caused the GCC states to

bolster their security diplomacy. A Shia crescent was added

into the region’s geopolitical lexicon (by the Jordanian King

Abdullah), based on threat perceptions of Iran’s political

ambitions; a fear invoked due to Iran’s constant appeal for

regional prominence (as communicated by its previous

President Ahmadinejad as well as its Ayatollah), and despite

the Western sanctions imposed on it due to its nuclear

program.

Iran still continues to be considered a formidable threat;

particularly since the diplomatic opening overseen by the

previous US President, Barack Obama. In the context of the

UAE, Iran has refused to meet the Emirates’demand to

vacate its three islands, which it forcibly occupied in 1971

when the British colonial forces withdrew from the Gulf

region. Although Dubai has considerable commercial ties

with Iran due to Western sanctions on Tehran—the death of

King Abdullah of Saudi Arabia and succession of King

Salman and inﬂuence wielded by his son, Crown Prince

Mohammad bin Salman, as well as the backdrop of the Arab

uprisings, emergence of ISIS in Iraq and Syria, and growing

religious extremism in the region—has changed diplomatic

and foreign policy objectives for the UAE.

Increasingly, and more publicly, the Emirate of Abu

Dhabi and Saudi Arabia seek to ﬁll the region’s leadership

vacuum, more so in the context of America’s strategic retreat

from the region under erstwhile President Obama. After the

visit of the new US President Donald Trump to Saudi Arabia

in May 2017, the UAE retook the initiative, and with Saudi

Arabia, launched an activist foreign policy that resulted in

two situations of recent note. First, it joined Saudi Arabia’s

intervention on behalf of the Yemeni regime in Sana’ato

ﬁght Houthi rebels and the armed forces swearing allegiance

to the ousted President Saleh. Second, it engineered the

diplomatic alienation of Qatar over the country’s perceived

support of enemy actors such as the Muslim Brotherhood

and Iran. This led to somewhat closer ties with President

Trump’s USA. Nevertheless, the challenge facing the con-

duct of diplomacy by any state in the region is to keep apace

of the multiple and parallel role of external and non-state

forces and their inﬂuence.

Currently, the UAE enjoys stable and thriving relation-

ships with the EU and India. The UAE remains focused on

building its strategic depth, fostering ties with security allies

like Saudi Arabia and Egypt, and establishing a diversiﬁed

and technologically advanced economy—all of which have

reshaped its international and bilateral relationships. It

appears that the UAE’s political and strategic position is

much better under the new circumstances.

6 Conclusion

The transformative changes to the internet and its enabled

technologies present an array of threats and opportunities for

the ﬁeld of diplomacy. This is also the case with the UAE,

where, in addition to the general impact of the internet

ecosystem on diplomacy, it confronts geopolitical challenges

as well. These political and security threats can adopt

internet-based tools to further test Emirati diplomatic

imperatives, such as through external media propaganda

shared online. Nevertheless, the developments in ICT will

not move backwards, and diplomats in today’s corps need to

be trained or retrained in the use of internet-enabled

92 M. M. Cyrill and A. K. Pasha

technologies to minimise their exposure to various online

threats, such as fake news, hacking attacks, unaccounted

facts, and extremist views masquerading as legitimate

opinions. Finally, geopolitics is always in a state of ﬂux, and

the Arab world is unfortunately a tragic entanglement of

states as well as non-state actors at odds with each other.

The UAE, with its striving towards a progressive national

character and being an oasis of calm, will need to adopt

sophisticated diplomatic techniques, such as online civic

engagement to ensure that its public image stays true to the

narrative intended by its government.

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Diplomacy in the Internet Age—Challenges and Opportunities …93

Enterprise Product Management

in the Digital World

Zornitsa Nikolova and Roumiana Antonova

Abstract

In the digital era, businesses in any industry are being

transformed fundamentally to stay competitive. Innova-

tion is increasingly shaped by changes in technology,

development methodologies, and the ways in which

consumers make purchase decisions, demanding changes

throughout the entire lifecycle of a digital product. The

lifecycle of digital products becomes more and more

complex with the need to embrace new business models

for creative businesses, including the increasing role of

business networks and collaboration to offer related

products and services. Product management in the digital

world is thus transformed to include data-driven decision

making, collaborative ownership, incremental thinking,

and continuous learning.

Keywords

Strategic management Innovation Intrapreneurship 

Creative business Enterprise product management

1 Introduction

This paper discusses the impact of the digital transformation

on enterprise product management, particularly in product

companies that adopt digitalization to transform their busi-

ness models, or are offering products that help other com-

panies in their digital transformation journey. In this process,

innovation is increasingly shaped by changes in technology,

development methodologies, and the ways in which con-

sumers make purchase decisions, demanding changes

throughout the entire lifecycle of a digital product from its

conception, through creating product vision, strategy, road-

map, implementation plan, to its pricing, positioning and

ongoing innovation. The lifecycle of digital products

becomes more and more complex with the need to embrace

new business models for creative businesses, including the

increasing role of business networks and collaboration to

offer related products and services.

Yet, enterprises that have been on the market for years

seem to be managing their products using traditional para-

digms, which have worked previously but are not suited to

serve companies in their way forward. The questions that are

discussed in this paper are:

1. What are the changing requirements of the digital world

to product management in enterprises?

2. What are the methods, tools and frameworks that need to

be put in place in enterprises to enable the intrapreneurial

development of successful products for the digital era?

2 Digital Transformation and Implications

on Product Management

The term “digital transformation”has become widely used,

yet to understand the impact that it has on every aspect of the

organizations operations, we need to look at its deﬁnition.

A good deﬁnition is provided by IMD:

“Digital Business Transformation is Organizational

Change through the use of Digital Technologies and Busi-

ness Models to Improve Performance”[1].

This deﬁnition implies that the transformation enabling

business to use technology for achieving better results is also

related to profound changes of processes and business

models changes that require also building different mindsets

and behaviors in the people who work for the organization.

It is a transformation happening in the context of high

dynamics on the market and in the technological sphere,

Z. Nikolova (&)

Leanify Ltd., Soﬁa, Bulgaria

e-mail: zornitsa.nikolova@leanify.com

R. Antonova

Faculty of Mathematics and Informatics, Soﬁa University, Soﬁa,

Bulgaria

e-mail: dr.Antonova@t-online.de

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_13

which imposes the need for high-speed innovation and

delivery. Furthermore, the change of business models affects

how products and services are deﬁned and managed

throughout their entire lifecycle, and this is an implication

that we are discussing next.

2.1 Rethinking the Product Lifecycle Model

for Digital Products

A traditional product lifecycle model, as described in

research literature comes from a product sales perspective

and reﬂects the life of the product in the marketplace (see

Fig. 1). It starts at the point when the product is ﬁrst intro-

duced to the marketplace as a complete product offering, and

goes through a phase of market growth until it reaches its

peak at the product maturity level.

In this model, product development is not considered part

of the product (sales) lifecycle. However, in this paper, we

argue that it is a rather reactive model serving only partially

to the concept of product management, as it addresses

mostly launch and post-launch activities in a more or less

traditional business model for digital products. We believe

that a technology product that may be delivered as a com-

ponent of different business models, such as on-demand

offering, or as part of a full-service delivery, actually starts

its life much earlier. This is further emphasized as the pro-

duct development discipline evolves to include customer

co-creation paradigms, where customers are exposed to the

product in its early stages, and actively participate in its

creation.

Furthermore, the lifecycle of a product may not follow a

linear ﬂow, as the product might be enhanced or offered

through a changed business model later in its lifecycle,

which may actually change the line of its lifecycle devel-

opment. A proactive model requires that we discuss the

product lifecycle from a broader perspective starting with the

product discovery phase, which requires identiﬁcation of

opportunities, and shaping the product as a solution to a

discovered problem. We also need to reﬂect the opportuni-

ties that technology and new business models provide for

extending the maturity line and opportunities on the market

for this product. Hence, a redeﬁned product lifecycle concept

looks as depicted in Fig. 2.

Through an extended product lifecycle model the goal is

to extend the period of the product lifecycle, during which

the product actually generates value (by introducing it as

early as possible, already in the development phase, and by

extending the maturity phase with sustaining innovation, as

deﬁned by [2]), and optimize investment during the product

lifecycle, so that return on investment is maximized, and the

enterprise can free up resources for subsequent innovation.

2.2 Implications for Product Management

in Enterprises

Product management is a discipline that is not very strictly

described and understood. As we are talking about digital

products, we would like to leverage the framework deﬁned

for software product management by the International

Software Product Management Association (ISPMA) [3]—

see Fig. 3.

The ISPMA product management framework describes

the key areas where product managers operate and take

decisions—these are partially strategic management (mostly

for market analysis and product analysis), product strategy

and product planning. The other activities required for a

successful product development, marketing, sales and dis-

tribution, service and support, the product manager is an

orchestrator, a central ﬁgure that directs and aligns all

stakeholders in the process. Deﬁned like this, the product

manager shall take on mostly strategic decisions, while

navigating and supporting operational activities.

A recent survey conducted by [4] however, shows that in

more than 50% of the cases product managers are primarily

tactical players, rarely engaged in real strategic decisions.

The extended product lifecycle model that we discussed

Fig. 1 Traditional product lifecycle model Fig. 2 Extended product lifecycle

96 Z. Nikolova and R. Antonova

above, creates a few implications on how the product manager

shall engage and navigate the product lifecycle particularly, it

puts a lot more focus on the product discovery and develop-

ment phase, which is now part of the value generation curve as

well, combined with a change of major decision-making

paradigms used to manage product lifecycle.

While traditionally, investment decisions have been made

based on forecasts about market realization and engineering

cost, and a go decision typically results in a development

project, during which the organization is focused to produce

the product without caring to check or challenge the previ-

ously made forecasts, extending the lifecycle means being

able to check and adapt assumptions and forecasts much

earlier, before major investments have been made. These

approaches transform the subsequent product development

steps from a linear into an iterative model, which requires a

change in how the lifecycle is being managed. Furthermore,

they put more focus on the strategic role played by the

product manager from the very start of the product lifecycle.

In addition, the possibilities to extend the product life-

cycle through maturity deﬁne a longer engagement for the

Product Manager in sustaining innovation activities. Being

often referred to as mini-CEO [5], the Product Manager

becomes a true owner and long-term strategic thinker when

it comes to taking the maximum out of the product.

Product management in the digital world is thus trans-

formed from a plan-driven, carefully organized process to an

experiment and learning-driven, iterative work, which

requires a change in organizational culture and mindset to

enable collaborative ownership, incremental thinking, and

continuous learning. Such a culture is characterized by:

•Data-driven decision making empowered by technolog-

ical advancements, such as big data, machine learning,

and artiﬁcial intelligence

•Customer proximity and ongoing stakeholder collabora-

tion, as well as early participation of technology experts

in strategic-level initiatives

•Rapid innovation through iterative road mapping, plan-

ning, and development based on feedback loops, com-

bined with end-to-end orchestration of product-related

activities throughout the entire product lifecycle.

Fig. 3 ISPMA product management framework

Enterprise Product Management in the Digital World 97

2.3 Data-Driven Decision Making

Enterprises are in the favorite position of having a lot of

customer data already gathered, and also having the

resources to enable gathering even more targeted data.

According to an MIT research [6] however, companies lack

the capabilities and skills to use big data for their purposes.

At the same time, [7] has published a number of case studies

that show the opportunities with respect to using data to

enhance opportunities for business.

In a product management context, such opportunities can

transform into identifying now unmet needs of existing

customer base, and addressing them with new products, or

adding more value streams to existing business models. For

example, the business model for a platform solution might

be extended with additional product assets, such as content

delivered as a separate add-on based on analysis of the use

cases of existing customers with the help of collected and

analyzed usage data. Alternatively, an extension of the

business model might involve collaborating with third-party

vendors to create ecosystems and thus more attractive value

proposition.

2.4 Collaboration

The increased focus on achieving market ﬁt as early as

possible further stresses upon the role of the PM as an

orchestrator of various product-related activities, and pushes

towards early inclusion of different stakeholders into the

product lifecycle activities to prevent unnecessary iterations,

increase information at any point, and minimize wasted

effort. This means that roles such as development or mar-

keting, that are typically engaged much later in the process,

in the new setup will need to get involved early and provide

their knowhow to design and run meaningful experiments.

For example, including marketing and sales experts in pro-

duct discovery activities, including market and competitive

product analysis brings additional perspective that is valu-

able for creating a viable and desirable product offerings.

These stakeholders can provide valuable input and feedback

during product development phase, and also bring important

insights from the market in subsequent product innovations.

2.5 Iterative Work

Adopting the mentality of fast experimentation aimed at

getting the product on the positive sales curve as early as

possible, easily excludes the idea of plan-driven product

activities in any part of its lifecycle. Product discovery is a

naturally iterative work, as it requires that a lot of experi-

ments are planned, executed, and run in short periods of

time. Incremental thinking needs to be kept in subsequent

phases though, as it enables transparency into the value

buildup to the point when the product is marketable and can

start delivering value. A plan-driven approach here means

locking this opportunity into a relatively long and linear

product development process, which is counterproductive to

the goal of minimizing time-to-market and kicking off value

generation. When applied to the overall way of planning and

managing the product lifecycle, iterative work means setting

a long-term vision for the value that the product shall create,

and working towards this vision with a series of shorter-term

operational goals deﬁned in an iteratively developed and

re-assessed product roadmap, which focuses on speciﬁc

desired outcomes and metrics to assess success rather than a

plan for speciﬁc features to be implemented in the product.

3 Methods, Tools and Frameworks

Methodologies, such as Agile software development, Lean

Startup, and Design thinking are already largely familiar and

applied in a number of companies, including large enter-

prises. Their application however is often localized to

speciﬁc departments and speciﬁc phases of the product

lifecycle. For example, Agile methods are being used in the

product execution phase to speed up delivery, while design

thinking and lean startup concepts are applied in the initial

phases of product discovery, and might be done by separate

“innovation”departments. Thus inn ovation creation and

product management remain separated as the product dis-

covery phase is separated from the rest of the lifecycle

(creative as opposed to execution phases). These applica-

tions focus mostly on the project management aspect while

product management implications remain partially addressed

and understood. In this paper, we look at the potential that

these methodologies bring to product management from the

perspective of the entire product lifecycle and the required

orchestration by product management. A holistic approach,

incorporating product conception phase into the overall

product lifecycle, and taking advantage of development

methodologies supported by technological advancements

such as big data, will reshape the product management role

into a more entrepreneurial and strategic paradigm, consis-

tently integrating execution into an iterative model of pro-

duct development and launch.

The concepts that we discuss in this paper, applied sys-

tematically and consistently throughout the product lifecycle,

support the needs of product managers for a learning-driven

process. They are based on collaboration and inclusion of all

major stake-holders in the process—hence, the role of the pro

duct manager as a driver and an orchestrator of different

activities is additionally strengthened.

Let’s look at the separate concepts brieﬂy.

98 Z. Nikolova and R. Antonova

3.1 Lean Startup

Lean Startup [8] is a methodology that has evolved around

the speciﬁc management needs of starting businesses. It

builds on 5 key principles:

1. Entrepreneurs are everywhere

2. Entrepreneurship is management

3. Validated learning

4. Innovation accounting

5. Build-measure-learn

The build-measure-learn loop (Fig. 4) is related to the

concept of Minimal Viable Product (MVP)—a minimal

subset of the product and its features needed to run a speciﬁc

experiment and collect data, so that we can proceed to the

next step of learning.

A publication from 2014 [9] presents a review of com-

panies that apply Lean Startup methods and suggests as key

beneﬁts the formation of entrepreneurial culture within the

enterprise, as well as the creation of products customers

love.

Lean Startup is mostly associated with disruptive innova-

tion and completely new products. Hence, its application in the

product discovery phase is essential to support the organiza-

tion into identifying products that are worth investing in.

Many traditional organizations face the challenge of ﬁnding

truly innovative ideas while ﬁltering out projects that do not

satisfy the innovation criteria for viability, desirability, and

feasibility. Lean Startup is a model that addresses these chal-

lenges. In companies applying these principles, product

managers work with their teams early on to analyze the mar-

ket, and start experimenting with it to ﬁnd a problem/solution

ﬁt, and later a market ﬁt as well. In some organizations, this is

done in speciﬁc innovation teams that work on ideas and then

hand over for delivery to other departments.

This approach works when we are talking about new

products. However, we consider Lean Startup a necessary

philosophy for any product development, even in established

markets and domains as a way to focus product managers on

optimizing return on investment throughout the entire life-

cycle of the product. Applying a validated learning mecha-

nism through the already established channels of the

enterprise can beneﬁt the sustaining innovation of existing

products, so that better investment decisions are made. One

example of such application is a product, which has reached

a plateau of sales. The product manager uses data collected

through the existing customer base to identify major use

cases and identify major investment opportunities for the

next releases. An MVP is then created for the new capa-

bilities that are planned for the product, and further experi-

ments are run to collect data from the customers and make

decisions as to which are the next features with expected

signiﬁcant return on investment that shall go into the

roadmap. This requires that product managers in the orga-

nization are familiar with the approach and have access to

the data they need to run experiments and take decisions.

The Lean Startup movement has spurred the creation of a

series of tools and practices that can ﬁnd their way into how

enterprise products are being created and extended. The

Lean Canvas [10] is an instrument that can be used for initial

mapping of product-related ideas, but it is also a helpful

instrument when it comes to extending features and devel-

oping the product further along its maturity line. The canvas

is also a valuable tool for identifying potential business

model changes that can impact the product lifecycle as well,

such as offering additional services or product supplements

through a business network. One example is identifying

business content as part of the value proposition of an

already existing enterprise business system, and ﬁnding

partners in the ecosystem who can provide such content.

3.2 Design Thinking

Design thinking is a process for creative problem solving. In

the context of product management, it is an instrument that

combines very well with the Lean Startup and Agile para-

digms and provides a structured approach to examining the

problem domain and providing tested solutions—that is, it is

an excellent approach that can be applied when looking for

solution and market ﬁt.

The process goes through ﬁve steps (Fig. 5), and we can

iterate between any two steps as long as we have identiﬁed

Fig. 4 Lean startup cycle

Enterprise Product Management in the Digital World 99

the need to go back and change our starting point. This is

done until the problem is well-deﬁned in a Point of View

(POV), and a prototype is successfully tested with the target

potential users. Design Thinking uses a toolbox that supports

the development of empathy and shared understanding in the

team about the problems being solved and the added value

provided with the solutions, such as personas, customer

journey maps, storyboards, and so on.

As with Lean Startup, Design Thinking is primarily used

in the initial phase of product discovery. However, it can be

applied at a later stage too for examining speciﬁc problems

that the product needs to address with its subsequent inno-

vation. For example, a decision about investing into a mobile

application or a desktop application for a speciﬁc function of

an enterprise product requires good understanding of the

need and potential users. This is a good use case for applying

design thinking, and it may come at a relatively late stage

from the product lifecycle, for example when considering

sustaining innovations that can keep the product competitive

on the market, thus extending its maturity phase. Further-

more, the artefacts created as part of the design thinking

process, such as customer personas or journey maps, are

valuable instruments for addressing sustaining innovation

through enriching customer experiences and extending value

propositions. Both Lean Startup and Design Thinking are

concepts that focus product managers on fast learning

through experimentation and testing.

3.3 Agile Methodologies (Scrum)

Complementing knowledge of Lean Startup and Design

Thinking concepts with understanding of Agile processes

creates a framework for execution of the product manage-

ment functions in an iterative way. Scrum is a framework for

complex project execution. It deﬁnes 3 roles, a few rules,

and a simpliﬁed process model, which can be applied to any

type of activities that require team work in a dynamic

environment. It is based on iterative incremental approach,

which facilitates the process of designing and running

experiments, and building up a validated product [11].

Using Scrum as a methodology for governing the product

development phase is already a standard. According to

recent surveys conducted by Version 1, the majority of

surveyed companies apply Scrum or a modiﬁcation of

Scrum for product delivery.

Scrum however, does not explicitly cover the point of

product discovery, and therefore needs to be combined with

the previously discussed methods, so that we can cover the

end-to-end product lifecycle. The product discovery work,

based on the principles of Lean Startup and following the

Design Thinking process, can however be organized and

executed according to Scrum rules. For example, experi-

ments related to identiﬁed product risks can be planned and

run in weekly iterations [12]. Subsequent product manage-

ment work on clarifying detailed requirements and preparing

them for execution can also run in iterative mode.

Work in iterations with frequent feedback cycles enables

product managers to transform their work completely and be

much more ﬂexible with respect to changes in the market. It

enables inspection and adaption for all major artifacts related

to the product lifecycle—roadmap, backlog, marketing and

sales material. An iterative approach to road mapping is

described by [13] with the Goal-Oriented (GO) roadmap

framework. It integrates the principles of validated,

metrics-based learning from the Lean Startup model with the

idea of iterative development from Agile, to deﬁne a new

road mapping model based on setting product goals, rather

than specifying features.

This leaves space for experimentation and adaptation

according to results, and leads to products that are designed

to respond to identiﬁed needs and achieve the market targets

set by the organization. Product backlogs are ﬁlled and

prioritized according to these goals and the learning done in

each iteration. Last but not least, marketing and sales

Fig. 5 Design thinking process

100 Z. Nikolova and R. Antonova

activities and materials can be iteratively designed based on

iterative product roadmaps to achieve better results as well.

With marketing and sales stakeholders involved in the pro-

cess as early as product discovery and development, learning

for them happens also throughout the entire lifecycle,

bringing marketing and sales much closer to product man-

agement and aligning communication across the

organization.

3.4 Putting Tools Together

The tools and methods discussed above have evolved around

speciﬁc needs discovered with respect to creating and

managing products but they are mostly seen as product

development tools. Looking from the perspective of the

extended product lifecycle and the Product Management

needs thereby, those tools can be applied throughout the

entire lifecycle and support the creation of culture that

empowers experiments, learning, and value discovery at any

point of the product manager’s journey. Figure 6outlines

the potential for such applications.

3.5 Examples of Application

Examples of how these concepts are applied can be found in

large enterprises such as SAP. The company has been using

Agile methods to manage its development processes for

more than 7 years, and in the past years has complemented

its toolset by applying design thinking in the product dis-

covery phase, as well as throughout the process of creating

its products. These are also complemented by Lean Startup

concepts to create a build-measure-learn cycle [14]. Design

thinking combined with Lean and Agile principles lies

behind the evolution of the latest SAP products, innovating

core ERP offerings and delivering more value to new and

existing SAP customers [15].

The author of this paper has several personal examples of

applying these concepts in a large enterprise. One of them

comes from a product that was assessed as reaching the

decline phase and being considered for sunsetting. Road-

maps were being developed for replacing it by a third-party

solution. While testing the direction with current product

users, product management received a very negative reac-

tion, and considered a different approach. Using the tools

provided by Lean Startup, namely Lean Canvas, the product

was reassessed against its major target users and the prob-

lems that were being solved. New opportunities were spotted

for extending the solution with new mobile capabilities, so

that it becomes competitive and can generate additional

revenue. These opportunities were further developed and

assessed through a series of experiments, using Design

Thinking approaches to reﬁne personas and come to a

desirable, viable, and feasible product offering. The experi-

ments were based on data collected previously from the

current users, as well as additional data, collected in testing

with new potential users of the product. As a result, an add

on was created, which triggered new revenue streams and

effectively extended the legacy product lifecycle while

adding value to the organization as a whole.

A similar example from a different domain involved

rediscovering the needs of current customers and providing a

new generation of an already existing solution that is better

targeted to support clients into their changing business

environment. Applying design thinking as a starting point to

understand the target customer domain, and identify per-

sonas and their speciﬁc needs, the team working on the

product managed to establish a point of view that helped in

designing a ﬁrst beta version of the product. It was then

tested with a selected group of customers, so that the team

can measure the prototype against speciﬁc criteria for suc-

cess. The beta version, as well as subsequent development of

the product was executed in iterative Agile mode, so that

frequent deliveries can be ensured and constant feedback can

be collected. As a result, ﬁrst customers were recruited

already during the development phase, and implementation

project started immediately after the MVP was released.

4 Conclusion

We believe that enterprise product management in the digital

world is faced with different requirements that stem from a

product lifecycle, which is extended and develops itera-

tively. With respect to the main questions that we set in the

beginning of the paper:

1. What are the changing requirements of the digital world

to product management in enterprises?

Fig. 6 Tools and methods

Enterprise Product Management in the Digital World 101

Product management in the digital world is transformed

from a plan-driven, carefully organized process to an

experiment and learning-driven, iterative work, based on

data-driven decision making, customer and stakeholder

collaboration, iterative and incremental development with

quick feedback loops. Product managers need to be engaged

more with strategic decisions based on experimentation and

learning throughout the entire product lifecycle.

2. What are the methods, tools and frameworks that need to

be put in place in enterprises to enable the intrapreneurial

development of successful products for the digital era?

Product management in enterprises can leverage a set of

methodologies that have emerged to serve the needs for

innovation and customer-driven development, such as Lean

Startup, Design Thinking, and Agile methodologies. They

need to be applied systematically throughout the entire life-

cycle to enable a learning-driven iterative process and opti-

mize investment decisions at any point in the product lifecycle.

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102 Z. Nikolova and R. Antonova

ERP Security, Audit and Process

Improvement

Roumiana Antonova and Georgi Georgiev

Abstract

The ERP systems have rapidly increasing role for the

success of modern business. They are subject of rapid

development process and rapidly spreading with increas-

ing rate. In now days the typical ERP system has a much

better functionalities than its predecessors and also relays

on complex it infrastructure, frequently combining a wide

set of IT technologies. Security of the ERP system is an

important aspect of the entire system and must be

properly maintained in order to achieve reliable and

secure operation of the entire system. The security of an

ERP system should not be regarded as a summary of the

security of its components, but as a complex ecosystem

comprised of multiple different layers, which also have a

complex dependencies and relations between each other.

There are also the processes of user identity and rights

management that are a considered as an integral part of

the overall security. Once conﬁgured, the security of the

ERP systems could not be regarded as constant but

evolves along with the challenges caused by increased

numbers, severity and complexity of security threats

present into the digital world. In order to mitigate the

effects of such threats the security ecosystem of an ERP

solution and its components should be a subject of regular

audit and reviews to be able to be maintained at sufﬁcient

level.

Keywords

ERP system Security Multilayer Policy 

Deployments User rights Identity management

1 Introduction

The dynamics of modern business causes the need for vir-

tually every company, regardless of its size and business

area to use a variety of ERP systems. The successful

implementation and operation of the ERP system nowadays

become a critical factor for fail or success for the company

using it.

Along with the explosive growth of IT systems and

software technologies during the last decade, it is also wit-

nessed a dramatically increase with the number, severity and

complexity of the global cyber-attacks and threats.

Generally, the ERP systems tend to be vulnerable as a

potential victim of such threats, which makes mandatory the

integration of sophisticated and versatile security manage-

ment solutions and processes for all ERP components and all

layer of the ERP system. As a consequence, problems with

product integration and compatibility often arise, there might

be signiﬁcant increase with the costs of implementation of

the ERP systems and overall increase with the Total Cost of

Ownership (TCO). It also occurs the need for centralized

management of the entire protection system via

well-structured and documented process.

Seeking to mitigate the effects of such problems, many

companies stand up before the choice: to simpler and

cheaper, but less functional security approach (that inevi-

tably provide lower levels of security and cost less) or

implement high-end solution with complete security cover-

age. The attempts to save by the cost of security solutions

can later cause serious ﬁnancial losses for companies’core

business and/or impact their reputation.

The optimal security solution should be an introduction

of a uniﬁed security platform, incorporating state-of-the-art

technologies and tools to build comprehensive protection of

all IT infrastructure layers with centralized management

capabilities.

A well implemented and operational ERP system is

considered as a key tool for each business to allow efﬁcient

R. Antonova (&)G. Georgiev

Faculty of Mathematics and Informatics,

Soﬁa University St. Kliment Ohridski, Soﬁa, Bulgaria

e-mail: Dr.antonova@t-online.de

G. Georgiev

e-mail: j.y.georgiev@gmail.com

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_14

103

management of the entire business process lifecycle. Along

with the increasing complexity of existing ERP systems, the

challenges and importance of ERP systems security are also

growing. An effective ERP system must not only meet the

requirements in terms of functionality, performance and

reliability but must be also secure, providing both internal

security and integration with external security solutions.

2 The Holistic Approach to ERP Security

When it comes to the security of an ERP system, the tradi-

tional and most common approach is to evaluate the security

of the core ERP components (databases, application servers,

user access) mostly. Such approach is outdated and due to

this not possible to completely respond to the increasing

challenges of the present reality and needs to evolve.

When evaluating the security of a modern ERP, a more

holistic approach need to be implemented. Such approach

will cover the entire ecosystem of ERP software, the mul-

tiple layers of its underlying IT infrastructure, network

communication, user identity and rights management and the

complex relations/dependencies existing between them, as

illustrated on Fig. 1.

Due to the complexity of the relations of multiple com-

ponents affecting the overall ERP security, it is reasonable to

introduce an abstract multi-layer model representing the

security ecosystem (similar to the OSI Network Layers

model). This abstract model is illustrated on Fig. 2.

A certain ERP system can be implemented/delivered

using different scenarios: On-premises, Cloud based (private,

public or hybrid cloud), Software as a Service (SaaS) plus

multiple additional combinations are available.

Regardless of the delivery scenario, all the ten security

layers participating within the ERP system security model

are present and the need to be properly managed is illus-

trated. In some situations certain layers might not always be

directly exposed or not being easy to distinguished.

Into this security model, the different layers are also

grouped into 3 main groups, in order to make more convenient

matching them with the main implementation scenarios.

2.1 Managing Physical Security

The requirements for achieving a good level of physical

security for the premises hosting physical components of

ERP underlying infrastructure are pretty well deﬁned and

conservative:

•Physical Access restriction: the premises must be secured

with a solid locked door, having electronic lock capable

to read biometric data or access cards. The list of

personnel authorized for access must be maintained up to

date and each access event recorded, plus a diary record

added for the actions taken during each visit. An alarm

system must be operational and warn for an unauthorized

access events. It is not considered a good practice such

premises to have windows.

•Power supply: according to best practices, there must be

present at last two different power supply sources, linked

to different suppliers. In addition, an uninterruptable

power supply (UPS) must be connected to all equipment,

with a properly calculated capacity to power up all

consumers for a short period (typically several minutes.

•Heat management: the premises hosting equipment must

have air cooling system operational and with sufﬁcient

capacity to cool the equipment even when operating at

maximum power and maintain a constant temperature.

•Environmental control: a constant control must exist for

some important environmental parameters like sur-

rounding temperature and humidity

•Fire safety: the premises must be equipped with

ﬁre/smoke detectors connected to an alarm system and an

automated ﬁre distinguishing system must be also

available, which system is triggered upon ﬁre detection

and uses reagents which are non-aggressive for the

electronic equipment.

For the implementation scenarios, when Cloud hosting or

SaaS are used, typically the physical security is maintained

by the Hosting company and could be easily proved if the

provider’s data center has passed a standard certiﬁcation

process.

2.2 Infrastructure Network Security

The Infrastructure Network security is considered as one of

the most important layers in terms of overall application

security, due to it directly affects and is a foundation of the

security of several other layers (Servers, Operating system,

Database, ERP Application). The infrastructure network is

also one of the layers which are most frequently a subject of

cyber-attacks. The network design must be carefully planned

as a part of ERP implementation design and strategy, in a

way to maximize the security and provide sufﬁcient capacity

and performance. There are some core points that need to be

considered:

•Network segregation: involves developing and enforcing

a ruleset, controlling which computing devices connected

to the network are permitted to communicate with which

other computing devices

•Network segmentation: logically partitioning the network

IP addresses into a small segments, which later is used

104 R. Antonova and G. Georgiev

for dedicated function. For instance the servers must

communicate to storage arrays using separate network

subnet, not visible/available from the other subnets.

The correct implementation of network segmentation and

segregation are minimizing the method and level of access to

sensitive information and signiﬁcantly reduce the perimeter

for potential cyber-attack. It can be achieved using some

common methods and techniques to ensure the security of the

network:

•Implementing demilitarized zones (DMZ) and gateways

between networks nodes with different security

requirements

•Implementing server and domain isolation using Internet

Protocol Security (IPsec)

•Implementing storage based segmentation and ﬁltering

using technologies such as encryption Logical Unit

Number (LUN) masking

2.3 Server Hardware Security

Based on ERP implementation scenario, the infrastructure

servers might be physical ones (box) or virtual (hosted on

virtualization platform, based on physical servers). In both

cases there must be some requirements that need to be met in

order to have a good level of security:

Fig. 1 ERP system security relations

ERP Security, Audit and Process Improvement 105

•Choosing the proper hardware: since it is expected the

equipment to be used for a long term period with a

minimum failures, it is reasonable to be used hardware

produced by reputable vendors. The same hardware must

be accomplished with the proper warranty and on-site

service contract. It is also important to track the

remaining warranty for available server hardware and

plan its replacement before warranty expiration.

•Capacity planning: used server hardware must be a

subject of capacity planning and checks. Only keeping

the systems with enough capacity in terms of system

resources available can be ensured ﬂawless running of

the ERP system and its good performance and stability.

•Storage containment: no matter if the server hardware is

hosted on premises or in Data Center, it is a good prac-

tices to store it into locked racks.

2.4 Server Operating System Security

There are recently two most popular operating systems

families—Windows and Unix/Linux. Regardless which of

the families is used to host the ERP system, there are 3 main

prerequisites to be met in order to be able to maintain proper

security for the entire ERP solution:

Proper version/distribution selected: both Windows and

Linux come into variety of versions, distributions and sys-

tem architecture. When selecting the proper OS, there are

some basic rules to follow:

•OS Version: the most recent (stable) version/release

should be used

•A proper OS architecture: 32/64 bit must be used, to

correspond to the architecture of the CPU of the hard-

ware. With the increasing popularity of virtualization and

rapid evolution of CPU architectures, the 64 bit archi-

tecture has the dominating position.

•Most OS are released in different editions: the edition

matching best for ERP system requirements and used

hardware capabilities should be installed

•OS security hardening applied: there are a set of common

practices referred as “hardening”, which are considered

to ensure a sufﬁcient level of security by OS perspective:

•Programs clean-up: by maintain the minimum set of

installed programs (only that are explicitly needed for

OS/ERP proper functioning), the number of backdoors

and perimeter of potential attack are slightly reduced

•Use of service packs: keeping the OS updated to the

latest version

•Patches and Patch management: plan, test, implement

and audit the released OS patches on regular basis is an

important part of security management

•Policy/group based authentication: for highly privileged

(Admin) access to the OS—the list of users having such

access must be kept limited and the access should always

be provided based on certain user group membership, not

directly. There is also must to properly track and audit

each admin logon

•Security Templates: groups of policies that can be applied

to the OS in automated manner

•OS Firewall active: by keeping the OS ﬁrewall active

(both for inbound/outbound trafﬁc) is allowed only for

explicitly authorized programs and processes to com-

municate, using predeﬁned list of network ports. The OS

Firewall acts as supplement of active Networks Firewalls

and allow to gain additional security

Usage of Antivirus Software: speciﬁcally for Windows

based operating systems (but not limited to) is a highly

desirable to have deployed a comprehensive Antivirus

solution. Such solutions if are well designed and properly

setup, provide not only a protection against the well-known

security threats like viruses, but also can implement a

heuristic algorithms to detect and prevent zero day attacks

Fig. 2 ERP system security layers model abstract

106 R. Antonova and G. Georgiev

and malware spread. Some of the more advanced AV

solutions also provide capability for centralized, policy

based management and have some capabilities to perform

network trafﬁc inspection and control the execution of sys-

tem processes and applications.

2.5 ERP Databases

Each modern ERP system embeds into its design a

single/multiple Database(s) to store and process the data and

business logics. Regardless the technology and type of the

Database Engine used, there are common requirements for

the ERP databases to provide a sufﬁcient security.

•Restrict User Access: under no any circumstances should

be allowed the ERP users to have direct access to the

databases. Instead, the access to database must be

available only for ERP program components (application

services, client applications) via dedicated DB connec-

tions, in secured manner.

•Limit and Control Admin access: it is inevitable to have

some highly privileged accounts active, for maintain and

administer the databases. The usage of such accounts

must be strictly controlled and audited via group based

policies.

•Proper hosting: the database(s) must be hosted onto a

dedicated DB instances/DB cluster, which have a sufﬁ-

cient resources present to meet the database requirements

in terms of CPU power, RAM volume, storage space and

especially storage performance.

•Service accounts usage: all processes related with data-

base services must be ran under the credentials of spe-

cially created Service Accounts, having applied

additional security setting, like strong passwords rules

and interactive logon prevention.

2.6 ERP Application Services

Application services a core ERP components. They are

responsible to communicate with the underlying ERP data-

bases at one side and ERP client applications (Thick or WEB

based) at the other. Application services are also responsible

to process the data stored into the databases, apply the

business logic and present it in a proper format for the

clients. Since Application Services have both front end

(clients) and back end (databases) connections, the security

challenges are quite signiﬁcant and are considered as one of

the most critical component of the entire security schema.

There are some common security measures to be imple-

mented for ERP application services:

•Additional hardening: the servers where application

services are running must have precise security harden-

ing, at the maximum possible level. This include a

detailed list of the allowed applications, processes and

also access lists for the devices/IPs allowing to commu-

nicate via front end connections (client side).

•Encrypted communication: the communication with back

end (Database side) must be performed in an encrypted

format and via secured network channel.

•Service accounts usage: a dedicated service accounts

must be used to run the different services, based on their

purpose and running into dedicated workspace. These

service accounts must have additional security applied,

like strong password policy and limit interactive logon.

•Performance and availability monitoring: in a typical

ERP setup, the application services are the most common

bottleneck for the entire ERP system performance. These

services process a large volume of concurrent requests

and are responsible to manage a large transaction queues.

Such high load tends to cause frequent failures of the

services and their availability and performance must be

monitored in automated way, to make possible the

detection of potential failures and rapid restoration of

services operational status (either manually or automati-

cally). Only this way the security of ERP system oper-

ational status could be maintained at desired level.

2.7 Identity Management

Each ERP system is composed of number of components

and even a greater number of communication transactions

between these components. To achieve that ERP operates in

a secure way, it is important to have the identity of com-

munication participants properly managed:

•User identity: the secure approach requires a 2 factor

authentication (2FA) to be performed for users, accessing

the ERP resources. In most typical scenario the 2FA

requires the user to provide a combination of pass-

word + electronic certiﬁcate (alternatively might be a

security token + PIN code) in order to prove its stated

identity.

•Component identity: there are various type of compo-

nents participating within the ERP internal communica-

tion. To have a desired high levels of security, each

component must have its identity conﬁrmed, the same

manner as users should. For the components like servers,

network devices, client devices etc., the identity is proven

by using electronic certiﬁcates, installed on each device.

All certiﬁcates must be issued by Certiﬁcate Authority,

which are trusted by all other components. In some

ERP Security, Audit and Process Improvement 107

scenarios (larger implementations) the organization has

its own Public Key Infrastructure (PKI) used to issue and

manage the certiﬁcates, while for smaller organizations

there might be used certiﬁcates issued by 3rd party

security providers.

2.8 User Rights and Access

The main purpose of an ERP system is to provide a set of

services for its users. Some of the large scale deployments

are used by hundreds thousands of users and this makes the

management of user rights and access to the system an

extremely important components of the overall security.

After a certain user identity has been proven, he is autho-

rized to access the system and gains a certain set of per-

missions to interact with it. There are a well-known sets of

practices, available to maintain good security levels:

•User access policy: the authorization for certain user

account to access the ERP system must be controlled via

structured and clearly deﬁned process. Each step of such

process must be documented and a written evidence be

present. The process is started with a ﬁlled request form,

submitted by the user. Later, the request is reviewed by

an authority, described by the process structure. Finally

the approved request is submitted to the Application

Administrator to create the identity and allow the user to

access the system.

•The revoke of access: an operation which needs to be

initiated when a user no longer needs access, regardless

the reason. The revoke procedure typically is initiated by

the user’s direct manager/supervisor. To ensure that there

are no unnecessary active users, a periodical audit must

be performed over the users list and passwords be set to

expire on certain period.

•Role based permissions: the ERP is used by users having

various needs and responsibilities. Based on needs and

responsibilities, the users must to have permissions to

access different parts of ERP data and authorization to

perform certain actions. Due to the typically large num-

ber of users and rich ERP functionality, the proper

management of user permissions is a complicated process

and if improperly managed, this might impact the level of

overall security.

To be able to handle efﬁciently the permissions, it is

required to introduce the user roles—this is an application

speciﬁcdeﬁnition and it is a reﬂection of the user’s job

function/role by ERP perspective. After a roles are deﬁned

into the ERP, a set of permissions should be created and

associated with this role. The good practices include to

conﬁgure roles as a group, capable to contain a list of user

names. Later assigning a user account to this group grants

this account the associated set of permissions and vice versa

—removing an account form the group revokes the corre-

sponding permissions.

Some ERP systems support natively the capability to

manage internally role groups and associated set of per-

missions, while some other don’t—for these not supporting

the function the list of roles and associated permission must

be managed externally, as a part of structured process.

2.9 External Network

This is the network used by ERP clients to access the sys-

tem. Depending of the speciﬁc setup, this network could be

an ofﬁce LAN, an inter-site VPN connection, an internet

based VPN or even non secured external connection. This

external network is one of the components most exposed to

cyber-attacks and various other threats. To keep maintaining

a good security levels, there are 2 main prerequisites to be

met:

•Reliable 2 factor authentication for users: due to user

passwords are vulnerable to be captured and compro-

mised, it is again reasonable to use 2FA for proving user

identity. It is also against the good practices to allow

sending user passwords trough external network in plain

(non-encrypted format)

•End-to-end encrypted data exchange: all the information

exchanged between the ERP system and ERP client

applications must be performed using encryption. The

most common methods achieving this goal are by using

end-to-end VPN connection and encrypting data content

prior to be delivered vie the network. For achieving

optimal security, the 2 methods could be combined.

2.10 Client Access Devices

Into this category fall all devices which have ERP client

software installed or are used by end users to connect to ERP

using WEB interfaces. As a complementary security mea-

sures for these implemented for External Network commu-

nication, it is reasonable that devices be also secured

enough, by applying some well-known techniques:

•Restrict user rights: the users should have the minimum

required set of privileges (non-admin) for the device they

use to access the ERP system.

•Reliable Antivirus and Antimalware solution installed:

since this type of systems are usually connected to

108 R. Antonova and G. Georgiev

Internet, to reduce the risk of infections spread via the

global network, it is mandatory to be present an antivirus

solution with advanced capabilities and desirably with

central management capabilities.

•Machine identity proof: the presence of electronic cer-

tiﬁcate issued to the machine and installed veriﬁes the

machine identity when connection is established and is a

very reasonable security measure within this context.

•Regular OS and Applications patching: the workstations

and mobile devices like laptops and tablets, used as client

access devices tend to have a desktop or mobile version

of Operating System installed. These OS versions are

more vulnerable to security breaches and the OS

patches/ﬁxes are released more frequently and these

systems need to be a subject well planned and controlled

patch installations, on regular basis.

3 Security Process Documenting and Audit

Due to the security ecosystem of an ERP application is quite

complex and involves multiple layers, which not only hav-

ing their own security considerations but also possess

dependencies by some other layers, the process of managing

and documenting the security of such application is neither

easy nor simple process.

In order to be able to manage the security process efﬁ-

ciently, one of the main prerequisites is the existence of

well-structured and documented process framework. Such

framework will describe in details the security related

properties of the application components, the details how to

achieve the desired security levels and the appropriate doc-

uments created and roles assigned for each security conﬁg-

uration change.

3.1 Security Administration Roles

There is a set of roles participating within the security

administration, which can be assigned to individuals or

teams:

•Identity administrator: this is the main role responsible to

create and manage an identity for user of

device/component. The role requires highest possible

privileges and is typically assigned to higher levels IT

staff or managers.

•Application administrator: this role is responsible to

setup the ERP components, including application

updates, ﬁxes and user rights assignment inside the

application. The role requires proﬁciency with applica-

tion operations and is assigned to mid/high levels IT staff.

•Infrastructure administrator: this role covers the

administration of General IT services or infrastructure,

like servers, operating systems and platform. Typical

representative of this role is the System

Administrator/Support Engineer

•Database administrator: a role which is authorized to

administer manage and support the normal operational

status for ERP underlying databases. Must possess and

advanced knowledge for the administered database

solution. Typically assigned to level 3 Database

Administrators.

•Network/security administrator: this role is reserved for

the people/teams which administer the infrastructure

network and/or external network and connectivity

between the ERP infrastructure components and services.

This role also has the responsibility to perform periodi-

cally security audits and detect and eliminate proactively

any possible vulnerability. Depending on the scale of the

certain organization, the role could be handled by a

single or two different teams.

3.2 Security Documentation

The entire security of an ERP is not something static but is

more like a continuous running process, which responds to

the environment changes and attempts to update proactively

the security routines avoiding the new occurring security

threats. To be possible the process to be ran and managed

efﬁciently, all aspects and changes from security perspective

must be properly documented.

Documenting the process starts along with the ERP

deployment design document, by describing the security

baseline routines into the High Level Design (HLD) and

Low Level Design (LLD) documents.

Later, during the ERP acceptance phase, the existing

security is evaluated in details and gap analysis is performed

between the designed and existing security setups. At the

post go live phase, the ﬁnal ERP deployment is documented

into Solution Build Document, and the entire security setup

is an integral part of this document and represents the initial

version of security baseline for the certain ERP system.

During the stabilization and optimization phase of an

ERP solution, there are frequently pop up needs to perform

changes for some security related settings—these changes

must be documented, following the standard ITIL process

for Change Management (as best practices usage).

Another security related changes that are common part of

ERP system operations are these requesting to add, remove

users and change the user’s permissions for using certain

ERP resources. This documents are processed as User

Authorization Request forms, typically ﬁlled by users

ERP Security, Audit and Process Improvement 109

themselves, approved by the respective authority and ﬁnally

submitted for execution to the appropriate administrators.

3.3 Security Audits

Security audits are tasks that need to be performed, either

periodically on regular basis or on demand, as a response to

newly identiﬁed potential security threat. During the audit,

the complete security state of the ER and its underlying

components is evaluated and documented. Later the audit

output is analyzed by expert IT staff and if concluded that

some changes are needed to improve the existing security

routines, these changes are planned and implemented under

the standards of Change Management process.

Since the security audit process evaluates multiple aspects

of ERP system, a members of different Administration teams

are involved and work in collaboration to cover all per-

spectives and complex relations.

Some of the market leading ERP solutions have inte-

grated tools for internal security audit, which tools

signiﬁcantly reduce the efforts and time needed for per-

forming audits.

4 Conclusions

Managing the security of an ERP system is a complex

process, involving multiple layers, components, dependen-

cies and interactions that need to be taken under consider-

ation. The importance of proper security management must

not be underestimated due to a partially or completely failed

ERP system might have an enormous impact over the

company business and/or ﬁnance. Within security manage-

ment process are involved several different Administrator

roles, which need to work in close collaboration to achieve

optimal results. Maintaining an overall good level of security

is not a one-time effort, but is continuously running process.

As a part of this process there must be maintained a precise

documentation for each activities performed.

110 R. Antonova and G. Georgiev

Evaluating the Strength of Middle Eastern

Monarchies and Republics

Khulood Jamal

Abstract

In the wake of the Arab Spring, several states have faced

turmoil, instability and a gradual overthrow of the regime.

Interestingly, the states affected by the Arab Spring were

largely republics including Syria, Tunis and Egypt. Both

Egypt and Tunis witnessed an overthrow of the regime

while the situation in Syria continues to deteriorate, as the

Al-Assad regime shows no sign of willingness to give up

power. Two monarchies, Jordan and Bahrain, faced

demonstrations and protests but were able to withstand

any regime change. Given the realities of the Arab Spring,

scholars question the applicability of Samuel Hunting-

ton’s notion of the king’s dilemma and his skepticism

about the future of monarchies. This paper seeks to prove

that Middle Eastern monarchies are generally stronger

than Middle Eastern republics because of institutional

ﬂexibility, the ability to exploit ﬁnancial and political

resources in order to encounter the challenges faced with

rapid social change and geopolitical realities.

Keywords

Monarchy Republic The divide and rule tactic 

Institutional ﬂexibility Geopolitical power 

Strong and weak states

1 Introduction

In the wake of the Arab Spring, several states have faced

turmoil, instability and a gradual overthrow of the regime.

Interestingly, the states affected by the Arab Spring were

largely republics including Syria, Tunis and Egypt. Both

Egypt and Tunis witnessed an overthrow of the regime while

the situation in Syria continues to deteriorate as the Al-Assad

regime shows no sign of willingness to give up power. Two

monarchies, Jordan and Bahrain, faced demonstrations and

protests but were able to withstand any regime change.

Given the realities of the Arab Spring, scholars question the

applicability of Samuel Huntington’s notion of the king’s

dilemma and his skepticism about the future of monarchies.

This paper seeks to prove that Middle Eastern monarchies

are generally stronger than Middle Eastern republics because

of institutional ﬂexibility, the ability to exploit ﬁnancial and

political resources in order to encounter the challenges faced

with rapid social change and geopolitical realities.

2 Literature Review

Primarily, Middle Eastern monarchies enjoy greater institu-

tional ﬂexibilities than their republican counterparts. Legit-

imacy is one of the key aspects of such ﬂexibility. The right

to rule of monarchies does not stem from the so called divine

right of kings but rather due to a “combination of individual

and family virtues, including noble lineage, honoured deeds,

qualities of leadership and, in the case of the kings of Jordan

and Morocco, descent from the Prophet Muhammad him-

self”[1]. Because legitimacy stems from various sources,

monarchs are not bound by impersonal policies and regu-

lations of bureaucracies and legislatures unlike their repub-

lican counterparts who are required to abide by such policies

[2]. The interplay between the traditional virtues and modern

qualities is another aspect of institutional ﬂexibility. The

ruling families of monarchies hold a nomadic tribal past with

traditional customs yet, contemporary rulers are able to

acquire the skills and knowledge necessary in order to meet

the requirements of modern times [1].

A tactic that monarchies are able to employ unlike their

republican counterparts is the divide and rule tactic.

Waterbury explained this tactic by providing the example of

the Moroccan monarch who “acts as the consummate arbiter

K. Jamal (&)

American University in the Emirates, Dubai, UAE

e-mail: 162410041@aue.ae

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_15

111

who is constantly dividing and balancing his opposition and

playing off sides”[3]. In order to employ this tactic,

monarchies promote social and political pluralism. In terms

of social pluralism, monarchies accept the differences

between various social groups within a given society and

emphasize such differences unlike their republican counter-

parts who merely create a standardized “new Arab socialist

man”[3]. In addition to accentuating social differences,

monarchies adopt policies to not only protect those differ-

ences but also to encourage individuals to be independent of

their choices whether in religious or linguistic terms. In

general, monarchies do not force a uniformed identity but

rather promote numerous identities. For example, the Jor-

danian monarch protects the culture and traditions of Bed-

ouins as well as other minorities including the Chechen

minority. In terms of political pluralism, monarchies enable

various political forces to exist and in some cases within the

parliament and in other cases within labor unions. Their

republican counterparts, on the other hand, developed a

single party system. Applying the divide and rule tactic, the

toleration of different social groups and political forces

enables monarchs to “play off sides and stave off the

cyrstallisation of broad-based coalitions against their rule…

the monarch is then able to play the role of arbiter between

the various factions”[3].

In addition to institutional ﬂexibility, Middle Eastern

monarchies are capable of exploiting ﬁnancial and political

resources in order to encounter challenges faced with rapid

social change. Oil is the primary resource that generates

wealth and income for monarchies. According to the BP

Statistical Review issued in 2009, 64.7% of the world’s oil

reserves are situated in the Middle East and the states within

the Middle East are responsible for 37.3% of the production.

Monarchies, in particular, hold 39.5% of those oil reserves

and are responsible for 22.6% of the production. The wealth

and income generated by oil ultimately enabled monarchies

to develop the modern state system. Prior to the advent of

oil, the state structure of monarchies was under developed

and power was institutionalized within the royal court. The

system was also simple as the monarch ruled by decree and

met with oligarchs frequently. The monarch was surrounded

by selected advisors whom he delegated speciﬁc tasks. The

inﬂux of oil revenues enabled monarchs to expand the state

apparatus and bureaucracy. For instance, monarchs began to

initiate projects to increase modernization and development.

Monarchs also invested in Western military equipment, arms

systems and intelligence to compete on the international

level [4].

In addition to the development of the modern state sys-

tem, oil revenues enabled monarchs to distribute welfare

among their citizens. An important aspect of monarchial rule

is the special relationship between the monarch and his

citizens. The monarch distributes welfare both social and

economic to the citizens in exchange for their political loy-

alty. This is particularly the case in the monarchies of the

Gulf region. Citizens in the Gulf enjoy various opportunities

and services including free access to educational and health

facilities as well as housing amongst other amenities. For

instance, citizens of the United Arab Emirates are given free

land for their houses, scholarships and various job oppor-

tunities. The distribution of socio-economic welfare ensures

monarchs that citizens will remain loyal and those who

oppose the monarchial rule or even question the legitimacy

of the royal family face heavy sanctions including detention

and deportation.

Furthermore, oil revenues have enabled monarchs to

integrate any potential rival into the state system by issuing

responsibilities. Such integration ultimately transforms

potential rivals into clients of the state. Economic develop-

ment, for instance, enables the monarch to issue responsi-

bilities by granting concessions to families of local

entrepreneurship. Thus, the monarch secures the loyalty of

the family because now the family has an interest in pro-

tecting the monarchial rule as a means to ensure that they

will continue to be given concessions. The political systems

in the Gulf region also incorporate traditional authoritative

structures within the modern state system including religious

institutions and tribes. The integration of social groups also

strengthens the patron-client relationship [4].

Moreover, oil revenues have shaped geopolitical realties

which in turn ensure the regime stability of the monarchies.

Middle Eastern monarchies have formed coalitions with the

United States and other Western powers. The Western

powers intervene in the monarchies when the ruling family is

threatened by political forces. For instance, Great Britain

protected the Omani monarchy and helped to overthrow the

Dhufari rebellion in the 1970s [5]. Protection is granted to

monarchies because it is in the strategic and economic

interest of the Western powers to maintain the stability of the

regime. As mentioned earlier, monarchies are home to a

large supply of oil reserves; therefore, Western powers view

monarchies as a means to gain access to the oil reserves and

ultimately to exert power through its strategic location. In

addition, monarchies provide the United States support and

help in its war against terror. Monarchies do not allow any

Islamic movements or groups that have suspicious terrorist

aims to operate within their territorial rule [4]. Middle

Eastern monarchies have not only formed coalitions with

Western powers but also regionally most notably the GCC,

Gulf Cooperation Council.

Monarchies have created an efﬁcient network in which

support and solidarity is provided in times of crisis. This

112 K. Jamal

network is beneﬁciary to the monarchs as it also strengthens

their supply of resources [6]. Geopolitical realities came into

play in Bahrain in 2011 when the monarchial rule was

threatened by the Shiite protests. GCC forces led by Saudi

Arabia were deployed to Bahrain to help shut down the

protests [7]. In addition to the military aid, GCC foreign

ministers also vowed to provide $20 billion to both Bahrain

and Oman [6]. An interesting point to mention is that the

United States failed to voice its concern with human rights

abuses inﬂicted on the protesters by both the GCC forces and

the Kingdom’s army. The lack of inaction reﬂects the

geopolitical realities as the US has an interest in maintaining

stability in both the Bahraini monarchy and the region at

large [7].

Although Middle Eastern monarchies are generally

stronger than Middle Eastern republics, the question remains

whether or not monarchies can be identiﬁed as strong states

and republics as weak states. In order to determine the

strength of a state three indicators are used including “(1) by

their ability to control their own territory, (2) by their

capacity to perform core functions, and (3) by their vulner-

ability to challenges to their legitimacy”[8]. Strong states

are able to efﬁciently and effectively exert power and control

over their own territory while weak states have a low degree

of control over their territory and cannot prevent various

actors from entering their territory and intervening in affairs.

Strong states are able to efﬁciently and effectively perform

core functions which include providing security and more

speciﬁcally protecting the human security of civilians as well

as exerting monopoly over the use of force. Weak states, on

the other hand, lack a uniform state performance and contain

large populations of disadvantaged people.

Lastly, strong states are largely not vulnerable and prone

to challenges, both internal and external, to their legitimacy.

Legitimacy entails that the state has the legal and moral right

to rule and exert power and that the international arena

recognizes such right. Weak states, on the other hand, are

not capable of exerting complete control over their territory

or performing core function; therefore, they lose legitimacy

and face internal and external challenges to their rule [8].

3 Discussion

Having discussed the indicators of strong and weak states, it

becomes evident that monarchies maybe identiﬁed as strong

states if not states gradually reaching that status while

republics are identiﬁed as weaker states. Taking the Arab

Spring as a case study, republics such as Syria and Egypt

both were prone to internal and external challenges to their

legitimacy and were not able to effectively perform core

functions hence the public unrest and dissatisfaction.

The Syrian government has long relied on robust coercion in

order to rule; however, it is not able to successfully repress

the protests and challenges to its rule. In terms of territorial

control, the Syrian government has lost some control as

various actors have entered since the advent of the uprising.

Given the institutional ﬂexibility, monarchies are seen more

legitimate in the eyes of their people; therefore, they have

faced fewer challenges to their rule.

With the exception of Jordan and Bahrain, monarchies

have not experienced the Arab Spring. Although Jordan and

Bahrain faced challenges to their monarchial rule, both were

capable of overcoming of the protests in a short period of

time. In terms of performing core functions, monarchies

such as the United Arab Emirates and Qatar ensure the

protection of human security and distribute welfare to their

citizens. Of course the degree of performance varies amongst

different monarchies yet, with the exploitation of oil the

standard of living is higher for citizens in monarchies than in

republics. Monarchies also have a relatively high degree of

control over their territories compared to republics.

4 Conclusion

To conclude, Middle Eastern monarchies are generally

stronger than Middle Eastern republics because of institu-

tional ﬂexibility, the ability to exploit ﬁnancial and political

resources in order to encounter the challenges faced with

rapid social change and geopolitical realities. With the

advent of the Arab Spring, it is easier to evaluate the strength

of the states in both monarchies and republics. Given the

current political situation, monarchies are relatively stronger

and have maintained security and legitimacy within their

territories.

References

1. Owen, R.: State, Power and Politics in the Making of the Modern

Middle East. Routledge, NewYork, NY (2004)

2. Anderson, L.: Dynasts and nationalists: why monarchies survive. In:

Kostiner, J. (ed.) Middle East Monarchies: The Challenge of

Modernity, pp. 53–69. Lynne Rienner Publishers, Boulder, Colo

(2000)

3. Frisch, H.: Why monarchies persist: balancing between internal and

external vulnerability. Rev. Int. Stud. 37(1) (2011). Retrieved from

http://search.proquest.com.ezproxy.aus.edu/docview/874921867/full

textPDF?accountid=16946

4. Meyrick, J., Selvik, K., Stenslie, S.: Stability and Change in the

Modern Middle East. I.B. Tauris & Co. Ltd., London (2011)

5. Gause, F.G.: Kings for all seasons: how the Middle East’s monarchies

survived the Arab spring. In: Brookings Doha Center, p. 8 (2013).

Retrieved from http://www.brookings.edu/*/media/research/ﬁles/

papers/2013/09/24%20resilience%20arab%20monarchies%20gause/

resilience%20arab%20monarchies_english.pdf

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6. Friedman, B.: Battle for Bahrain: what one uprising meant for the

Gulf states and Iran. World Aff. 174(6) (2012). Retrieved from

http://www.worldaffairsjournal.org/article/battle-bahrain-what-one-

uprising-meant-gulf-states-and-iran

7. Yom, S.L. Understanding the resilience of monarchy during the

Arab Spring. Foreign Policy Res. Inst. (2012). Retrieved from http://

www.fpri.org/articles/2012/04/understanding-resilience-monarchy-

during-arab-spring

8. Hanlon, Q.: State actors in the 21st century security environment.

Nat. Strategy Inf. Cent. (2011). Retrieved from http://www.

strategycenter.org/wp-content/uploads/2011/07/State-Actors-21st-

Century.pdf

114 K. Jamal

Exploring the Opportunities and Challenges

of Open Source Software and Its Economic

Impact on the Cybersecurity Market

Ismail Alsharif and Adel Khelifi

Abstract

Organizations today face IT security challenges on many

fronts. These include controlling user access to systems,

resources, and data security issues that encompass secure

storage, secure transmission, data authenticity and data

integrity. These requirements are met by establishing the

right policies, controls, and mechanisms that are put in

place to effectively protect sensitive data. Therefore, this

research aims to see if open source software has the

potential to inﬂuence the cybersecurity market that is

currently dominated by proprietary software. However, in

order to accomplish such a task, certain conditions must

be met. Such as understanding of the history behind open

source software, the positive and negative inﬂuences it

carries when dealing with this type of software. As well

as compare and contrast current proprietary solutions with

open source solutions, in order to grasp the potential

economic impact of open source software leading

onwards into the future. The ideal ﬁndings would be to

outline the factors that are holding back open source

software, and whether these factors are adjustable or

correctable over time. Another aim is to highlight the

potential ﬁnancial beneﬁt that comes from switching to or

prioritizing OSS security solutions. As well as come up

with any recommendations that would help aid businesses

and organizations when it comes to obtaining suitable

OSS security solutions.

Keywords

Open source software Cybersecurity Challenges

1 A Glimpse into the World of Cybersecurity

1.1 Background

In a world where information technology security is quickly

becoming a prioritized concern at the forefront of every

small, medium and large enterprise as well as in any

government institution. Which is a given based on how

everything has moved towards a digitalized landscape in the

past decade.

Ever since organizations started depending on informa-

tion technology in order to run their day to day business

practices, they in turn were slowly creating openings in their

processes that malicious attackers wanted to exploit and take

advantage of. Which inevitably led to government institu-

tions and organizations alike to protect their assets and

communication mediums from these bountiful threats as

well as attempted to manage all of the risks by studying their

infrastructure and processes involved. However, this was a

very difﬁcult task to accomplish because whenever security

mechanisms were introduced simplicity was sacriﬁced in the

process.

Therefore, there was a need to balance security against

complexity which was a daunting task depending on what

processes, assets, communication mediums were being

looked into. That was not all; as there was also the topic of

risk management at hand. This meant that risk managers

would have to plan almost every possible scenario that is

related to an event or a scenario and then look at the net loss

or net gain from implementing a security mechanism in

place to reduce or minimize the risk versus accepting the

risk.

These studies were done in order to not waste money on

protecting a system if the value of it being exposed or stolen

is less than implementing the security mechanism itself (IE:

protecting $200 worth of equipment by implementing a

$5000 security mechanism). One of the main reasons for

implementing cybersecurity also stems from the fact that the

I. Alsharif A. Kheliﬁ(&)

College of Computer Information Technology,

American University in the Emirates, Dubai, UAE

e-mail: adel.kheliﬁ@aue.ae

I. Alsharif

e-mail: 121120006@aue.ae

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_16

115

e-commerce sector saw incredible growth in the past few

years, which in turn made cybersecurity a core component in

many of the world’s economies. Securing safety critical

systems is also a top priority, which helped bolster the need

for cybersecurity, due to the reliance of these systems for

responding to emergencies or protecting a country’s infras-

tructure (utilities) from any terror related threats.

Due to the ever-evolving digital landscape, many

organizations took to leverage the power of the internet in

order to help reach more customers on the web and further

solidify their relationships with their partners by using VPN

tunneling in order to enable internetworked organizations for

enhanced collaboration. However, they had to harden their

systems properly before they could leverage the power this

type of medium. One of the main reasons for hardening

one’s system was to protect their asset or assets from

cybercrime. Protection from outside threats was not the only

concern as more and more attacks are carried from the

inside. Whether it is a remote malicious attacker that gained

access to data through a protected and privileged system or a

rogue employee that is accessing and leaking conﬁdential

data for monetary reasons.

1.2 Various Components that Require

Protection

Numerous components require protection, but it depends on

what type of services or processes an organization aims to

provide. Whether it is a healthcare, education, manufactur-

ing, or a federal industry, the same principles are to be

followed when discussing the components that need constant

protection.

The network, considered to be the essence of communi-

cation in any organization. Protecting it from threats and

risks is the priority of the information technology security

team. But in order to accomplish that, several tools need to

be used in unison in order to yield the proper monitoring

capabilities. These tools can range from intrusion detection

systems, intrusion prevention systems, vulnerability scan-

ners, and packet sniffers.

Application security is a large concern that sometimes

requires both hardware and software methods in order to

protect applications from possible external threats. Some

tools are also used for their ability to perform on the spot

attack simulations in order to probe for potential vulnera-

bilities or test certain security mechanisms that were previ-

ously implemented. Monitoring applications and keeping a

tab on the performance levels can help triangulate possible

threats.

Data is considered to be a quintessential asset and is

sometimes referred to as the lifeblood of an organization,

have encryption mechanisms set in place as well as some

form of ﬁle transfer management. Databases of course come

to mind discussing data, and it is necessary to have the right

tools in place that enable continues monitoring and auditing.

In addition to using encryption which would add an extra

layer of protection when it comes to sharing information

between clients.

Another component that comes to mind are the users,

considered to be one of the weakest links in any organiza-

tion. As was shown in the past decade where attacks would

target and prey on users as a way to inﬁltrate a system. In an

ideal situation, it would be wise to have some form of user

classiﬁcation in place. User monitoring as well as privileged

user monitoring, in addition to using a multi-factor authen-

tication method would aid in safeguarding sensitive data

from malicious users.

1.3 Cybersecurity Solutions Today

Since there are numerous areas that require constant pro-

tection, monitoring, and logging capabilities. A need for IT

security solutions that were able to perform these functions

rose considerably. The need for these services created a

demand that had to be met, therefore a considerable amount

of companies with some expertise in the ﬁeld wanted to

capitalize this opportunity and create IT security solutions

that would inevitably help organizations and enterprises

protect their domain.

Today, hundreds of IT centric companies are creating and

distributing their own specialized IT security software that

aims to protect the ever-growing needs of every enterprise.

The competition is striving within these companies as they

add feature after feature in an attempt to outdo one another

and create more value for their products. They also tend to

benchmark their capabilities against other competitor’s

products in order to send the message that they are the

leaders in the market when it comes to value, as they attempt

to cement their image as the “go to”brand when it comes to

IT security needs.

However, due to the ever-increasing amount of IT secu-

rity solution providers that are trying to offer more and more

security solutions, that promise to deliver the highest level of

protection that is available in the market. Although great for

the market and the growing IT security industry, a negative

side effect is introduced. This side effect being the intro-

duction of complexity. Because of 30 information technol-

ogy security solution providers offering the same solution,

only differing in the performance levels and in the extra

features they may support. Businesses tend to spend time

trying to decide which solution to go for and how each

solution differs from the other. Which in turn constraints

resources in terms of the time it takes to ﬁgure out which

solution would best ﬁt the organization.

116 I. Alsharif and A. Khelifi

1.4 Open Source Software

After establishing some background information at the topic

at hand. It makes sense to delve into how introducing the

open source model into the realm of IT security solutions

could help invigorate the industry in an unprecedented

manner. As open source allows the participation and

collaboration of many individuals in creating or developing

a piece of software or a complete solution. This is made

possible by making the code itself public; meaning the

program instructions that are kept hidden when running is

now visible to everyone. Effectively opening the source code

to the public, which is often accompanied by the program

that is also open to any entity that seeks to use it. However,

the caveat here being that open source programs are not to be

sold, but shared, most of the time.

In contrast to open-source software, proprietary software

has its source code hidden. This is done in an attempt to keep

the program’s instructions unknown to the public. The dis-

tinction between OSS and free software should also be

explained; as OSS can be even have a price tag attached to it

if the developer deemed it necessary.

An example of one of the most successful open source

software’s available today is Linux. Unbeknownst to most,

Linux is an operating system that is currently being main-

tained by volunteers that are located across the globe. It

garnered quite the reputation and is now considered one of

the leading operating systems powering more than 30% of

all the servers worldwide. Another open-source software that

has shared a similar success story is Apache, an open source

software that is powering more than 75% of web servers

globally. MySQL also comes to mind when talking about the

advent success of open source software, as it is used today

for relational database management purposes.

1.5 Open Source Software Challenges

Opponents of open source software argue that by creating

something open source, they are handicapping themselves

from a security standpoint. It is argued that because the

source code of the program is openly visible for anyone to

see that they are effectively putting themselves at a security

risk.

According to Levy [1] a technical director with the

CESG, a department of the United Kingdom’s government

communications headquarters intelligence agency. He

argues that open-source software is no different from pro-

prietary software when it comes to security. That although

open-source software is open for everyone to see, it does not

directly correlate to being any less secure than proprietary

software that has its source code hidden. He states that

because it is openly visible for anyone to view that it in turn

creates this atmosphere where developers would go over

each line with much more scrutiny in place. Whereas in the

case of proprietary software, due to it being hidden from the

general public, it is subject to less scrutiny and that would

eventually lead to the release of a program that could be

open to some nasty vulnerabilities.

Nonetheless, this does not mean that open-source soft-

ware is free from its fair share of problems. It has been

widely known that the distribution of open-source software

has been a challenge for quite some time. As there have been

many concerns regarding the fact that it is possible to replace

the original ﬁles of the software with fake ﬁles that contain

malicious lines of code embedded into the ﬁles themselves.

As seen in the past, there were multiple instances where

distribution servers are attacked, replacing an original ﬁle

with an infected one. Ultimately allowing a threat to bypass

several layers of security and cause havoc.

1.6 Problem Statement

Today one of the largest costs for any organization is

implementing the required security mechanisms and main-

taining the correct controls and policies. Organizations are

spending millions on products and services instead of

looking for open-source alternatives. Organizations aren’t

properly searching the market and trying to look for open-

source alternatives that are just as capable as their propri-

etary counterparts. Therefore, through actively looking into

the challenges and misconceptions that OSS currently

struggles with, a more diverse market could potentially

ﬂourish, one driven by the notion of ﬁnancial savings.

1.7 Objectives

The objective is to investigate the current scene of IT

Cybersecurity, its solutions, both proprietary and open-

source. In an attempt to draw some form of conclusion that

would help clear up whether or not it is feasible to go

towards an open-source model in the coming future.

2 Literature Review

The aim of the literature review was to try and accumulate as

much information as possible from similar studies that were

conducted in the past that focused on comparing and con-

trasting open source security solutions and proprietary

security solutions with one another. As well as discuss the

growing need to meet compliance requirements.

Exploring the Opportunities and Challenges of Open Source …117

2.1 Study Number 1

A study that was published recently by Carman [2] high-

lighted some interesting points. The issue being whether

companies and organization alike implemented endpoint

security solutions with the intention of safeguarding their

enterprise and mitigating risk in the best manner possible or

merely implementing the solutions in order to meet some of

the imposed regulatory compliance requirements.

The study believes that from the data that they had

gathered around this area, that enterprises leaned towards

meeting regulatory requirements rather than focus on having

strong controls in place. The study talks brieﬂy about how IT

security professionals today are somewhat out of touch on

which data should be protected or classiﬁed as conﬁdential,

and therefore end up applying various security solutions to

some of the data unnecessarily.

2.2 Study Number 2

Another study that was done recently by Nigelow [3], which

wanted to understand or comprehend what IT professionals

are looking for in security products and what their prefer-

ences are. Some of the highlights that resulted from this

study was the fact that over 90% of the respondents made it

clear that they believe that their overall security posture

would improve in the coming months. However, when asked

about how much heavily does compliance and governance

requirements played a role in inﬂuencing the overall security

effort, over 70% of the respondents recognized that com-

pliance would play a large role in security planning and

decision making in general.

Also, some interesting ﬁndings that should be pointed out

is that more than 65% of respondents believed that IT pro-

fessionals cared the most about the overall security posture

while the rest believed that CEOs and upper managements

were more concerned about security.

Respondents were also questioned on their conﬁdence on

which security programs they believed to be performing well or

above average. With the majority believing that intrusion,

detection and prevention as well as data protection have the best

overall security implementation in place. It is also mentioned

that security professionals felt that thearea that lacked the most

attention and awareness to be the user education security pro-

gram due to the fact that human factor is hard to fortify and

control unlike other sets of data or applications in place.

2.3 Study Number 3

A study that was conducted by Xing [4] in the Journal of

Industrial Engineering and Management. Xing wanted to

ﬁnd out just how much would commercial open source

software affect proprietary software from a market share

perspective and a ﬁnancial perspective as well. It aimed to

achieve this by analyzing the impact by using complex

differentiation models in a scenario where a proprietary

software product was competing with an open source

software product.

Some of the ﬁndings that were discussed was the ﬁnan-

cial effect it had on the market. It turns out that with the

presence of an open source software, there was an overall

decrease in both the price of the software as well as in the

proﬁt that was being made from said software. However,

with the introduction of OSS came many positive outcomes,

some of the ones that were highlighted were how much more

consumers were active on the market and how social welfare

increased dramatically over time.

2.4 Study Number 4

One study that was conducted by De [5] a Hewlett-Packard

Chair Professor that sought to understand the economic

impact of free and open source software. The study was

based on 20 different case studies from varied organizations,

such as educational institutes and commercial ﬁrms as well

as governmental departments. The goal was to replace the

currently used OS of windows with an open source OS

called FOSS.

They gradually replaced the windows software from over

50,000 desktops from schools spread across the state of

Kerala, which translated into costs savings that were esti-

mated to be around $10 million. The next target was a

commercial ﬁrm that adopted the FOSS OS for their servers,

which translated into cost savings of up to $70,000. But the

largest costs savings they had recorded was $16 million

when an insurance ﬁrm replaced their proprietary software

with open source software on over 8000 of their devices.

Ultimately the study concluded with the fact that open

source software dramatically changed the economy in an

unprecedented way by saving millions in potential costs.

2.5 Study Number 5

A study that was conducted by Peeling and Satchell [6]

which aimed to predict the future of OSS by analyzing the

current trends in the software infrastructure marketplace.

They gathered and analyzed an extremely large amount of

data in order to come up with the patterns that would be used

to predict the future growth or decay of open source

software.

They attempted to look at alternatives for functional

software that is widely used today. For example, they looked

118 I. Alsharif and A. Khelifi

for alternative OSS that would replace Microsoft word,

Microsoft Outlook, Microsoft Excel, as well as Microsoft

PowerPoint.

The conclusions that were derived from performing this

study was that it would be possible that within the coming

future that OSS would take over 50% of the software

infrastructure marketplace. And that governments around the

world would beneﬁt greatly from this change, but that

implementing them would the true challenge.

3 Materials and Methods

3.1 Replacing Proprietary Security Solutions

with Open Source Security Solutions

In this section, open source and proprietary security solu-

tions will be compared in each of their respective categories.

The categories that will be looked into are endpoint security,

uniﬁed threat management, application ﬁrewall, anti-spam,

encryption, intrusion detection, network ﬁrewalls, user

authentication, network monitoring, risk management,

forensics, anti-spyware, and mobile device management and

intrusion prevention.

The areas that were selected were based on IT security

requirements that each organization should uphold regard-

less of which industry is involved, and should at the very

least employ some, if not all of the listed solutions.

It is also worth noting that one of the areas that require a

solution is risk management, and it will outweigh most if not

all of the other areas in terms of how expensive it is. This is

due to the nature of how the risk management solution

operates, as it consolidates data from a large number of

interfaces/solutions and attempts to correlate various sets of

data that are coming in from different areas, processes them,

and presents it in a manner that the IT Security team can

make use of.

The solutions that were selected were based on their

popularity and their reputation for having solid, working

solutions that are considered to be reliable. Various sources

of information, including Gartner were used to compile the

list of solutions (Tables 1and 2).

Open Source Anti-Spam solutions versus Proprietary

Anti-Spam solutions. The OSS solution nominated in this

category is Anti-Spam SMTP Proxy, also commonly known

as ASSP. The goal of the product is to stop spam from going

through SMTP servers connected to the organization. ASSP

functions well with popular SMTP servers such as Micro-

soft’s Exchange and others as well. This OSS is intended to

replace Barracuda Spam and Virus Firewall. Which func-

tions just as ASSP would, however it delivers its capabilities

through hardware appliance unlike ASSP’s software based

solution.

Open Source Anti-Virus/Anti-Malware solutions ver-

sus Proprietary Anti-Virus/Anti-Malware solutions.

The OSS solution nominated in this category is ClamAV’s

which is considered to be one of the top open source security

solutions currently available. Its reputation in the domain of

AV protection has risen considerably in the past couple of

years. Which has allowed it to rival the capabilities of top

proprietary security products in the market. It intends to

replace various propriety solutions including, Kaspersky

Anti-Virus, McAfee Antivirus, Norton Anti-Virus, and Virus

Scan Enterprise.

Open Source Anti-Spyware solutions versus Propri-

etary Anti-Spyware solutions. The OSS solution nomi-

nated in this category is Nixory which written in Python/

PyGTK. Its aim is preventing any form of data-mining or

any spyware related activities, including key logging

attempts. The proprietary software that it aims to replace is

Webroot’s Spy Sweeper which offers the same functionality.

Open Source Application Firewall solutions versus

Proprietary Application Firewall solutions. The OSS

solution nominated in this category is ModSecurity which

enables the logging and monitoring of web application

activity in real-time. As well as enables web application

hardening. The proprietary software that it aims to replace is

Barracuda Web Application ﬁrewall, and NetScaler Appli-

cation Firewall.

Open Source Risk Management versus Proprietary

Risk management solutions. The OSS solution nominated

in this category is Eramba, which is an open enterprise class

IT Governance, Risk and Compliance application. It helps

aid compliance management and ensures that each and every

change on a system is validated and approved before being

pushed into a live environment. The proprietary software

that it aims to replace is MetricStream.

Open Source Encryption solutions versus Proprietary

Encryption solutions. The OSS solution nominated in this

category is AxCrypt. An open source software that is cap-

able of encrypting ﬁles on the ﬂy and in a simple yet elegant

manner. Designed primarily for windows users, AxCrypt

aims to make encrypting ﬁles an easy process that is

accomplished simply by right clicking on the ﬁle or folder

that needs to be protected. The proprietary software it aims

to replace is McAfee Anti-Theft, and Cryptoforge. As for the

Linux counterpart, Gnu Privacy Guard would replace

Sophos Safeguard Encryption.

Open Source Forensics solutions versus Proprietary

Forensics solutions. The OSS solution nominated in this

category is ODESSA. Which is an acronym for “Open

Digital Evidence Search and Seizure Architecture”it

includes a great number of tools that help collect and

organize digital data that can later be diagnosed and ana-

lyzed. The proprietary software it aims to replace is EnCase

Forensics, and X-ways Forensics.

Exploring the Opportunities and Challenges of Open Source …119

Open Source UTM solutions versus Proprietary UTM

solutions. The OSS solution nominated in this category is

Endian Firewall. Which turns any functional computer into a

fully-ﬂedged Uniﬁed Threat Management appliance. It is

capable of protecting a network through a slew of tools,

including ﬁrewall capabilities, anti-virus capabilities, spam

and content ﬁltering, and application ﬁltering as well. The

proprietary software that it aims to replace is Check Point

Security Gateways, and McAfee UTM Firewall.

Open Source Intrusion Detection solutions versus

Proprietary Intrusion Detection solutions. The OSS

solution nominated in this category is AFICK. It functions as

aﬁle integrity checker that can report any changes that are

made to any of the systems on a network to the

administrators in charge. The proprietary software that it

aims to replace is Tripwire. Works on both Windows and

Linux.

Open Source Network Firewall solutions versus Pro-

prietary Network Firewall solutions. The OSS solution

nominated in this category is IPCop. Which offers the ability

to turn any functional computer into a ﬁrewall appliance.

Therefore, saving the trouble associated with getting a

device that functions solely as a ﬁrewall appliance. The

proprietary software it aims to replace is Barricuda NG

Firewall and Check Point Appliances. As for the Linux

based systems, pfSense would be the OSS used.

Open Source Network Monitoring solutions versus

Proprietary Network Monitoring solutions. The OSS

Table 1 OSS replacements for a

Windows operating system

environment

Type of solution Proprietary solution Open source solution

Endpoint security Kaspersky anti-virus ClamAV

Uniﬁed threat management Check point security gateways Endian ﬁrewall

Application ﬁrewall Barracuda application ﬁrewall ModSecurity

Anti-spam Barracuda spam and virus ﬁrewall ASSP

Encryption Cryptoforge AxCrypt

Intrusion detection Tripwire AFICK

Network ﬁrewalls Barricuda NG ﬁrewall pfSense

User authentication Entrust IdentityGuard WiKID

Network monitoring Omnipeek Wireshark

Risk management MetricStream Eramba

Forensics EnCase forensics ODESSA

Anti-spyware Webroot’s fpy fweeper Nixory

Mobile device management MobileIron Miradore

Intrusion prevention Cisco IPS Snort

Table 2 OSS replacements for a

Linux operating system

environment

Type of solution Proprietary solution Open source solution

Endpoint security Kaspersky anti-virus ClamAV

Uniﬁed threat management Check point security gateways Endian ﬁrewall

Application ﬁrewall Barracuda application ﬁrewall AppArmor

Anti-Spam Barracuda spam and virus ﬁrewall ASSP

Encryption Sophos safeguard encryption Gnu privacy guard

Intrusion detection Tripwire AFICK

Network ﬁrewalls Barricuda NG ﬁrewall IPCop

User authentication Entrust IdentityGuard WiKID

Network monitoring Omnipeek Wireshark

Risk management MetricStream Eramba

Forensics EnCase forensics ODESSA

Anti-spyware Webroot’s spy sweeper Nixory

Mobile device management MobileIron Miradore

Intrusion prevention Cisco IPS Snort

120 I. Alsharif and A. Khelifi

solution nominated in this category is Wireshark. To come to

be known as one of the most detailed packet inspectors that

greatly aid in the process of network monitoring. Due to its

ability to ﬁlter speciﬁc packets into categories, and record

trafﬁc in real-time. The proprietary software that it aims to

replace is Omnipeek.

Open Source User Authentication solutions versus

Proprietary User Authentication solutions. The OSS

solution nominated in this category is WiKID. A solution

that enables two-factor authentication so that people can

access sensitive applications remotely and safely. Which is

widely used for online banking. As well as employees can

access their work servers from their own homes remotely.

The proprietary software that it aims to replace is Entrust

IdentityGuard.

Open Source Mobile Device Management solutions

versus Proprietary Mobile Device Management solu-

tions. The OSS solution nominated in this category is Mir-

adore, a solution that enables businesses to secure and

manage their devices appropriately. It also provides the

ability to automatically identify devices that are entering the

premises, as well as conﬁgure them remotely if required. The

proprietary software that it aims to replace is MobileIron.

Open Source Intrusion Prevention solutions versus

Proprietary Intrusion Prevention solutions. The OSS

solution nominated in this category is Snort. Which is highly

regarded for its ability to analyze packets in real time as well

as log them in order to ﬁnd and prevent possible threats from

causing any damage, it accomplishes this by correlating

speciﬁc information with one another. The proprietary

software that it aims to replace is Cisco IPS.

3.2 Survey Outlook and Discussions

Two different surveys were conducted in order to properly

measure opinions of the public. This was done in order to

come up with any ﬁndings that would help aid in furthering

the research. It would have been possible to go with one

survey, but in order to properly gauge the results in an

effective manner, each survey had to have speciﬁc questions

that were targeted at a speciﬁc audience. This was done in

order to add more accuracy and depth to the ﬁndings. The

ﬁrst survey was targeted at the general population. While the

second survey was aimed towards more IT centric people

with some form of expertise surrounding the topic.

Survey 1: General Public Survey

Question 1: How much money do you believe is spent on

information security products and services on an annual

basis?

In Fig. 1, respondents seem to underestimate the amount of

money that is being spent on security solutions and services,

with the majority agreeing on $1–$25 billion being the answer.

However, it is far from the actual number that was spent during

2016’s timeframe, with turns out of be just over $71 billion.

The results give us some insight in that the general population

underestimate the amount spent on these solutions.

Question 2: Do you believe that there exists a single solution

that is capable of addressing all of an organization’s security

requirements or concerns?

In Fig. 2, most of the respondents believe that there does

not exist a single product that is capable of handling an

organization’s many security needs. Although some notable

companies in the market are getting close to creating a single

product that is capable of addressing all of an organization’s

security needs by merging different security components and

interconnecting them into a single environment.

Question 3: Do you believe organizations are properly

researching the market for security solutions before deciding

on selecting one, or just getting the popular solution that

everyone else is using?

In Fig. 3, interestingly enough, most respondents seem to

believe that organizations today are dedicating the proper

amount of resources in deciding which product/solution to

purchase. While it is true that a large number of companies

do end up selecting the market leading solutions, a majority

of organizations are carefully outlining their needs and

choosing the appropriate solutions that can accommodate the

speciﬁed needs.

Question 4: Do you believe open source software to be

generally more dangerous than proprietary software?

In Fig. 4, respondents seem to be under the impression

that open source software is more dangerous than proprietary

software. Although this statement has been proven to be

incorrect, it seems as if several false claims throughout the

years hampering the reputation of open source software has

attributed to the result that is now seen. It would take some

time as well as a different approach in order to correct the

incorrect perceived notions that the public holds towards

open source software.

Question 5: Do you believe that paid software solutions are

always superior to software solutions that are free?

In Fig. 5, most of the respondents agreed on the notion

that paid solutions are always going to be more superior to

their free counterparts. This is quite the revelation as it shows

how most people’s mindset function. Because it has a price

tag associated with a product/solution, it will not always

outperform a free solution. It can be argued that in most

cases, a paid solution might perform better than a free alter-

native, but that is not always the case. The results shed some

light into how most people think about solutions in general

and how their value would seem to increase with their price.

Exploring the Opportunities and Challenges of Open Source …121

Fig. 1 Survey question

No. 1 and its results

Fig. 2 Survey question

No. 2 and its results

Fig. 3 Survey question

No. 3 and its results

Fig. 4 Survey question

No. 4 and its results

122 I. Alsharif and A. Khelifi

Survey 2: IT Background Survey

Question 1: How ﬂexible is your organization towards the

annual budget that is dedicated towards purchasing or

maintaining IT security solutions?

In Fig. 6, the results that were gathered portrayed that

respondents believe organizations should a somewhat ﬂexi-

ble budget allocated towards maintaining and purchasing IT

security solutions. What this means is that most of the

organizations aren’t properly planning out the annual budget

and in turn have to adjust their budgets depending on their

needs. This possibly showcases that the individuals that are

responsible for creating these yearly budgets aren’t calcu-

lating the needs and factoring in the overhead required for

possible altercations.

Question 2: How many years of experience would a IT

security solution provider need to have before you would

consider purchasing or licensing their software/hardware?

In Fig. 7, the results showcase that most of the respon-

dents believe a minimum of 2 years of experience is required

for a solution provider before opting to purchase an IT

security solution from them. This indicates that organiza-

tions tend to lean towards a company that has built some

form of reputation for itself rather than go with a newly

founded company that is offering a similar IT security

solution. While prioritizing reputation is a good thing, it

could ultimately hinder the search for an optimal solution by

emphasizing reputation over functionality.

Question 3: Do you believe open source software lacks

proper enterprise-grade support?

In Fig. 8, most of the respondents leaned towards OSS

not having the proper amount of support. Which was odd, as

OSS solution providers do indeed provide enterprise-grade

support. However, it is usually exclusive to customers that

pay a subscription fee in order to access that level of support.

That’s not to say that all OSS solution providers follow suit

with this form of support, as many have fantastic support

through other channels such as community support.

Question 4: Do you believe that open source software is

secure?

In Fig. 9, interestingly enough, respondents seem to

believe the OSS is not as secure as it may seem. Which is

one of the common myths behind OSS, as it has been proven

to be an untrue assumption. Because of how OSS is boasted

as being one of the most secure forms of software due it

naturally being…well…open. Which basically translates to

any possible vulnerable piece of code being patched up by

the community in no time.

Question 5: Do you believe that open source software is

reliable?

Fig. 5 Survey question

No. 5 and its results

Fig. 6 Survey question

No. 1 and its results

Exploring the Opportunities and Challenges of Open Source …123

In Fig. 10, the majority of respondents believe that open

source software is reliable, and it is. There are several

examples of OSS lasting for a long time and outliving other

proprietary solutions. A good example to showcase this

would be to talk about how Linux has been maintaining its

strength and success for all these years since its 1991 debut.

4 Results and Discussion

Many organizations and companies are trying their best to

follow and maintain industry standards and rules that are set

in place in order to be in compliance. This responsibility is

Fig. 7 Survey question

No. 2 and its results

Fig. 8 Survey question

No. 3 and its results

Fig. 9 Survey question

No. 4 and its results

124 I. Alsharif and A. Khelifi

shared among many industries today. Hence it is wise to

consider the ﬁnancial footprint of such solutions as they are

prone to compounding one another and in turn end up

raising the required IT security budget immensely. There-

fore, the initial proposition is to calculate cost difference that

can be achieved by replacing a number of proprietary IT

security solutions with open source solutions.

In order to estimate the potential cost that is required,

certain criteria had to be established, one of which was to

decide how many employees were currently working in the

enterprise for the sake of obtaining accurate results. In the

end, the most common size was selected, which is the small

to medium sized enterprises or SME for short. SME’s

typically contain between 50 and 250 employees, but for the

example at hand 200 was the number that was chosen.

However, another goal was to measure the potential

savings for a large enterprise that boasts around 5000

employees. Therefore, four tables would be constructed

detailing the estimated savings for both the SME and the

large enterprise. While also keeping in mind the different

operating system environments that are present in different

enterprises. Consequently, it was decided that Windows, and

Linux would be selected.

In Table 3, the total ﬁnancial savings that can be

observed from using OSS security solutions instead of

proprietary solutions in a Windows environment that is

comprised of 200 employees/users is $195,664 (+$17,000

yearly). The total ﬁnancial savings that can be observed from

using OSS security solutions instead of proprietary solutions

in a Linux environment that is comprised of 200

employees/users is $206,589 (+$17,000 yearly). As is

determined from Table 3.

In Table 4, the total ﬁnancial savings that can be

observed from using OSS security solutions instead of pro-

prietary solutions in a Windows environment that is com-

prised of 5000 employees/users is $4,890,350 (+$425,000

yearly). The total ﬁnancial savings that can be observed from

using OSS security solutions instead of proprietary solutions

in a Linux environment that is comprised of 5000

employees/users is $5,182,100 (+$425,000 yearly). As is

determined from Table 4.

As seen from the tables above, there indeed exists a

signiﬁcant ﬁnancial beneﬁt from replacing proprietary

solutions with open source solutions. However, there are

some caveats that tend to be linked with the use of open

source software. Which is that some of them do not offer free

support, as in some of the OSS solutions will have a certain

annual fee attached to them if having a functional support

channel with the developers is required. This could be

considered a downfall to OSS although not all of the solu-

tions follow this practice.

Another factor that is difﬁcult to quantify is that switching

to OSS solutions will require some form of training for the

current workforce in order to gain the necessary skillset to

operate these solutions. Which might take time as well as

cost money. However, the ﬁnancial beneﬁt from switching

to an overall OSS focused platform will heavily eclipse the

potential cost of training required to use said solutions.

It is also important point out that some of the proprietary

solutions operate on a yearly license that needs to be

renewed, in this case, the yearly required amount is added

next to the total cost, as a way to simplify the amount of

money required and to generate a more accurate estimate.

5 Conclusions and Recommendations

In conclusion, whilst recent trends seem to be indicating that

open source security solutions seem to be thriving, now they

are considered to be realistic alternatives for various orga-

nizations in the cybersecurity ﬁeld. To have a glimpse into

the world of cybersecurity, the article presented the various

IT components that require protection and the existing

cybersecurity solutions. Five studies are discussed here to

introduce the OSS opportunities and challenges. In addition,

the open source and proprietary security paradigms are

compared in thirteen distinct categories to show the possi-

bility of considering OSS as a reliable alternative to com-

mercial software. These categories are endpoint security,

uniﬁed threat management, application ﬁrewall, anti-spam,

encryption, intrusion detection, network ﬁrewalls, user

authentication, network monitoring, risk management,

forensics, anti-spyware, and mobile device management and

intrusion prevention. Two different surveys were conducted

to properly measure opinions of the public to compare the

two software paradigms. As seen from the research, there

indeed exist ﬁnancial beneﬁts from replacing proprietary

solutions with open source solutions. However, there are

some caveats that tend to be linked with the use of open

Fig. 10 Survey question No. 5 and its results

Exploring the Opportunities and Challenges of Open Source …125

source software. Which is that some of them do not offer free

support, as in some of the OSS solutions will have a certain

annual fee attached to them if having a functional support

channel with the developers is required. This could be

considered a downfall to OSS although not all solutions

follow this practice. Another factor that is difﬁcult to

quantify is that switching to OSS solutions will require some

form of training for the current workforce to gain the nec-

essary skillset to operate these solutions. Which might take

time as well as cost money. However, the ﬁnancial beneﬁt

from switching to an overall OSS focused platform will

heavily eclipse the potential cost of training required to use

Table 3 Estimated costs for 200 employees

Area of solution Proprietary license cost (windows

environment)

Proprietary license cost (Linux

environment)

Open source license

cost

Endpoint security $8000 (yearly) $8000 (yearly) $0

Uniﬁed threat

management

$5193 $5193 $0

Application ﬁrewall $4749 $4749 $0

Anti-spam $730 $730 $0

Encryption $1475 $12,400 $0

Intrusion detection $1199 $1199 $0

Network ﬁrewalls $2399 $2399 $0

User authentication $1600 $1600 $0

Network monitoring $9230 $9230 $0

Risk management $115,500 $115,500 $0

Forensics $3594 $3594 $0

Anti-spyware $9000 (Yearly) $9000 (Yearly) $0

Mobile device

management

$28,000 $28,000 $0

Intrusion prevention $21,995 $21,995 $0

Estimated cost $195,664 + $17,000 Yearly $206,589 + $17,000 Yearly $0

Table 4 Estimated costs for 5000 employees

Area of solution Proprietary license cost (windows

environment)

Proprietary license cost (Linux

environment)

Open source license

cost

Endpoint security $200,000 (yearly) $200,000 (yearly) $0

Uniﬁed threat

management

$129,825 $129,825 $0

Application ﬁrewall $118,725 $118,725 $0

Anti-spam $18,250 $18,250 $0

Encryption $35,625 $310,000 $0

Intrusion detection $29,975 $29,975 $0

Network ﬁrewalls $59,975 $59,975 $0

User authentication $40,000 $40,000 $0

Network monitoring $230,750 $230,750 $0

Risk management $2,887,500 $2,887,500 $0

Forensics $89,850 $89,850 $0

Anti-spyware $225,000 (yearly) $225,000 (yearly) $0

Mobile device

management

$700,000 $700,000 $0

Intrusion prevention $549,875 $549,875 $0

Estimated cost $4,890,350 + $425,000 yearly $5,182,100 + $425,000 yearly $0

126 I. Alsharif and A. Khelifi

said solutions. The implementation of the replacement of

propriety software by OSS as indicated in this paper can be

an interesting future research to validate the study with

concrete solution.

References

1. Levy, I.: Government Systems: How Much Security is Enough?

From http://security.governmentcomputing.com/features/2011/oct/

25/cesg-information-assurance-government. (2011)

2. Carman, A.: Study: ‘High Priority’Issues Hamper Endpoint

Security Solution Implementation. From https://www.scmagazine.

com/endpoint-security-survey-illuminates-issues-for-it-profession

als/article/539374/. (2014)

3. Nigelow, S.J.: Security Channel Survey: What Security Clients

Want from Solution Providers. From http://searchitchannel.

techtarget.com/survey/Security-channel-survey-What-security-

clients-want-from-solution-providers. (2008)

4. Xing, M.: The Impact of Commercial Open Source Software on

Proprietary Software Producers and Social Welfare. From http://

www.jiem.org/index.php/jiem/article/view/1260/631. (2014)

5. De, R.: Economic Impact of Free and Open Source Software Usage

in Government—A Report. From http://icfoss.in/news/economic-

impact-of-free-and-open-source-software-usage-government-a-

report. (2009)

6. Peeling, N., Satchell, J.: Analysis of the Impact of Open Source

Software. Retrieved from http://www.eurim.org.uk/activities/oss/

0110qinetiqoss.pdf. (2001, October 1)

Exploring the Opportunities and Challenges of Open Source …127

Feasibility Analysis of Blockchain

for Donation-Based Crowdfunding

of Ethical Projects

Nida Khan and Rachid Ouaich

Abstract

Donation is a necessary social tool that is plagued by

many inherent shortcomings. A novel model in the form

of a decentralized app was designed in the Ethereum

blockchain to solve the challenges present and optimize

the process of Zakaah donation. Load and stress tests on

the prototype of the smart contract in the public testnet of

Ethereum were analyzed to gauge the feasibility of mass

usage. Similar tests were done in Hyperledger to conclude

on the optimum blockchain platform for Zakaah. An

anomaly was detected during the testing phase of the

decentralized app in the public testnet of Ethereum and it

was exploited to propose a novel strategy to enhance the

throughput of Ethereum. The testing is a pioneer in

evaluating the throughput and feasibility of a blockchain

based ﬁnancial product and provides a benchmark to

validate the business and technical hypotheses of other

similar ﬁnancial products and services.

Keywords

Blockchain Feasibility Donation Throughput 

Zakaah Smart contract Fintech

1 Introduction

The world presently houses 795 million hungry people [1]

with approximately 4.95 billion people living on less than

$10 a day [2]. Zakaah is an obligation on Muslims to give

2.5% of their accumulated wealth annually for charitable

causes. $125 million donated by Zakaah and Sadaqah

(charity) helped 8.3 million people in 2015 [3]. The amount

$125 million represents 0.063% of the lower threshold of the

total Zakaah collected annually [4]. The process of donation

is ridden with several problems. There exists reliance on

third parties for donation-based payments [5], absence of an

easy and transparent way to donate and an inefﬁcient dis-

tribution of money depriving the one’s in need [6]. The

charities presently are always under scrutiny for the dis-

charge of money made available to them while the end

receivers remain at the mercy of charities. There are pre-

sently 1.7 billion Muslims with no transparent service to aid

in the discharge of the religious obligation of Zakaah.

The enumerated problems and the compelling need for a

transparent donation system motivated the development of

the Ethereum decentralized app, Zakaah dapp that forms the

foundation of this paper. The dapp is designed to protect

against third party fraud, ensure auditable [7] transactions

and execute real-time donations directly to the receivers.

A smart contract was coded to optimize the zakaah collec-

tion, distribution and impact documentation process through

the dapp. Blockchain is a nascent technology and there does

not exist another similar usage of smart contracts that could

have aided in the design and development process. Zakaah

dapp is a pioneer in this respect.

The paper is organized to give the relevant background in

Sect. 2. The functional architecture of the Zakaah dapp is

discussed in Sect. 3. Section 4of the paper highlights an

anomaly detected during the testing of dapp on the public

testnet of Ethereum and exploits the anomaly to analyze

submission of transactions and mining times independently

in Sect. 5.4. Zakaah is mostly discharged in the month of

Ramadhan, when Muslims observe fasting. Therefore, the

application has to be resilient to the extra load during this

month. In Sect. 5, the paper also elaborates the test results of

three different strategies employed to measure the through-

put of Ethereum during periods of extra load on the dapp and

discusses the feasibility of the different approaches adopted.

The paper also depicts in Sect. 5.5 the test results of ser-

vicing the requests of multiple users through a single node

N. Khan (&)

University of Luxembourg, Luxembourg City, Luxembourg

e-mail: nida.khan@uni.lu

R. Ouaich

ConexCap, Luxembourg City, Luxembourg

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_17

129

functioning as an Ethereum client in comparison with setting

up a single dedicated node per user.

An analysis of the private networks of different block-

chains has already been conducted [8]. Therefore, a com-

parison of stress test results on the public Ethereum testnet

network and the private Hyperledger development environ-

ment was dealt with to aid in the proposition of an optimum

scalable blockchain-based solution to the problem. Related

work is highlighted in Sect. 6. Conclusions drawn and future

work is discussed in Sect. 7together with the proposition of

a novel strategy to improve the throughput of Ethereum and

increase the probability of transaction inclusion in the

blockchain. The decision was reached as a conclusion of the

tests conducted, which spans 0.3 million transactions suc-

cessfully submitted on the public Ethereum testnet, Ropsten

over a duration of 57 days and includes 3 contract creations

on the blockchain.

2 Background

Blockchain is a public ledger of transactions that consists of

a peer-to-peer network and a decentralized distributed

database. It is a decentralized ledger that is used to exchange

currency and perform deals and transactions without trusted

[9] intermediaries. The data structure in blockchain is a

continuously growing chain of blocks, with the latter refer-

encing the former. Each block is a record of individual

transactions that are secure against tampering. Ethereum is a

blockchain platform that provides the users with the service

to run smart contracts [10]. It is a decentralized technology

that aims to guarantee the outcomes for any user for his

interactions with any other individual or system [11].

Smart contracts are written in the programming language,

Solidity [12], which is similar to a JavaScript-like language

and are compiled down to the bytecode for the Ethereum

Virtual Machine (EVM) [13]. Smart contracts are any con-

tracts that are capable of automatic enforcement without the

need of a third party. They are computer programs that can

deﬁne rules and consequences in an equivalent manner as

legal contracts [14]. A dapp is a decentralized app that

enables users to interact through a HTML/JavaScript web

application using a JavaScript API with the blockchain. The

dapp has its own business logic encoded in a smart contract

or several smart contacts deployed in Ethereum to ensure

persistent storage of data and transactions [15].

Hyperledger is hosted by the Linux Foundation and it is a

collaborative effort to develop blockchain-based distributed

ledgers. IBM provides blockchain solutions and services like

Hyperledger Fabric, leveraging on Hyperledger technologies

[16].

3 Functional Architecture

Zakaah dapp is conceptualized to fulﬁll the obligation of

Zakaah according to a subset of categories deﬁned in the

Shariah, Islamic Law, and aid in achieving some of the

Sustainable Development Goals of United Nations Devel-

opment Programme (UNDP) [17]. A charitable endowment,

waqf [18] is responsible for reviewing the veriﬁcation of the

authenticity of the projects before exchanging the cryp-

tocurrency, Zakaah Coins, into physical currency. The ver-

iﬁcation of the projects hosted on the Zakaah dapp is done

by charities, where the addition of the latter is done by the

waqf. The entire architecture is built on donors and receivers

as the primary agents. Charities function solely as autho-

rizing entities and waqf is the body that triggers the

exchange into physical currency for the digital currency.

The donors and charities register through the smart contract.

A donor on registration can see a list of all the projects with their

respective charities, funding goal and category. The donor

purchases Zakaah Coins, a cryptocurrency, by transferring cash

to the bank account of the waqf. The exchange rate and the third

party payment integration in the dapp to facilitate the bank

transfer is to be determined by the business venture using the

dapp. When the donor has Zakaah Coins in his wallet, he can

donate these coins to any project he deems ﬁt. Once the funding

goal of a project is reached, the project can request the charity

for exchange of coins into physical currency.

Charities willevaluate the impact of the project. For example

if a project wants to build a well for providing drinking water

then they would have to upload on the blockchain the gov-

ernment permission to utilize that property for the said purpose.

This can be done through a function provided in the smart

contract. It is envisaged thatimages of receipts, documents and

the like will be uploaded on platforms like dropbox and the link

shared on the dapp. All the donations and all other data are

publicly available. The identity of the donors is private and can

be seen only by the donor himself and the waqf. The smart

contract ABI of the prototype of this dapp, which is deployed in

Ropsten [19] can be accessed together with the deployed

address from a GitHub repository (see [20]), facilitating public

usage of the smart contract for testing purposes.

Figure 1depicts the functional architecture of the

dapp. The design goals were accomplished keeping in mind

the need for transparency, auditability [21] and security.

4 Anomaly Detection in Dapp Testing

The implementation of the smart contract was done by using

Trufﬂe[22] with Webpack [23]. A live demo (see [24]) of

the main functions of the smart contract in the testnet

130 N. Khan and R. Ouaich

environment ethereumjs-testrpc [25] has been done. Testnets

simulate the Ethereum network and EVM (Ethereum Virtual

Machine). ethereumjs-testrpc is a local testnet used for early

stage testing in Ethereum. Figure 2depicts a screenshot of

Zakaah dapp.

After the development and testing of the dapp on ether-

eumjs-testrpc, testing on the Ethereum public testnet, Ropsten

[19] was accomplished. In order to connect to Ropsten, Geth

[26] is used, which is useful for connecting to public net-

worked testnets. Connecting to Ropsten through Geth simu-

lates the real Ethereum network. This testing was done through

one node connected to a wireless network and the other to an

Ethernet wired connection to simulate the behavior of both

kinds of users. The behavior of the dapp was studied in case of

no Internet connectivity. It is a good design practice to test the

behavior of any application when Internet connection fails.

When Internet connectivity is non-existent or fails intermit-

tently a user might press “Enter”multiple times when he sees

nothing is happening [27]. It is essential to ensure the response

of the application for this kind of user behavior.

Everything that Geth persists is written inside it’s data

directory stored on the local node [28]. It was observed that

any transaction that is submitted in the absence of network

connectivity gets stored in the local node’s data directory for

Geth and is broadcasted to the transaction pool when net-

work connection is restored. Transactions in the dapp are

being submitted using web3.eth.sendTransaction [29] and

not web3.eth.sendRawTransaction [29]. The latter is used

for broadcasting transactions signed ofﬂine. Essentially both

the signing of the transactions and their submission with the

return of the hash of the transaction is being done in the

absence of network connectivity. This anomaly is demon-

strated in a video, which was recorded during testing (see

[30]). Transactions were submitted with no Internet con-

nectivity through the Zakaah dapp and through a bash script

programmed to simulate the user in sub-mitting transactions

through the prototype to Ropsten.

5 Load and Stress Testing

Zakaah is an obligation which is discharged majorly during

the month of fasting, Ramadhan. Any application targeting

Zakaah donors should be able to handle the increase in load

during this time. It was therefore essential to do stress tests

on the Ethereum blockchain through the Zakaah smart

contract. A prototype of the smart contract was used to do

stress testing on the testnet, Ropsten. The prototypes of the

smart contract (Ethereum) and chaincode (Hyperledger), the

scripts used and the test results can be accessed through the

GitHub repository (see [20]).

The tests on Ropsten were conducted through 11

accounts [20]. The tests were run on two virtual machines, a

Windows-based operating system and another on Proxmox

Fig. 1 Functional architecture of Zakaah Dapp

Feasibility Analysis of Blockchain for Donation-Based …131

Virtual Environment [31]. Geth version 1.6.7-stable [26]on

linux-amd64 and Go version 1.8.1 [32] were used for the

tests. The prototype of the Zakaah smart contract was

deployed on Ropsten [20]. All transaction hashes and

timestamps can be veriﬁed through Ropsten [19]. The gas

price used in the transactions varies linearly between 30

gwei and 31 gwei and has a Transfer Wait time of 0.5 min

and a transaction Conﬁrmation Time of less than 1 s [33].

The stress tests on Hyperledger were done on Fabric v0.6

[34]. Vagrant development environment was used with

security and privacy disabled. A single node private network

was used to complement the already available higher limit of

the throughput, 3000 transactions per second [35] of a single

node Ethereum private network in Parity [36].

5.1 Throughput Comparison of Synchronous,

Asynchronous and Offline Submission

of Transactions

Transactions in counts of 10, 100, 1000 and 10,000 were

submitted on Ropsten through the deployed smart contract

through a single account per node. It was observed that not

all transactions were mined even after a period of 24 h.

Three different mechanisms were used to submit transac-

tions. After conducting multiple tests with a single account,

10 accounts were created to submit transactions in parallel

through a single node to study the servicing of requests by a

node functioning as an Ethereum client connected to the

blockchain. Tests with 10 accounts were repeated to get an

adequate number of samples consisting of a large number of

transactions (15,000 and 40,000) to calculate the standard

deviation, margin of error, mean and conﬁdence interval

with 95% conﬁdence level on normalized data for success-

fully mined transactions to reach an unbiased conclusion on

the throughput. The value of z critical is 1.96.

Synchronous A stream of 1000 transactions was sub-

mitted to the blockchain. The test was repeated 15 times and

the results can be seen in Fig. 3. The shaded region repre-

sents the conﬁdence interval 0.538–0.818, ris 0.277, µis

0.678 and margin of error is 0.140.

Asynchronous Batches of 10 transactions were submitted

after a delay of 80 s to the blockchain through the Ethereum

client. In each test, 1000 transactions were submitted and the

test was repeated 15 times. The test results can be seen in

Fig. 4. The delay of 80 s was found to give the maximum

throughput in the network conditions the tests were con-

ducted. Other delays of 10, 12, 15, 70 s among others were

tried but failed to give an optimum throughput. Figure 4

depicts that the conﬁdence interval is comparatively smaller

0.937–0.961 accompanied by an increase in throughput with

aµof 0.949. The margin of error is 0.012 and ris also much

less at 0.024.

Ofﬂine Transactions were submitted to Geth with no

Internet connectivity and post network connection estab-

lishment they were broadcasted automatically to the trans-

action pool for mining. The results can be seen in Fig. 5.

Both the margin of error 0.045 and r0.089 are small

Fig. 2 Screenshot of Zakaah Dapp

132 N. Khan and R. Ouaich

Fig. 3 Synchronous: r= 0.277,

µ= 0.678

Fig. 4 Asynchronous:

r= 0.024, µ= 0.949

Feasibility Analysis of Blockchain for Donation-Based …133

compared to synchronous but are more when compared to

asynchronous. The conﬁdence interval also is also wider

than asynchronous accompanied by a 1.6% increase in

throughput as compared to asynchronous.

5.2 Plausible Explanation for Increase

in Throughput for Asynchronous

Submission

Ethereum operates in an asynchronous environment, the

Internet. The command used to submit the transaction

through the JavaScript Console in the dapp and Geth, web3.

eth.sendTransaction is with a callback and this is also

asynchronous in nature. Therefore, an asynchronous sub-

mission of transactions gives improved throughput. If bat-

ches of data are transmitted, at periodic timeouts the

transactions that get mined increases by 27.1% in a small

population size (see Fig. 4) and 29.9% in a large population

size (see Fig. 6). The size of the batch and the timeout can be

determined by the prevailing network conditions.

5.3 Summary of Testing

Ofﬂine test was conducted using 10, 1000 and 10,000

transactions from a single account ﬁrst. Both 10 and 1000

transactions were mined without any transactions being

dropped off by Geth as per heuristics and age. However

when 10,000 transactions were submitted only 4598 were

mined and the rest were rendered invalid. The size of the

local cache was increased from 128 to 1024 MB and the

tests were repeated with 10 accounts as mentioned before

and the total number of transactions that were mined

increased from 4598. However it still remains to be tested if

the increase in the number of transactions mined was due to

increase in the cache size of Geth on the Ethereum client or

the increase in the number of slots in the transaction pool for

multiple accounts (4096 transactions with 1024 in queue

were the transaction pool statistics for Geth on the Ethereum

client for multiple accounts with each account permitted to

have 16 executable transactions and 64 transactions in queue

[37]). It was also observed that during ofﬂine submission,

the mined transactions were in blocks, which had more

transactions than found normally in the testnet. Hence, an

increase in the number of transactions in a block was

witnessed.

Throughput was also seen to be affected by whether the

network connection to the blockchain is through wireless or

an Ethernet cable. The wired Ethernet used had a download

speed of 814.59 Mbit/s and an upload speed of 498.60

Mbit/s. The wireless had a download speed of 14.12 Mbit/s

and an upload speed of 1.51 Mbit/s. Wireless was from a

distance of 13.97 km from the best server and reported a

network latency of 43.824 ms. The wired Ethernet was from

a distance of 14.86 km from the best server and recorded a

Fig. 5 Ofﬂine: r= 0.089,

µ= 0.965

134 N. Khan and R. Ouaich

latency of 4.687 ms (tests conducted using [38]). The load

testing was done on both the environments whereas the

stress tests to get the standard deviation were executed on

the wireless in the wake of a larger number of users using the

wireless to access the services on the Internet [39].

100 synchronous transactions were mined in an Ethernet

connection but the throughput decreased by a considerable

percentage over a wireless connection. Asynchronous sub-

mission of transactions with the delay of 80 s gave a

throughput in the range of 92.9–94.9% in both Ethernet

wired and wireless connections in all ranges of the transac-

tions sent and came across as the most suited mechanism for

submitting transactions to the Ethereum blockchain.

5.4 Analysis of Submission and Mining

Functions

The anomaly detection during dapp testing provided the

opportunity to study the submission of transactions sepa-

rately from the mining. A test was conducted by sending

1000 transactions in ofﬂine mode to measure the submission

and mining times separately. The test was repeated 6 times

resulting in an average time of 357.67 s for submission and

an average mining time of 294.67 s. The throughput in the

case of 10,000 transactions was extremely poor in ofﬂine

mode and hence only one sample data was chosen which

recorded a throughput of 94.9% (see the data used in [20]).

The submission time for 10,000 transactions was 4240 s

whereas the mining time was 10,619 s. It was thus observed

that mining time increases at a much larger rate than sub-

mission time and is much higher than submission time when

there is network congestion by a lot of pending transactions.

However, mining time is less or equivalent to the submission

time for periods of low network trafﬁc. It was also observed

that transactions are mined within seconds after being

broadcast from the Geth node. However, on account of

network congestion, they remain pending in Geth node and

their broadcast is delayed. Therefore, a larger cache size

would affect the throughput but more validation by testing is

needed.

5.5 Effect on Throughput by Serial and Parallel

Submission of Transactions

The throughput of Ethereum can be increased if the number

of transactions that are submitted to the blockchain increa-

ses. Ethereum has a ﬂexible gas limit for the blocks and

thereby the gas limit will increase with the increase in the

number of transactions [40], resulting in an increase in the

throughput. A test was done by submitting 100 2 syn-

chronous transactions in parallel from two nodes from two

accounts and then submitting 200 synchronous transactions

from a single node from one account over an Ethernet wired

connection. There was a difference in the total time taken by

serial and parallel submission in this case. When parallel

submission of transactions was done from two different

Fig. 6 Comparison for 40,000

transactions

Feasibility Analysis of Blockchain for Donation-Based …135

nodes, then the submission time was much less and there

was an increase in the throughput. In parallel submission of

transactions, all 200 were mined and in serial submission

only 143 were mined, hence there was a decrease in mining

time observed in serial submission. This is also because of

the limit on the transactions by a single account in the

transaction pool [37]. Tests were repeated for 1000 trans-

actions from a single account on a node and 10 accounts

submitting a total of 1000 transactions in parallel from the

same node. It was observed that the serial submission had an

average normalized mean throughput of 0.579 as compared

to 0.717 in parallel submission for 6 samples, each of 1000

transactions. This led to the conclusion that utilizing a single

node for an individual user is both infeasible technically and

practically.

5.6 Comparison with Hyperledger

The load and stress tests in Hyperledger were done on the

same pattern of 10, 100, 1000 and 10,000 transactions

submitted in a synchronous stream. The test results show

that the throughput of Hyperledger is very high compared to

the public Ethereum testnet. No transactions failed in

Hyperledger but a more thorough evaluation needs to be

done by increasing the number of nodes in the private net-

work to see the reduction in the transactions handled per

second and come up with an appropriate number of nodes in

which a reasonable throughput is obtained. A similar eval-

uation should be done for Ethereum private network by

altering relevant parameters like block gas limit to include

more transactions. Such data would help in setting up private

networks in different geographical regions similar to the

ofﬁces of Islamic Relief, UK that function in different

countries to administer the collection and distribution of

Zakaah [3].

There is already data on comparison of private networks

of Hyperledger and Ethereum [8] but no such comparison

was available between the public Ethereum network and

Hyperledger to complete the research on different options

available. Further, the cost incurred is higher in setting up a

private network and in Ethereum, security features are not

built-in like in Hyperledger. This precludes a higher

investment of capital. Tests were repeated 6 times for a batch

of 1000 transactions from a single account per node and

Ethereum recorded an average mining time of 605.33 s with

Hyperledger at 300 s for 6000 transactions in total. The

mean throughput of Ethereum was 57.95% and Hyperledger

was 100%. The results (calculations and data can be seen in

[20]) are good for setting a base for deciding which block-

chain to use but they do not do justice to the real throughput

of the blockchain platforms. This is because as seen in

Sect. 5.5 Effect on Throughput by Serial and Parallel

Submission of Transactions, the throughput of Ethereum

increases with increase in the number of nodes sending

transactions until it reaches a certain maximum limit [8],

whereas it decreases in Hyperledger [8].

6 Related Work

Ethereum is amongst the most popular blockchain platforms

and emerges as the leader because of its smart contract

functionality. It is thus surprising that there are rare studies,

if any, having been conducted on analyzing the platform

outside formal models. Gervais et al. [41] introduce a novel

blockchain simulator to analyze the security and perfor-

mance of proof of work blockchains like Ethereum. The

present work differs in being an analysis of the performance

of the Ethereum public test network, which is active and

being used globally. In [42] Anderson et al. categorize the

transactions in Ethereum into currency transfers and contract

creations. This is different from the work accomplished in

this paper where transactions have been critically evaluated

for throughput enhancement and used to perform stress tests

on the blockchain. In [8] a benchmarking framework has

been proposed to analyze private blockchains focusing on

the performance metrics of existing blockchain platforms.

Similar work in Ethereum has been accomplished in [35] for

analyzing throughput of transactions in private network and

in [43] for benchmarking full blockchain processing time.

[44] negates the assumption that information dissemination

in the Bitcoin blockchain network is directly received by the

nodes. [45] attempts to explain the factors resulting in the

probability of transactions being mined in Ethereum as 70%.

The work accomplished in the present paper comes very

close by providing a transaction inclusion probability range

of 63–67.8% with a 95% conﬁdence level for transactions

submitted synchronously (see Figs. 3and 6). In [46] Ahmed

et al. propose a decentralized smart contract system to pre-

serve transactional privacy on the blockchain. The work in

the literature so far does not embark on any analysis of a

dapp and a smart contract use case. Additionally the test

results in the paper obtained are the product of submitted

transactions and not simulations. This work is a pioneer in

many respects including providing a validated solution to

increase throughput and probability of transaction inclusion

by 92.9–94.9%.

7 Conclusions and Future Work

The mechanism of asynchronous submission of transactions

and the ofﬂine collection of transactions for broadcasting

later on can be merged to realize a practical methodology to

submit transactions in the blockchain. Asynchronous

136 N. Khan and R. Ouaich

submission can be impractical depriving the users of

accessing the blockchain during the timeouts. A combination

as stated above of asynchronous with ofﬂine mechanism can

be more realistic from the perspective of providing a good

user experience for the dapp and can be seen in Fig. 8.

During the timeout for the combination methodology, the

read requests by the users can still be returned by Geth

searching the local copy of the blockchain. A new block is

created every 15 s in Ethereum [45] and to ascertain it’s

inclusion in the main chain at least 3 block conﬁrmations are

needed [47] so a timeout of even 45 s would be able to fetch

relevant data for the read queries by the users if they are

present in the recently added blocks. The transactions sub-

mitted would get stored in the local cache for Geth.

In the implementation governing asynchronous transac-

tion submission, the throughput has already been evaluated

and tested to lie in the interval 92.9–94.9% and this imple-

mentation can be visualized as in Fig. 7. The tests for a

combination of the two above mentioned mechanisms were

carried out by selecting random timeouts. A timeout of 30 s

was chosen in which there was no Internet connectivity and

this was followed by a period of 30 s in which the node was

connected to the blockchain. A bash script was run in par-

allel throughout the time transactions were submitted to

repeat this timeout persistently. A mean throughput of

64.76% was recorded. The second test was conducted with a

timeout of 10 s of no Internet connectivity followed by

Internet connectivity for 80 s. A mean throughput of 53.04%

was obtained. The tests were repeated for a total of 40,000

transactions. It is thus observed that the choice of timeout

has a major impact on the throughput.

Another peculiar observation during testing for the

propositions was that the ﬁrst batch of 10,000 transactions

had a throughput of 94.53%, which was followed by another

batch with 64% and then it dropped drastically in the sub-

sequent two batches to 25.47 and 25.83% respectively. The

possible explanation for this is that blockchain is presently

not able to handle a high load. The throughput will be good

for low loads and fall sharply for a high load on the

blockchain network. Asynchronous divides the load through

the timeouts. In the wake of the improvement in throughput

asynchronous transaction submission offers, it is imperative

that more work be done on Proposition II (see Fig. 8)to

provide a continuous access to the blockchain service, while

retaining the throughput increase recorded in Proposition I

(Fig. 7).

Stress test results reveal that maximum throughput is

obtained in asynchronous submission of transactions and it

is the most stable in terms of performance. Scalability issues

exist in both Ethereum and Hyperledger. The ideal

throughput evaluation in this paper might decrease when an

extremely high number of transactions are submitted in

parallel from different nodes in Ethereum on account of

network congestion. In Hyperledger too the performance

would deteriorate because of increase in the number of nodes

[8]. As per test results better throughput would be obtained

when multiple users interact with the blockchain through a

node. A business organization can set up several nodes as

Ethereum clients, distributed globally based on the number

of potential users and target markets. It was computationally

expensive to mine for the requisite ethers to submit more

than 0.3 million transactions on the public testnet and the

Fig. 7 Proposition I

Feasibility Analysis of Blockchain for Donation-Based …137

tests conducted provide a real benchmark of the performance

of the blockchain through a dapp and a smart contract.

Zakaah dapp to implement a donation-based crowd-

funding platform on blockchain would be a better proposi-

tion presently to avoid the costs of setting up a private

network. No reliable data is available on the total number of

Zakaah donors and the average donations made by them

annually or during Ramadhan enabling an estimation of the

average number of transactions needed per donor. The

importance of such an application can be realized from the

fact that if an amount equivalent to Zakaah, $192.5 billion

[48] is taken from the total wealth of $7.7 trillion dollars of

2043 billionaires in the world [49] then this has the potential

to help 12.3 billion people. This is equivalent to 1.77 times

more than the world’s population [48]. Considering the

future implications and in the absence of requisite data, the

optimum approach is to use the Zakaah dapp in a small

geographical region limiting the number of users to gather

usage statistics by employing the proposed asynchronous

transaction submission mechanism until an optimization for

Proposition II is reached.

Acknowledgements This work is funded by the Luxembourg

National Research Fund under it’s AFR-PPP Programme, which is

aimed at providing Ph.D. and Post Doc grants for innovation and

industry partnerships. The work came into execution by the efforts of

Anass Patel from ConexCap [50] under the able guidance of Dr. Radu

State from Services and Data Management in Distributed Systems

Research Group [51].

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Feasibility Analysis of Blockchain for Donation-Based …139

Foreign Policy of the United Arab Emirates

(UAE): Continuity and Change

Mariam Alzaabi

Abstract

This paper analyzes how the United Arab Emirates

(UAE) foreign policy was built, developed, and evolved

by exploring the state’s foreign policy tools throughout

two major periods of time; the Zayed era (1971–2004)

and the post-Zayed era (2004–today). It utilizes various

theoretical methods, concepts, and frameworks of inter-

national relations such as ‘small states’and ‘soft power.’

The paper examines the role of changing leadership, and

the effects of regional and international events—such as

the Arab Spring—and globalization on the UAE foreign

policy in the post-Zayed era. By comparing different

aspects of continuity and change in the state’s foreign

policy tools across the Zayed and post-Zayed eras, the

paper concludes that UAE’s foreign policy in the

post-Zayed is a dynamic period that did not pivot away

from the original foreign policy goals and principle of the

Zayed era. The paper ﬁnds that the UAE foreign policy in

the post-Zayed era is a mere progressive continuation of

the Zayed FP goals and principles.

Keywords

UAE foreign policy Foreign policy tools 

Small states Soft power Hard power

1 Introduction

In the past two decades, the UAE grew as one of the most

assertive and dynamic forces of the Middle East and North

Africa (MENA) region. The UAE is no longer holds the

image of a small rentier state of the Arabian Gulf as it

progressed into a key regional player with soft power, eco-

nomic and military might. For instance, the Economist

magazine has referred to the current UAE administration as

one that functions like a ‘Little Sparta,’emphasizing on the

UAE’s growing hard power capabilities [1]. On the other

hand, Dubaization [2] is now an actual term that is used to

describe ‘the process of urbanizing a city with futuristic,

pioneering architecture,’which speaks volumes to the

UAE’s soft power and vision of transforming itself into a

global hub and a brand for development and prosperity. The

UAE’s current outlook is a huge transformation considering

the fact that the UAE was only born four decades ago (1971)

in the turbulent and hostile MENA region. It was a small

monarchic federation, with a small population, a reinter oil

wealth and most importantly a tribal society that lacked the

experience of statehood. Today, oil is no longer the only

driver for UAE’s prosperous ambitions as the country has

moved away from the conventional way of doing things,

adopting a new style of foreign policy (FP) orientation and

application tools.

In this paper, we look at the UAE FP by identifying two

separate Eras of FP behavior, the Zayed era (1971–2004)

and the Post-Zayed era (2004–Today). First, we will

examine the UAE FP goals, principles and tools during the

Zayed era. Second, we will explore the emergence of a new

age of FP during the Post-Zayed era by examining three

different domestic, regional and international factors to

explain the FP orientation of the UAE in the Post-Zayed era.

These factors include the change in UAE leadership, the

Arab Spring and the process of globalization. Finally, we

will showcase different examples of UAE FP tools in the

Post-Zayed era to understand the aspects of continuity and

changes in the UAE FP, and to answer the main question

behind this paper of ‘did the UAE FP in the Post-Zayed era

pivot away from the original FP goals and principles of the

Zayed era?’

M. Alzaabi (&)

College of Security and Global Studies, American University

in the Emirates, Dubai, UAE

e-mail: mmaalzaabi@gmail.com

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_18

141

2 Literature Review

2.1 UAE Foreign Policy (1971–Today)

There are several prominent books on the subject of UAE

FP; the majority of them were published during the Sheikh

Zayed era (1971-2004). Several authors such as [3–6], have

suggested that there are ﬁve major objective conditions that

affected how the UAE FP was constructed during the Zayed

era (1971–2004). These objectives are: the country’s rentier

wealth, its strategic position, small citizen population, Arab

and Muslim identity and ﬁnally the tribal connections

between the small Gulf States. [7] also points out similar

attributes by exploring how the UAE came into existence

with a remarkable wealth, a small population that grew to

encompass a large number of foreigners, and federal form of

government in a tribal society like the Arabian Peninsula.

According to [3,5–7], the UAE’s FP during the ﬁrst

30 years was majorly in the hands of the late Sheikh Zayed

AlNehyan. This is important to note, as it’s unlikely for the

president in most federal states to be the primary source of

authority on FP. They all suggest that Zayed’s charismatic

personality has played a major role in him consuming such

position and dominating the arena of decision-making.

In regards to the UAE foreign policy during the

Post-Zayed era, there are several important works on the

subject that must be highlighted. For instance, [8] provide an

interesting look at the UAE foreign policy during the Zayed

era and the Post-Zayed era. According to [8], the change of

leadership and its effect on UAE FP identity, for instance,

the author clearly points out that Zayed was known for his

wisdom and charisma to mediate issues, while Sheikh

Khalifa bin Zayed (current UAE president) is known for his

emphasis on cooperation and coordination to achieve the

shared goals of the GCC block. Moreover, [8] points out that

the UAE FP during the Post-Zayed era have witnessed three

major changes, all of which are in relation to the new

leadership of the state, which includes the rising role of H.H.

Sheikh Mohammed Bin Zayed, Crown Prince of Abu Dhabi.

Also, [8] emphasizes that the UAE is no longer heavily

invested in Arab and Islamic matters, it’s now more outward

looking in its relations with the west, and consuming a role

of heavily pressuring Iran through the international sphere

and its organizations. Moreover, the author identiﬁes two

major tools used by the UAE in its FP, diplomatic ones and

economic tools afﬁrming the concentrated efforts of UAE

foreign aid policy in its international relations.

In addition, [9] stresses on the new realities of the region

by looking into the effects of the Arab Spring on the different

GCC States. The different chapters of the book [8] highlight

major themes such as effect of regional contexts on the UAE

internal structure and political system change. For instance,

[9] referred to Sheikh Khalifa’s era as an anticipated ‘gen-

erational change’and highlighted the new interests of the

UAE foreign policy because of the changing balance of

power in the region. [9] underlined the important view that

the UAE in the Post-Zayed era is a state that plays a major

role on the Arab front, citing examples of UAE participation

in the Libya No-Fly Zone and Bahrain uprisings.

An interesting view on the development of the UAE FP

after Zayed is provided by an Emirati author [10], who

makes the clear distinction that the UAE FP can be analyzed

through two stages or eras: The Zayed era (1971–2004) and

the Post-Zayed era (2004–Current). Concerning the

post-Zayed era, [10] points out that the UAE have grown

more assertive and dynamic in nature highlighting the cur-

rent active endeavors by the UAE on the international arena.

According to [10], while Zayed’s FP was ‘ideal’consuming

the natural role of a small state, the post-Zayed FP is taking

the international or global direction but totally remaining

realistic in its approach. [10] emphasizes that the economy is

what mobilizes this international approach of UAE FP,

pointing out that other aspects such as security and state

identity are less inﬂuential.

Soubrier [11] provide another thought-provoking view

about the Post-Zayed era UAE FP, which studies the

UAE FP through the lens of the country’s domestic and

external environment. The author offers his own under-

standing of the UAE FP orientation throughout both eras, the

Zayed era and The Post-Zayed era. According to [11],

Sheikh Khalifa’s succession had no effect on the overall

direction of the UAE foreign policy. In fact, he looks at the

current UAE foreign policy as a continuation of Zayed’s

legacy in terms of goals, commitments and FP tools. In

addition, [11], emphasizes that the country has ‘re-emerged’

on a regional scale and is more active in the Arab issues,

citing its efforts in the ‘Arab Quartet.’

Moreover, [12] focuses on the fallout of the Arab Spring

on the UAE FP in comparison to Qatar’s FP. According to

[12], the Arab Spring created a power vacuum that forced

GCC states to compete amongst each other to take charge of

the Arab World. Ulrichsen [12] Emphasizes on how the

Arab Spring drove the UAE to pursue a security policy that

stresses on the credibility of the ruling family. Furthermore,

[12] highlights that UAE post Arab Spring is no longer

‘armed neutral,’the UAE is now projecting actual hard

power through its participation in several operations like

Bahrain, Libya and most importantly in Yemen. Neverthe-

less, this is not evidence that the UAE is shying away from

its core FP principles and FP continuity. In fact, [12] argues

142 M. Alzaabi

that the UAE’s participation in these military operations is in

fact serving the country’s sovereignty in terms of regime

legitimacy and survival strategy.

Finally, one of the most updated and recent insights on

UAE foreign policy is provided by Saeed [13], which focus

on displaying a perspective of how FP making in the UAE

have changed. He adds to the previous works on the

UAE FP by supporting the view that Zayed was keen on

following a FP of cooperation with the international com-

munity and utilizing diplomatic means to resolve issues. On

the matter of UAE FP change or shift, [13] indicates that the

UAE FP change in the post-Zayed era is not related to one

factor (i.e. change in leadership). Nevertheless, it’s rather the

outcome of continuous change in the UAE foreign policy

orientation since the 1990s through the internationalization

of the country and the move away from its focus on Arab

and Islamic dimension.

2.2 Foreign Policy Tools| Soft Power

and Hard Power

States utilize different foreign policy tools and instruments to

pursue achieving their goals, principals and interests

regionally and internationally. According to [6,14], these

foreign policy tools can be seen through the broad categories

of diplomatic tools, economic tools and military tools. They

explain that the diplomatic tools are one the most prominent

instruments states use in FP. According to [6], diplomatic

foreign policy tools include the exchange of resources

through embassies and consulates. He also emphasizes that

it’s also about the skills states employ to partake in the

international system, mainly by joining international orga-

nizations and institution. Close-up Foundation [14] looks at

it as the ability to negotiate terms of interests between states.

Moreover, [6,14,15], all state that economic tools are

activities states use to manage and redistribute its economic

wealth within the state or internationally, and they are usu-

ally linked to activities such as trade, tariffs, sanctions, aid

and subsidies. Finally, [15] identiﬁes military instruments as

those activities of participating in military operations,

mobilization of troops, starting wars, and armed

interventions.

On the other hand, [16,17] point out that foreign policy

tools can be seen through the lens of power types identiﬁed

by [16] himself such as ‘Soft Power’and ‘Hard Power.’

Hard power would include tools and instruments of coercion

by threatening other states and achieving the FP goals and

interests by force. Clear examples of hard power tools would

be the use of military tools by waging a war, or the use of

economic tools of sanctions. Whereas tools of soft power, a

term coined by [16] in 1991, include actions that would

stimulate attraction based on values, culture and politics.

Soft power instruments co-opt rather than coerce, and they

would usually include diplomacy, foreign aid and public

diplomacy.

In addition, for the UAE, [14] points out that diplomacy,

economic instruments and media are the most prominent

instruments of foreign policy used during the Zayed era. In

his explanation for disregarding the military tools in Zayed’s

Foreign policy era, [14] clariﬁes that the UAE have disre-

garded military instruments due to the country’s‘smallness’

and its ability to successfully employ other tools to serve

protecting its national interests.

3 UAE FP: The Zayed Era

3.1 UAE FP Goals and Principles

and the Leadership Dimension

The main FP goals of all states include maintaining state

sovereignty, supporting national security, building power

capacity, increasing the level of economic prosperity,

strengthening its international standing and achieving inter-

national peace and stability [6]. For a small state like the

UAE, its minimum target of FP includes the different aspects

of maintaining its state sovereignty, protecting its national

interests and deterring outside inﬂuences [4].

However, the leadership dimension is a key part of the FP

making in most states. For the UAE, its FP was mainly the

reﬂection of its founder, Sheikh Zayed AlNehyan, values

and political perceptions [6]. In 1972, Zayed laid out the

main goals of the UAE foreign policy during his ﬁrst ever

speech as a president [6]. He emphasized on how the UAE

foreign policy is all about resolving conﬂicts peacefully with

neighboring countries, supporting Arab causes, coordinating

with Arab states in all ﬁelds, and committing to the inter-

national principles of the UN Charter [6].

On one hand, Zayed’s identity as an Arab and Muslim

guided the UAE into adopting this set of FP goals. For

instance, his sense of belonging to the Arab world is what

motivated the UAE to be a great advocate and supporter for

the Palestinian case. Moreover, the Islamic value of

humanitarian support is a clear motivator for UAE’s out-

standing record in providing foreign aid for the Arabs and

the Muslim world.

One the other hand, the distinctive features that are dis-

played in Sheikh Zayed’s speech happen to also be a typical

set of behaviors that small states tend to follow. For instance,

small states tend to limit their behavior to their immediate

geography, project a lower contribution in world affairs, and

focus more on regional issues [18]. For the UAE, this

translate into a foreign policy that is focused on establishing

cardinal relations with neighboring Gulf States and limiting

their inﬂuence to the Arab and Muslim dimension [5].

Foreign Policy of the United Arab Emirates (UAE) …143

Hence, we could say that objective conditions that deﬁne the

UAE FP of the Zayed era include the different small state

attribute of size and population, but also its remarkable oil

wealth, its strategic position, and most importantly its lead-

ership. In the next section, we will showcase the different FP

tools used during the Zayed era to showcase how they’re the

reﬂection of Zayed’s FP perceptions and values as a leader.

3.2 Zayed FP Tools

Quiet Diplomacy: Iran and the Three Islands. Diplomacy

is often regarded as the most prominent tool in FP. As for the

UAE, it was the late Sheikh Zayed who initiated the concept

of ‘quiet diplomacy’as an important part of the UAE FP

strategy, especially with his way of handling the ‘three

islands dispute’with Iran [14]. Back in 1971, Iran was able

to utilize the British departure from the area to its beneﬁtas

the later have controlled the area and served as a hegemonic

power for a long time [8]. Consequently, Iran occupied the

three islands known as the greater Tumb, the lesser Tumb

and Abu Mosa on the eve of the UAE independence from

the British, and Iran evicted the islands inhabits from their

homes, which led many of them to ﬂee to Ras Alkhaima

[19]. Iran claimed that those islands are part of its territory,

and there was no power to stop it from doing so. According

to the author, Zayed had little room to act upon as his new

state was fragile with no real power or allies, and Iran was

fully aware of that [5].

Nevertheless, the UAE’s emphasis on good neighborhood

and mutual understanding is highly motivated by Zayed’s

own values, which can be clearly found in his own words

[20]:

The truth is that we always seek to have our relations with our

neighbors based on full understanding and strong brotherly ties.

We can never seek to harm our friends or neighbors. If there is

any conﬂict or misunderstandings between us and a neighbor,

friend or brother, we turn to God and ask him to inspire us

patience and ability to get with the friend or brother and

neighbor to an understanding that beneﬁts the two parties

without resorting to the detriment of the interests of the two

countries or lead them to armed conﬂict.

As a result, Zayed used his famous ‘quiet diplomacy’

policy through protesting the Iranian claims through inter-

national platforms including the Arab League. The Emirati

claims over the islands were also showcased in a quiet

manner in the United Nations (UN) to avoid making a huge

problem out of it. Thus, diplomacy was a major tool to

establish the UAE’s historic claims over the areas and

avoided going into a war that was going to lead to ciaos in an

area that is already ﬁlled with unrest [14]. One can measure

the success of such FP tool by the fact that the UAE was able

to gain the Iranian recognition back in 1972.

Economic Embargo: The Oil Crisis of 1973. A very

distinctive feature of the UAE FP is its commitment to Arab

and Islamic affairs, especially the Palestinian case [13]. As a

result, the UAE utilized a different set of FP tools in support

of the Arabs and the Muslim world. The UAE utilized a

negative economic tool through the oil embargo of 1973,

and a positive economic tool developing a foreign aid

policy.

When the Arab-Israeli war of October 1973 broke out, the

United States (US) president Richard Nixon pushed for an

over 2 million US dollars of additional support to Israel to

support the Israelis in the war [5]. Many Arab states viewed

this as an act of ‘indirect’intervention. As result, King Faisal

of Saudi Arabia came up with the idea of an ‘oil boycott’on

states supporting Israel, and asked the same from Arab states

with oil wealth. Eventually, the Organization of the Petro-

leum Exporting Countries (OPEC) was able to reach an

agreement of cutting exports by 5% only on states sup-

porting Israel. Nonetheless, Sheikh Zayed intervened calling

for a total ban of oil export on the US, as the 5% sanctions

will not do the US any harm [5].

The UAE’s participation in the Oil Embargo was greatly

inﬂuenced by UAE’s leadership, it’s values and core

believes. For instance, Zayed made the famous line of “Arab

oil is not dearer than Arab blood,”[21] emphasizing the

importance of Arab Unity for the UAE. Thus, the UAE was

able alongside other Arab oil exporting states to maintain an

oil embargo for six months from October 1973 to March

1974. The UAE was able to cut its oil export to both US and

Netherlands due to their support for Israel during the war

[13]. For the ﬁrst time in Arab history, oil was able to unify

the Arab nations to pursue an interest that they could all

agree on, rather than look at Arab unity as sharing the same

history, language and religion. Besides, the embargo was

seen as a success as it was able to pressure countries such as

Japan to withdraw its support for Israel, which resulted with

lifting the ban on Japan [6].

Soft Power: Foreign Aid Policy. Another main theme in

Zayed’s foreign policy was his focus and interest in con-

tributing to the Islamic world. One way of achieving that

was through an international foreign aid and development

policy. At the early stages of the UAE history, the Arab

states were the main target of the UAE foreign aid policy.

Many of them were countries engaged in the Arab–Israeli

conﬂict such as Palestine, Egypt and Syria [11].

As a matter of a fact, the Arab world received more than

half of the UAE aid in the early years of the federation [8].

So, only four years after its establishment, the UAE managed

by 1975 to provide more than 9% of its GDP in the form of

foreign assistance [8].

According to annual Abu Dhabi Fund for Development

(ADFD) of 1974–1975, the countries that received UAE

144 M. Alzaabi

foreign aid in the form of loans during that period were

Jordan, Bahrain, Tunisia, Syria, Egypt and Yemen [22]. In

1976, the annual ADFD report showed how the UAE started

expanding its foreign aid receivers to include countries from

the Muslim world such as the Republic of Mali, Rorundi

Republic, Malaysia, Bangladesh and Sri Lanka [23]. By

2003, the ADFD have provided 152 loans to 45 countries of

a value reaching 11399.85 million Dirhams with the Arab

state still getting the major share of the loans provided in

terms of values reaching a 77.18%, Asian countries received

15.78%, African countries received 4.67% and the rest of the

world 2.37% [24]. Today, just like in 1975 and 1991, the

UAE remains at the top of the countries in terms of its

foreign aid programs in relation to its GDP, which we will

discuss later in the following chapters.

We can see Zayed’s regard for the values of Islam and

humanitarian work were evident in the way he described his

foreign aid policy:

We in the Gulf are pursuing our foreign policy in two parallel

directions. In our relations with the Arab and Islamic countries,

we regard it as the relationship of the brothers in Islam imposed

by our religion. We treat these countries the way siblings would

treat each other. The other line is purely human. In this world, we

have a duty in the way we treat human beings, to respect them as

human beings in order for them to respect us as human beings,

and to be as much of a friend to them as they are to us [20].

Hence, one can’t underestimate Zayed’s role and lead-

ership, as he truly believed of sharing this wealth. It was the

Zayed factor, his charisma and words that gave the UAE the

credibility and respect of other nations.

4 The Post-Zayed Era

4.1 UAE Foreign Policy Change

and the Leadership Dimension,

the Arab Spring and Globalization

As we’ve pointed out previously, the UAE FP during the

Zayed era was the result of Zayed’s own set of believes,

personality attributes and ideology. Therefore, it’s vital to

understand the role of leadership and decision makers who

took place after Zayed to analyze and make sense of the

changes in UAE FP during the Post-Zayed era. While the

change in UAE leadership is an important ‘domestic’factor

in shaping the new Post-Zayed era FP, there are also other

factors that can explain the current orientation in the UAE FP

interests. Both the ‘Arab Spring’and the process of global-

ization have majorly acted as forces that helped push the

UAE toward a new progressive and international looking FP.

UAE President, His Deputy and the Crown Prince of

Abu Dhabi. The ‘who’factor in understanding the UAE FP

from 2004 until today is not as clear as it was back in

Zayed’s era. The UAE after 2004 did not only witness the

succession of Sheikh Khalifa Bin Zayed as a President, but it

also saw the succession of Sheikh Mohammed Bin Zayed

(MBZ), Sheikh Khalifa’s half-brother, as the new Crown

Prince of Abu Dhabi. Besides, it also saw the succession of

Sheikh Mohammed Bin Rashid (MBR) as the Vice President

and ruler of Dubai later in 2006. According to Sheikh Dr.

Sultan bin Mohammed AlQasimi, Ruler of Sharjah, descri-

bed the leadership of Sheikh Khalifa as someone who likes

to work ‘quietly,’and that he’s supported by a ‘new blood’

of young decision makers referring to both MBR and MBZ.

Hence, we identify those three personalities as key to

understanding the leadership dimension of the UAE FP in

the Post-Zayed era.

MBZ is widely known for his military grounded per-

sonality and career, which explains the realistic approach

and assertive decisions the UAE has taken in the Post-Zayed

era. According to an article in The Economist, the magazine

identiﬁes MBZ as the driving energy behind the UAE’s

current ambitious and active FP, which is true since Sheikh

Khalifa fell ill back in 2014, and was absent from the

political scene [1]. On the other hand, MBR drives the lib-

eral strand of UAE FP. He is someone who is best described

by his own words as he aspires to put the UAE ‘to be

number one, not in the region, but in the world’[25]. MBR

consume a crusader leadership style of always being bold

and impetuous, pushing the boundaries of his context, and

having a clear vision in which he’s pursing without any

hesitation. Thus, explaining the outward looking aspect in

the UAE FP and the emphases on soft power instruments.

The Arab Spring and Globalization. The ‘Arab Spring’

or the uprising events of 2010 that took place in different

parts of the MENA region created a huge power vacuum,

which led to a furious competition among Gulf nations to

take on leadership of the Arab world [12]. To most Gulf

monarchies, the changes in the region’s dynamics were

perceived as a security threat. For the UAE, this new reality

of a reshaped Middle East meant adopting a new wave of

diplomatic and security measures to ensure the safety and

stability of the UAE, the gulf, and the region. That meant the

use of both hard power and soft power regionally and at

home with the main interest being restoring peace and

security, and ensuring the legitimacy of the ruling families.

As a result, the UAE participated in different events such as

the 2011 Bahrain uprisings, Libya No-ﬂy Zone and dis-

mantling the Muslim Brotherhood branch at home

(Al-Islah).

Moreover, the process of globalization and the interna-

tionalization of markets had remarkable effects on the UAE

economy, society and worldwide interaction. This process

has made it possible for a small nation like the UAE to be

more proactive in the international system through trade and

investments. For instance, the different investments that the

Foreign Policy of the United Arab Emirates (UAE) …145

UAE is making in different parts of Asia and Africa are

evidence to the country’s commitment to having strategic

international partners. This is clearly stated in the UAE’s

Foreign Ministry website through a message from UAE

Foreign Minister, H.H. Sheikh Abdalla Bin Zayed AlNeh-

yan, as he points out that the goal of UAE diplomacy is to

enhance bilateral relations with different parts of the world

emphasizing that ‘The UAE holds an inﬂuential position in

several international and regional organizations, and have

many friends all over the world. We look forward to bol-

stering our relations with the fast growing countries, such as

India, Russia, China, Brazil and South Africa’[26].

4.2 Elements of Continuity and Change

in UAE FP

Continuity: The Soft Power of Foreign Aid. Foreign aid

and humanitarian assistance remains at the top of the tools

and FP priorities of the UAE in the Post-Zayed era. We can

clearly see this as the UAE pledged to continue its commit-

ment to the ﬁeld of humanitarian work especially after the

dreadful terrorist attack that led to the death of the UAE

ambassador to Afghanistan earlier this year. In January 2017,

an Emirati envoy of ﬁve-aid workers alongside the UAE

ambassador of Afghanistan, Juma Alkaabi, was killed during

a humanitarian aid mission [28]. The attack was well planned

and it was mainly targeting the Emirati personals as the group

was meant to celebrate the opening of a new orphanage in

Kandahar. Since that incident, the UAE Red Crescent has

sent 37 envoys, emphasizing on the true committed of the

UAE and its leader’s[27]. Moreover, it is no secret that the

UAE is considered one of the most generous nations in the

world when it comes to foreign aid and humanitarian assis-

tance. In fact, back in 2015 the UAE was able to score as one

of the top 10 largest donating countries in terms of Ofﬁcial

Development Aid (ODA). It was able to land as the second

highest ODA to Gross National Income (GNI) ratio of 1.09%

with an amount of 16.1 billion dirhams in terms of ODA [29].

Elements of Change in UAE FP. While the limitation of

being a small state used to constrain UAE FP behavior in the

Zayed era, the emergence of a new UAE leadership, the post

Arab Spring status of the MENA region and the process of

globalization have all forced the UAE to adopt new interests

and achieved them through different tools of FP such as soft

power instruments and hard power tools. While hard power

is mostly known as the utilization of military tools and

means of coercion, soft power as a tool of FP is complex in

nature as it requires a long term commitment of building up

a reputation for the state in certain ﬁelds that co-opt others

into buying the state believes and values rather than the use

of force or coercion. According to [15], the old state of

power politics where states acquisition of arms and strong

economy is no longer as relevant as the new age of infor-

mation where the right type of public diplomacy can yield

more gains than a hard power instrument [30]. This is

exactly what the UAE in the Post-Zayed era strives to

achieve through state branding and tourism. This aspect of

UAE FP is an element of change as a result of its new

interest of outward looking FP. Nevertheless, the UAE was

also able to defy the rules of its smallness by investing

heavily in its hard power and showcasing to the world that

it’s a regional power with military capabilities.

State Branding and Image Creation: Tourism. A new

interest of the UAE in the Post-Zayed era is to be more

outward looking and become an internationally inﬂuence.

One way of achieving that was through adopting soft power

instruments by the new leadership of the UAE in the

Post-Zayed era. In fact, just recently in April 2017, MBR

announced the creation of a government council called the

‘Soft Power Council’that will have the mission of drafting a

nation-wide strategy to drive the UAE forward through the

tools, instruments and appeal of soft power [31].

Today, the UAE is home to the busiest airport in the

world, Dubai International Airport that receives international

passengers of over 80 million a year, overtaking London

Heathrow Airport again this year [32]. According to Dubai

Airports Strategic Plan 2020, the Emirate is pumping an

investment of over 7.5 billion US dollars to expand its air-

port and airspace program to increase the capacity of Dubai

International Airport to 90 million by 2018 [32]. In 2016

alone, Dubai was able to host over 14 billion tourists with a

5% increase from the numbers of 2015, while aiming to

target 20 million visitors by 2020 [33]. The Emirate is one of

the hottest tourist destinations, and it is the 7th most visited

city in the world according to [34].

Moreover, to prove Dubai’s exceeding success in reaping

the fruits of its soft power and creating an international

appeal as a brand, the Emirate was able to run for hosting the

World Expo 2020 and it won. That makes Dubai the ﬁrst

ever MENA country to host the World Expo, which only

adds to the long-standing efforts of Dubai to position itself

on the world map. On the other hand, Abu Dhabi, the UAE

capital, has also made different efforts that complement those

of Dubai’s. Rather than focusing on the appeal of tourism,

Abu Dhabi has been heavily investing in the ﬁeld of ‘sus-

tainable energy.’This is an outstanding move by an Emirate

that is greatly dependent on fossil fuels to sustain its econ-

omy. Moreover, Abu Dhabi’s efforts were put to the test

back in 2009 when it was trying to win the bid of hosting the

headquarters of the International Renewable Energy Agency

(IRENA) against two major European powers like Germany

and Austria [35]. The Abu Dhabi win was a huge diplomatic

success that speaks volumes of UAE’s soft power.

Increased Hard Power. A clear example of the UAE’s

dynamic progress in its FP can be seen through the lens of

146 M. Alzaabi

increased military actions, especially after the Arab Spring

of 2011. According to Soubrier, the Post-Zayed era wit-

nessed a change in its ‘military neutrality’policy that

focused on dispatching its military forces for mostly

peacekeeping operations. [14]. For instance, during the

Zayed Era, the UAE have been part of several international

peacekeeping operations to restore peace and security such

as in the case Kuwait (1991), Somalia (1992) and Kosovo in

1999 [36]. This legacy of participating in peacekeeping

operations has continued throughout the Post-Zayed era. For

example, from 2007, UAE troops were part of a UN mission

in Afghanistan and the UAE military was part of a search

operation in 2014 when the Malaysian airlines plane MH370

went missing [37].

Nevertheless, the Post-Zayed era has witnessed more

assertiveness in its use of military forces. For example,

we’ve seen UAE troops in major combats of this age like the

in Yemen, the ﬁght against ISIS, Libya ‘no ﬂy zone’and

Bahrain Uprisings. Hence, questioning whether the UAE use

of hard power in terms of army mobilization as a FP tool is a

change from the UAE FP principles and goals is important to

explore and explain. In the following section, we analyze

take the Saudi led Intervention in Yemen as an example of

increased use of force by the UAE. We argue here that the

UAE is still following its original FP goals by capitalizing

on such hard power as it is using it in the beneﬁt of sup-

porting Arab causes and to preserve its own safety and

security.

The UAE participation in Yemen, The use of Hard

Power Tools. In March 2015, Saudi Arabia led an operation

called ‘Decisive Storm’to support the legitimacy of the

government of Yemen headed by President Abd Rabbu

Mansour Hadi, who requested the intervention of the Gulf

nations to support Yemen’s efforts of combating extremism

and terrorist factions such as Al Houthi and AlQaeda [38].

The UAE played a major role in such operation, amongst

other eight Arab nations, which mostly focused on airstrikes

[13]. However, in April 2015, phase two of the operation

was extended under the name ‘Operation Restoring Hope’

that required Emirati ground troops [13]. The fallout of the

Arab Spring sent clear warning signs to the Gulf in general.

As a result, the Saudi-Emirati front did not hesitate to

intervene in Yemen and act in a response to threat of security

and safety of the region.

The UAE’s decision to intervene in Yemen is in line with

the UAE FP goals and principles of maintaining state

sovereignty and supporting national security and supporting

Arab causes. Therefore, the UAE did not really witness a

shift in its FP by increasingly being active military; it

became more realistic in its approach to how it deals with

threatening situations in the region. In fact, [12] argues that

there are elements of continuity in UAE’s actions of

increased hard power projection as it is all working towards

achieving the FP goal of supporting national security.

Hence, the new UAE FP approach of displaying hard power

is merely to protect state sovereignty, security and survival,

which happen to be in line with the broad FP goals of the

UAE. Thus, while the Zayed era always resorted to peaceful

mediation situations, the Post-Zayed era is responding to

security threats more realistically through actual military

actions.

It’s important to highlight here that the participation of

the UAE in the Saudi Arabian led Intervention in Yemen is

not only a military based intervention. Even though the UAE

is utilizing its armed forces in this case, the country still hold

a strong belief that the only solution to the Yemeni crisis is a

political one, afﬁrming that by supporting the UN resolution

2216 that demands Al Houthis withdrawal [12]. Moreover,

the UAE continued to consume its humanitarian role of

providing aid in parallel to its military work. Hence, this is a

sense of continuity that is still strong in the Post-Zayed era.

5 Conclusion

In conclusion, the UAE has witnessed a great change in its

FP, as it grew to become more realistic and dynamic,

changing the image that a small state can consume. In this

paper, we looked at the UAE FP by identifying two separate

Eras of FP behavior, the Zayed era (1971–2004) and the

Post-Zayed era (2004–Today). The Zayed era (1971–2004)

was mostly about how Zayed’s values, perceptions and

ideology inﬂuenced the UAE FP principles, ambitions and

tools for three decades. On the other hand, the Post-Zayed

era (2004–Today) is seen as a progressive development

phase that projects continuation elements and new elements

that portray change due to adopting new interest by the new

UAE leadership, and due to other regional and international

factors. The continuation elements are evident in the UAE’s

constant emphases on foreign aid tools. Instead, the change

elements are evident in the UAE’s new approach of

inversing in building up soft power and hard power capa-

bilities. We’ve highlighted the different efforts done by the

UAE to diversifying its FP tools by emphasizing on the

cultivation of a soft power appeal through tourism and brand

creation, but also through building up hard power capacities

in terms of military capabilities.

Finally, to answer the core question of this paper of ‘did

the UAE FP in the Post-Zayed era pivot away from the

original values and goals set by the late Sheikh Zayed or is it

a mere progressive continuation of the Zayed FP goals and

principles?’We rationalized how the progress of the

UAE FP in the Post-Zayed era should be seen as the out-

come of a new leadership in the UAE, the changing envi-

ronment of the Middle East after the Arab Spring and our

globalized world. These different factors have allowed a

Foreign Policy of the United Arab Emirates (UAE) …147

small state like the UAE to gain more leverage and project

its own voice regionally and internationally. Thus, the cur-

rent Era of UAE FP is simply progressive, dynamic and

realistic with a level of assertiveness that is changing the

image of small state behavior in the modern age of the 21st

century. Therefore, there are new UAE foreign policy

interests and response tools as a result of different domestic,

regional and international factors. Yet, they are in the line

with the general goals and principles of the Zayed era FP.

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148 M. Alzaabi

Framing Natural Disaster, Terrorist Attack

and Civil Unrest Crises by Egyptian

Journalist and Citizen Bloggers

Naheda Makhadmeh and Geri Zeldes

Abstract

News blogs provide the media and individuals with

analyses and information about crises. The importance of

news blogs in coverage of crises brings attention to the

importance of examining journalist and citizen bloggers,

and their coverage of three crises: natural disaster,

terrorist attack and civil unrest. The researchers looked

at the differences in using frames, topics, sources, and

modalities. A quantitative content analysis was conducted

of random-sample 441 Egyptian blog posts. Results

showed that citizen bloggers were more likely to cover a

natural disaster, while journalist bloggers were more

likely to cover a terrorist attack and use conﬂict frame.

The topic most frequently used and got most space by

both bloggers was politics. On the other hand, journalist

bloggers are more likely to use sources (i.e. scientists,

eyewitnesses, media) than were citizen bloggers. Accord-

ing to the modalities, citizen bloggers were more likely to

use images that looked professional and had people in

their posts than journalist bloggers, while journalists are

more likely to use video posts than citizen bloggers. The

implications of these results were discussed. Future

studies could look at the comparison between types of

bloggers in the coverage of two continuous crises or

sudden crises to make sure that the duration does not

make a difference.

Keywords

Citizen bloggers Journalist bloggers Crisis

1 Introduction

Media professionals used to be the only individuals who

could write, publish, and broadcast news through media

platforms such as print newspapers, radio, and television.

However, with the advent of the Internet, important changes

occurred in journalism. The Internet permitted anyone to

create news on online platforms at zero cost and to compete

with media organizations. News blogs are examples of

online platforms, which allow media professionals and

non-professionals to post their opinions of news and analyze

events without limitations or gatekeeping.

News bloggers have provided the media and individuals

with analyses and information about events [1], particularly

crises and disasters. The importance of news blogs in cov-

erage of crises brings attention to the importance of exam-

ining two types of bloggers, journalists and citizen, and their

coverage of three crises: natural disaster, terrorist attack and

civil unrest. The researchers looked at the differences in

frames, topics, sources, and modalities used by each type of

blogger.

Previous framing studies have overlooked the differences

between journalists and citizen writers in crises coverage and

their framing of different types of crises. It is important to

see how previous journalism experience can make a differ-

ence in framing crises. Knowing the difference in framing

crises helps the public to understand the intentions of

bloggers. This study increases understanding of how differ-

ent types of writers framed crises by looking at who was

responsible for the crisis, how a human face was used in the

coverage (personal examples), if the conﬂict was between

two or more parties, use of moral messages, and the eco-

nomic impact of the crisis. In addition, it helps to know the

main topics, sources, and modalities used by each type of

blogger. This research helps to understand the tasks and

goals of blogging and encourages the audience to learn the

bloggers’backgrounds and interests. The results of this

study also help predict future coverage of crises and extend

N. Makhadmeh (&)G. Zeldes

College of Mass Communication, Department of Journalism,

Yarmouk University, Irbid, Jordan

e-mail: naheda@yu.edu.jo

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_19

149

existing knowledge by identifying different types of bloggers

and their coverage of crises. In addition, this research helps

governments, crisis managers, bloggers, news organizations,

non-governmental organizations (NGOs), and the public to

know what appropriate type of blogger to read and use when

crises happen.

This study is also signiﬁcant because few studies have

looked at crises coverage in Arab countries [2–4]. This is the

ﬁrst study that focuses on differences in framing between

journalists and citizen bloggers (e.g., using conﬂict frame)

and the content of posts (e.g., using images). The researchers

selected Egypt as a case study because it has confronted

three different types of crises: natural disaster, terrorist attack

and civil unrest. The focus on Egyptian crises is up-to-date,

and the opportunity to collect data not only in English, but

also in Arabic, enhances understanding of Arab World

media, especially blogging. Egypt was the ﬁrst Arab country

to acquire Internet access, which occurred in 1993 [5], and it

has the largest number of blogs in the Arabic blogosphere

[6]. These blogs consist mostly of political content that

engage the public in the political movements, and critique

the political regime [6].

Free blog services such as WordPress, Bloggers, Mak-

toob, Blogspot, and Tumblr made for an increase in the

number of bloggers. Blog engines provide bloggers with free

templates to complement their blog category and subject.

According to Technorati’s annual report, approximately 77%

of global Internet users read blogs [7,8]. The bloggers may

write about politics, women, business, technology, enter-

tainment, lifestyle, sports, and health, among other cate-

gories [9]. The Nielsen/McKinsey Company recently

estimated the global number of blogs to be more than 181

million compared to 36 million in 2006 [10]. Because of this

huge increase in the world’s blogosphere, and the effect of

blogs on the mainstream media it is important to understand

how bloggers are using blogs, to explore different types of

bloggers, and to focus communication research on blogging.

Blogs are important tools that can shape public opinion

about a crisis through framing, which could inﬂuence per-

ceptions, impressions, and emotions.

2 Literature Review and Theoretical

Framework

This section covers three parts: (1) Blogging: This part

provides a brief history of blogging, deﬁnition of blogs,

types of bloggers, blogging in the Arab World, and blogging

in Egypt. (2) Crises: This part provides deﬁnition of crises,

types of crises, and crises in Egypt. (3) Theoretical frame-

work: This part includes media framing, media framing in

the Arab World, framing crises, framing sources, modalities

in the media, and research questions and hypotheses.

2.1 Blogging

History and Deﬁnition of Blogs. In 1997, Jorn Barger

created the term “web log”or “weblog”to refer the process

of posting daily entries on the World Wide Web [11]. In

1999, Peter Merholz shortened this term to “blog”and

referred to the blog host as a “blogger”[12]. A blog is “a

chronologically organized website updated by an individual

(or a group of individuals) with entries/posts”[13, p. 116].

Blog entries are called “posts”and are shown in “reverse

chronological order”[14]. Each entry contains a title, body,

and date/time. The body can include different elements, such

as text, images, audio, and other types of multimedia.

In 1999, Pyra Labs

established Blogger.com,

a web

service that allows web users to create their own page and

establish trends, report news, express opinions, concerns and

emotions on any issue of interest [16,17]. This service

permitted bloggers to become producers by interpreting and

analyzing news and information [18].

Blogger.com,WordPress.com and Tumblr.com are the

most popular engines hosting blogs [10,19]. These engines

publish millions of personal, organizational and topic

speciﬁc blog posts every day. For example, Tumblr pub-

lishes approximately 28,000 blog posts each minute, or

approximately 20 million posts a day [7,20]. These engines

offer bloggers complete freedom to select unique blog styles,

content and format.

The foremost goal of blogging is to create a conversation

between the blogger and his or her readers, with the hopes of

leading to a better understanding of the information in a post

[21], and to having a conversation with the audience, which

helps to explain and analyze the information [22]. In addi-

tion, blogs are tools for expressing alternative viewpoints

and inﬂuencing social and political change. They can be fun,

gossipy, literary, and news sources. This study focuses on

news blogs, which provide their audiences with important

information and news.

Many communication researchers consider news blogs a

type of online journalism [23,24]. Another academic sees

blogs as “transforming the way news and information are

disseminated”in an intimate way [25]. News bloggers pro-

vide their audiences with important information and news,

and they are “the true pit bulls of reporting”[25, para 7].

Types of Bloggers. The types of bloggers depend on the

types of blogs. According to [26], there are four types of

blogs: (1) citizen blogs produced by people, “outside media

organizations;”(2) media blogs produced by professional

Jorn Barger is an American blogger whose Robot Wisdom Auxiliary,

established in 1997, was the earliest inﬂuential blog on the Web [11].

Pyra Labs was co-founded by Evan Williams and Meg Hourihan, the

creators of blogger.com.

In 2003, Google bought the Blogger Web service [15].

150 N. Makhadmeh and G. Zeldes

journalists inside media organizations; (3) audience blogs

that permit the audience to “produce on platforms provided

by the media;”and (4) journalist blogs that “journalists

maintain outside their companies”(p. 7). The latter offers

journalist bloggers the freedom to publish posts without any

control or censorship by their media organizations. In this

study, the researchers focused on two popular types of

bloggers within Egypt, journalists and citizen.

Journalist Bloggers

To deﬁne the journalist blogger, I have to give a deﬁnition of

a journalist. A journalist is a person who works or has

worked as a news writer, reporter, or editor of news in a

newspaper, radio, television station, magazine or other news

medium. In addition, a journalist can also be a person who

works or worked on pamphlets and leaﬂets [27]. Blogs

enabled journalists to increase their news writing and pub-

lishing activities. Therefore, a journalist blogger is a writer

with journalism background [28].

Journalist bloggers publish personal stories and articles

that they choose not to publish, or fail to publish, through the

professional media on their self-publishing spaces. These

bloggers function as journalists and incorporate the profes-

sional ethics and standards of the journalism industry.

However, not all journalist bloggers are associated with their

organizations. Some of them started blogging after they gain

experience from media organizations, and others are blog-

ging while working as journalists.

Many famous journalists are bloggers. An example of a

well-known American journalist blogger is Kevin Sites, who

covers wars and disasters for ABC, NBC, CNN, and Yahoo!

News [29]. Sites worked with CNN before the outbreak of

the war in Iraq in 2003. On the ﬁrst day of the war, CNN

asked Sites to stop posting on his personal blog (kevinsites.

net, which is now kevinsitesreports.com). He chose to leave

CNN and continue his blog coverage of the Iraqi war,

freelancing for NBC [26,30].

Previous literature [31] examines why journalists create

their blogs while they are working in the media. The

researchers found that 52% of bloggers do so to analyze and

express their personal views on lead news of media, 28% for

their own creative expression, 13.1% to write about news,

and 6.3% to write about media-related news content, such as

journalistic ethics. In addition, journalist bloggers enjoy

writing when they receive feedback and comments from

readers, which encourages dialogue and continued updating

of their blogs [32]. According [33, p. 97], political bloggers

write to inform their readers, share with them media articles

and unreported news, and to “draw attention to key posts on

other blogs.”This type of blogger tends to write about local

issues [6].

Another research [34] found that 52% of bloggers consider

themselves journalists because they consider their blogs as

newspapers comprised of only op-ed pages [35]. Media workers

collect important information from blogs that are able to high-

light some important issues to the forefront of the public sphere

ignored by the mainstream media [27]. Previous research [36]

states that journalist blogs are a “vehicle for the expression of

nationalistic sentiments or hatred speech”(p. 341), which means

that these bloggers express opinions that they cannot express in

the ofﬁcial media, with particular regard to politics. These

journalist bloggers are using the hyperlinks to refer to the main

sources of information to increase the credibility of their blogs.

About 85% of journalist bloggers provide the links or URLs

extensively to refer to their main news sources, which are

mainly media sites and related materials [37].

Citizen Bloggers

Citizen bloggers, or ordinary bloggers, are not afﬁliated with

media organizations and write news without journalism

training or experience. They do not depend on the standards

of professional journalism because they are not professional

journalists [26,38]. A citizen blogger engages in news

gathering and reporting, and considers a blog to be a per-

sonal journal for writing personal opinions about events,

communicating with readers via comments, and providing

readers with news, photos, videos, etc. Citizen bloggers are

also known as amateur bloggers [36, p. 333]. They think of

their blogs as a tool for self-expression. They determine their

own editorial standards, including whether to publish under

pseudonyms that “enable the authorities to keep tabs on

potential troublemakers”[39, para 14].

Blogging in the Arab World. A large portion of Arab

bloggers write about sensitive issues such as governmental

and human rights [40] that many people read and track to get

information not readily available in the mainstream press.

Few Arab bloggers write about travel, cooking, art, and other

things. In Egypt, for example, bloggers published videos of

people being tortured in police stations, and others of police

failing to protect victims of sexual harassment [41]. The

limits of freedom of expression laws, or lack thereof in Arab

countries cause many Arab bloggers (especially females) to

write under pseudonyms, while others, such as journalists,

use their real names. However, some of anonymous bloggers

become famous, such as Zeinobia in Egypt.

Political blogs are very popular in the Arab world, and the

number of political blog readers is increasing every day [6,

42]. Political bloggers primarily discuss their local political

Framing Natural Disaster, Terrorist Attack and Civil Unrest …151

leaders, government, and elections, while a few write about

foreign political news. Arab blogs began appearing soon

after the start of the U.S. war with Iraq in 2003 as an

expression of political views, particularly in opposition to

the war and the lack of freedom and rights. Arab bloggers

have used blogs as a platform for societal change and

reform, raising political awareness in the Arab countries,

particularly in Egypt because it has the largest cluster of

blogs in the Arab blogosphere. Egyptian bloggers used their

blogs as a new platform for freedom of expression,

encouraging Internet users in Egypt to bravely share their

opinions about the political system [41,43].

The estimated number of bloggers in the Arab world in

2009 was 600,000, only 150,000 of which are active [41].

The largest number of bloggers in the Arab world is Egyp-

tian (around 33%), followed by Saudi Arabian, Kuwaiti, and

Moroccan. Politics, religion, human rights and culture are

very popular topics in the Arabic blogosphere [6]. The

Egyptian bloggers are focusing on local politics, while Saudi

and Syrian bloggers write primarily about their personal

lives [41].

Many Arab bloggers tend to use Arabic language in their

blogs [44]. However, most Kuwaiti blogs are written in

English, and many Moroccan blogs are written in Arabic and

French. Males represent 66% of bloggers in the Arab world

and nearly 45% of them are between the ages of 25 and 35

[41]. Some examples of the popular Arabic blogs that had

the highest numbers of followers and readers in 2013 were

Ahmad Wld Jedo (http://ahmedjedou.blogspot.com/) from

Mauritania, Heber (http://7iber.org/) from Jordan [45], Sami

Ben Gharbia (http://samibengharbia.com/) from Tunisia and

Manal and Alaa (http://manalaa.net/) from Egypt.

Blogging in Egypt. According to a report by Population

Reference Bureau, the 2013 population of all 25 Arab

countries

is approximately 371 million. Egypt has the lar-

gest population among these countries at 84.7 million [46].

With 43 million users, Egypt also has the largest number of

Internet users among the Arab World countries, and has the

second highest number in Africa, with an Internet use per-

centage of 15.5% in 2013 [47]. The Internet provided

Egyptians a place to write about events outside of news

organizations. Blogs, Twitter and Facebook are the main

online platforms used by Egyptian journalists and citizens to

write about local events because these platforms are free of

charge and are subject to little control and censorship to

which news organizations were subjected. Internet forums,

Instagram, YouTube, and other social networking sites were

also used in Egypt to post about local events. Blogs started

in Egypt in 2003. By the end of 2004, 40 bloggers began

writing and maintaining their personal sites. That number

increased to 160,000 by July 2008. More than 30% of

Arabic blogs are Egyptian, and more than 30% of blogs

written in Arabic are Egyptian [48,49], which is the biggest

cluster in the Arabic blogosphere [50].

Previous research [42] found that most Egyptian bloggers

were blogging about the need for change in the political

system, and either in support or protest of political clusters,

such as Kefaya (Enough!), a movement looking to change

the political regime. Many famous political bloggers in

Egypt became more popular after blogging as a part of the

Kefaya movement since its start in 2004, such as Wael

Abbas, Alaa Abdel Fattah, and his wife Manal, who used

their blogs to mobilize the movement’s protests in 2005

[51–53]. The slogan of the pro-democracy movement was

“enough …no to extension …no to heredity.”The pro-

testers railed against Hosni Mubarak who was re-elected for

aﬁfth term and his son, Jamal [43]. This movement inﬂu-

enced the Arabic press and the commentators, and gathered

the political dissidents, activists, sympathizers, and bloggers

in one union [51].

Blogs are a popular media tool for Egyptian people and

that became more visible after the Egyptian Revolution of

2011 [3]. Blogs played a signiﬁcant role in the uprising,

especially in the ﬁrst 20 days of the revolution when many

bloggers appeared in the Arab mainstream media to provide

news and information, such as Hossam el-Hamalawy, Wael

Abbas, Nawara Negm, and Amr Ezzat [54]. Fifty three

percent of Egyptian bloggers are young (20–29 years old),

and 73% are male. Egyptian bloggers write in different

languages, mostly in Arabic (67.8%) because it is their

mother language, then English (9.5%), nearly 21% write in

both Arabic and English, and 1.9% speak other languages

[49].

Egyptian journalist and citizen bloggers wrote about what

is happening in their country by sharing links and images of

demonstration suppression, torture of protesters, and people

who have been killed or injured. Renowned Arabian and

Egyptian journalist Mohammed Hasanayn Haykal said that

he is “the greatest reader of blogs”[42, para 2], which is one

sign of this importance as a source of information in Egypt.

Several Egyptian citizen and journalist bloggers were

arrested for blogging about pro-democracy activities,

protesting Islam, or critiquing the political regime and

pushing for change. The ﬁrst Egyptian blogger, Wael Abbas,

was among them. Ahmad Anwar, another blogger, was

arrested for uploading a video to YouTube of a dancing

Egyptian policeman [55]. These examples show that blogs

can help raise local awareness about issues in the commu-

nities. Another good example of the importance of blogs

during the crises was in the ﬁrst 20 days of the Egyptian

The Arab world consist of: Algeria, Bahrain, Comoros, Djibouti,

Egypt, Iraq, Jordan, Kuwait, Lebanon, Libya, Mauritania, Morocco,

Oman, Israel, West Bank, Gaza Strip, Qatar, Saudi Arabia, Somalia,

Sudan, Syria, Tunisia, United Arab Emirates, Western Sahara, and

Yemen.

152 N. Makhadmeh and G. Zeldes

revolution; many bloggers were stars in Arab media chan-

nels and provided the audiences with information and

analyses [54].

2.2 Crises

Deﬁnition of Crises. Historically, the term “crisis”came

from the Greek (kpinein: to separate or to shift). The sepa-

ration between two things were in the interactive community

refers to the boundary. And to explore the boundaries,

people should identify and distinguish what happened that

made this shift [56,57]. Another research [58]deﬁne a crisis

as an event that people seek to ﬁnd causes and make attri-

butions. Other researchers deﬁned crisis as “a serious threat

to the basic structures or the fundamental values and norms

of a system, which under time pressure and highly uncertain

circumstances necessitates making vital decisions”[59,

p. 10]. This deﬁnition covers a variety of crisis types, such as

civil unrest, natural disaster, and terrorist attacks. The main

three components of this deﬁnition are serious threat,

uncertain circumstances, and urgency of making decisions.

The expected values of any society are safety, health, and

welfare, if something happened that violates these values can

lead to threats and harms. These threats bring uncertainty of

the reasons, consequences and solutions of the threat by

searching for “What is happening and how did it happen?

What’s next? How bad will it be? What can we do? What

happens if we select this option? What will others do?”[60,

p. 44]. When people discuss these questions to ﬁnd answers,

then it will be a crisis. The urgency of making decisions

during a crisis is also important, and time plays a big role in

facing a threat, and the sooner a decision is made, the better

[60].

Previous research [61] provided a deﬁnition of a crisis as

an unexpected or undesirable situation. This unexpected

event happens when a community, an organization, or a

nation notices big threats that may affect its ability to con-

tinue and opportunities for change. According to [60] the

crisis combines “the grave threat and the escape door: the

situation may look bad, but it is not hopeless”(p. 43). That

means that the results of a crisis can be completely negative,

or partially negative.

Types of Crises. In this study, the researchers focused on

three types of crises: natural disaster, terrorist attacks, and

civil unrest. A natural disaster is an adverse event that occurs

because of natural changes on earth. Natural disasters, such

as ﬂoods, earthquakes and storms, often cause loss of human

life and property damage, which affects the economy of a

community [62,63]. Recent natural disasters covered by the

media include ﬂooding in Bosnia and Serbia in 2014,

Typhoon Haiyan hitting the Philippines in 2013, and Hur-

ricane Sandy battering the northeastern United States in

2012.

A terrorist attack is deﬁned as a surprise event that uses

violence against civilians to attain political or religious goals

[64]. A historical example of this type of crisis is the

September 11, 2001 plane hijackings by the terrorist group Al

Qaeda, which caused the death of nearly 3000 civilians when

the planes crashed into the World Trade Center Twin Towers,

the Pentagon and a ﬁeld in Pennsylvania [65]. Civil disorder

or unrest is a form of protest against social and political

problems in a community and is normally started by civilian

groups. This type of crisis can take place in the form of

demonstrations, parades, protests, riots or sabotage. This

research focused on these three types of crises because they

are international in scope. The natural disaster is a main crisis

because it occurs suddenly. After the 9/11 terrorist attacks,

the focus on the terrorist attack crisis became important

because it affects people’s lives and changes communities.

The revolutions in the Arab countries showed that civil unrest

could affect the political systems and communities.

Crises in Egypt. Egypt has the largest population in the

Arab world. Several crises have occurred recently in Egypt

that led Internet users to be more active than in the past.

Civil unrest in particular is a crisis that causes more online

media activity, not only in Egypt, but the entire Middle East,

and has received signiﬁcant attention from media research-

ers. One of the recent civil unrest crises that occurred in

Egypt was the 2011 revolution, which began the Arab

Spring uprising. Flooding in 2010 and terrorist attacks in

2012 in the Sinai were two other recent Egyptian crises.

Below is a brief summary of each crisis.

Civil Unrest

On January 25, 2011, demonstrations started in the Egyptian

capital of Cairo as a response to an invitation launched by

youth activists on social media and in blogs, calling Egyp-

tian civilians to participate in protests demanding freedom

and human rights. Ironically, the demonstration coincided

with National Police Day. The Egyptian forces used live

ammunition against protesters, killing four and injuring

dozens. The demonstrations spread to other cities, and pro-

testers demanded that President Hosni Mubarak step down,

ending his 30-year tyrannical rule. Protesters staged a sit-in

in Cairo’s Tahrir Square, which has been the focal gathering

point for demonstrations against the regime. In an attempt to

defuse the crisis, Mubarak dismissed the government and

opened dialogue with the opposition, but the demonstrations

Framing Natural Disaster, Terrorist Attack and Civil Unrest …153

continued, eventually forcing him to resign from power on

February 11, 2011 [66]. Between January 25 and February

11, at least 846 people were killed and more than 6400 were

injured [67]. This was the ﬁrst uprising that brought millions

of Egyptian citizens to gather in the streets.

Terrorist Attacks

On August 5, 2012, the Egypt–Israel border terror attack

took place in the Sinai Peninsula. Sixteen Egyptian soldiers

were killed on the Egyptian military base near the Israeli

Kerem Shalom border crossing, and no Israelis were killed

or injured. This famous attack was the largest Egyptian

operation on the Israeli border since the 1973 war and

received a signiﬁcant amount of media coverage [68].

Natural Disaster

More than 1500 people died in Egypt because of natural

disasters between 1980 and 2013, and hundreds of thousands

were affected during the same period. Flooding and earth-

quakes are natural disasters that not only affect people, but

also the economy [69]. In January 2010, ﬂooding took place

in several areas in Egypt, including the Sinai and Aswan,

killing 15 people and destroying 40 homes and 57 electrical

towers, causing the evacuation of hundreds from their

homes. This ﬂood was the worst natural crisis in Egypt in

more than a decade, impacting the people, agriculture and

economy of Egypt [70].

2.3 Theoretical Framework

Media Framing. Framing is commonly used in communi-

cation research as a theoretical model [71]. Many framing

researchers characterize media framing as a theory (e.g., [71,

72]), while others consider it to be a method (e.g., [73,74])

or a theory and typology (e.g., [75]). Researchers who use

framing as a method look at how people understand an issue,

event, or situation. When considering framing as a theory,

researchers examine how journalists activate certain frames,

and how the audience is affected by a news frame [71]. This

study is employing framing as a theory.

Empirical literature [76]deﬁned media framing as “subtle

alterations in the statement or presentation of judgment and

choice problems”(1991, p. 11). Iyengar refers to media

framing as a way to tell news stories. Journalists make some

changes to the news context and then present it to the

audiences in a way and shape that is more acceptable.

Entman’sdeﬁnition of media framing is one of the most

cited in communication studies [77]. Another paper by [74]

states that media framing is “select[ing] some aspects of a

perceived reality and mak[ing] them more salient in a

communicating text, in such a way as to promote a particular

problem deﬁnition, causal interpretation, moral evaluation,

and/or treatment recommendation for the item described”

(p. 52). The signiﬁcant elements in his deﬁnition are selec-

tion and salience. A journalist’s beliefs, attitude, work

environment and other factors can affect the selection pro-

cess. By making some news facets more salient, news frames

may also consciously or unconsciously interpret causes of

problems, make moral evaluations of events, and provide

treatment for problems. When the media provide people with

solutions and treatments for the problem, issue, or event, it

may affect how they perceive, evaluate, describe and think

about that problem or event, and lead them to a particular

understanding of this news.

Framing is conceptually deﬁned as a strategy employed

by journalists to structure news stories [78] by selecting

aspects of events and creating a relationship among them

[79]. Reese states that “frames are the organizing principles

that are socially shared and persistent over time, that work

symbolically to meaningfully structure the social world”

(p. 11). The main component of Reese’sdeﬁnition is the

organizing process of values and beliefs that are common in

society. He argues that frames have roles in developing the

structure of the social world. This concept of media framing

came from the need to organize news and information in a

form that is more meaningful for readers, which can help

them better understand the content [80].

Another research by [71], who deﬁned frames as schemes

of how to present and understand news, compared between

media and individual frames. He observed that some prior

framing researchers look at media frames as a practical

method that allows journalists to identify information easily

and classify it quickly. Individual frames are how people or

media audiences make sense of news and categorizes them

in groups [71,81]. Also, they refer to individual frames as

“internal structures of the mind”[81, p. 74].

In his paper [82] mentioned the individual frame when he

talked about two different levels of news frames: The ﬁrst is

the “information-processing schemata”or “event-speciﬁc

schema”that refer to individual frames, and the second is

when media “describe attributes of news itself”or

“event-speciﬁc schema”(p. 7). Entman explained that this

process creates frames that guide audiences to perceive and

think about the problem or the event, and also lead them to a

particular understanding of the news. In addition, the indi-

vidual frames are “mentally stored clusters of ideas that

guide individuals’processing of information”[74, 1993,

p. 52] that direct individuals to interpret information differ-

ently according to their pervious knowledge and personal

characteristics. In addition, [74] identiﬁed four types of

frames—“the communicator, the text, the receiver, and the

154 N. Makhadmeh and G. Zeldes

culture”(p. 52)—that leads to the understanding that the

creator of media frames could be the sender, the receiver, or

the culture.

According to [75], media framing is a two-level process:

frame-building and frame-setting. Frame-building is the

collaboration between journalists, media, and people of

inﬂuence, which results in frames. Frame-setting is the “in-

teraction between media frames and individuals’prior

knowledge and predispositions”[75, p. 52]. Other

researchers have found that framing is “the process by which

people develop a particular conceptualization of an issue or

reorient their thinking about an issue …having implications

for multiple values”[72, p. 104]. Chong and Druckman

agree with [74,75] that framing is a process or procedure,

but think that the goal of framing is to conceptualize the

content of a news article. Chong and Druckman argue that

framing occurs when individuals perceive an event from

many perspectives. Researchers have also mentioned various

moderators that believe framing has effects on people’s

perceptions of issues such as moral values.

Previously, I discussed two frame dimensions: media and

individual. This study puts journalist and citizen bloggers

under the individual frame dimension, which is deﬁned as

how individuals describe attributes of news (p. 74). Jour-

nalist and citizen blogs do not have gatekeeping restrictions

or media organizations controlling what they publish. In

addition, this study provides an explanation as to why and

how a blogger’s media experience, or lack thereof, impacts

individual frames. This creates two subcategories within the

individual frame dimension.

Media Framing in the Arab World. Studies that

examined media framing in the Arab World focused on how

media framed war, terror, human rights, and civil unrest

crises; mostly about the Arab Spring, Iraq War 2003, and

Palestinian-Israeli conﬂict [4,83–85]. Others looked at how

media framed Arab women [86,87] and political ideology

[88,89].

As an example of framing a civil unrest crisis, previous

analysis looked at how Al Jazeera English and the BBC

framed the Egyptian revolution in 2011. The researchers

examined the use of ﬁve frames: attribution of responsibility,

conﬂict, human-interest, morality, and economic conse-

quences. They found that both news networks focused their

coverage in two frames: the attribution of responsibility and

conﬂict, and the network reporters represented the govern-

ment as the side who is responsible for the crisis. BBC used

also the human-interest frame, which showed personal sto-

ries of people affected by the crisis.

Another example of framing in the Arab world was by

[2]. They conducted another comparative content analysis to

examine frames of a crisis in the Arab World. The

researchers compared between the coverage of the Iraq War

2003 in Arab online news media (Qatar and Egypt) and the

Coalition media (United States and United Kingdom). The

study found that the US and UK media were more likely to

use the rebuilding of Iraq frame, whereas the Qatari and the

Egyptian media were more likely to use the military conﬂict

and violence of war frame. In addition to frames, the

researchers examined the sources of information, and they

found that both are using government representative more

than another type of source.

Al Jazeera and Al Arabia news networks are important

sources of information to analyze media framing in the Arab

World. Many research used these two sources to look at

frames in the Arab media [90–93]. These two networks are

at the top of the list of news providers in the Arab World.

Framing Crises. Prior research found common crises

frames of news: conﬂict, human-interest, morality, economic

consequences, and attribution of responsibility [94].

Semetko and Valkenburg developed the news frames scale

depending on previous studies [76,95–98]. The researchers

of this paper used scale as in [94] because it is the most

commonly used measure in framing crises research, and it is

the most commonly cited scale in Google Scholar.

Journalists used the conﬂict frame to cover crises, which

“emphasizes conﬂict between individuals, groups, or insti-

tutions as a means of capturing audience interest”[94]. In

this frame, a news story is presented as a discussion or

debate between persons, parties, groups, or governments.

The human-interest frame “brings a human face or an

emotional angle to the presentation of an event, issue, or

problem”(p. 95). The morality frame is used when jour-

nalists quote or cite others, and are objective and unbiased in

writing the news report [96]. The economic consequences

frame presents when a problem results in negative conse-

quences in the economy for people and society [99]. The

attribution of responsibility frame is when the writer puts the

responsibility of a problem or crisis on the government,

institution, or other individuals, and motions the reasons and

results of the problem [94].

Framing Sources. Usually, the authors of news stories

frame the event, however, the choice of news sources may

inﬂuence the interpretation of events [100]. Using sources in

the news story predicts credibility of the information and the

writer. Journalists rely on different sources to be more

credible and objective. A source is a person, organization,

document or thing that is used as a provider of information.

Different words are used to attribute information to the

sources, such as “said,”“claimed,”or other words referring

to the source, such as “conﬁrmed,”“thinks,”or “suggests.”

Journalists select their sources according to different judg-

ments, such as credibility, accessibility, and time pressure

[101]. Credibility means trustworthiness [102], accessibility

means easy to reach any time, and time pressure means the

limited time for ﬁnding sources and publishing a story

before any other news organization. Another judgment is

Framing Natural Disaster, Terrorist Attack and Civil Unrest …155

using a knowledgeable source, which means using a source

that knows more about a topic than others. Journalists

incorporate professional ethics and standards of the jour-

nalism industry, such as revealing sources of information

[103]. Government, science, business, nongovernmental

organizations (NGO), media, and individuals can be the

sources of information for bloggers [104], in addition to

documents. Knowing the most frequently used sources by

bloggers could help to understand the relationship between

the blogger and source.

2.4 Modalities in the Media

Modalities are deﬁned as the structural properties of a thing

[105]. Prior research found that the modalities of media (e.g.,

text, audio, picture, video, graphics, tables) affect the human

memory [106,107], and provide rich information [108,109].

Each modality has speciﬁc characteristics that make audi-

ences decode the information in different ways [110], and

each characteristic (e.g., sound, image, etc.) can make the

content of information more memorable than others [111].

The latter mentioned two theories that may explain memory

processing when having different modalities. The ﬁrst is the

dual-coding theory (DCT) that predicts that the content that

has two modalities will have more outcomes than the content

using one modality. The verbal content that is presented with

a picture has a “better chance of dual coding and [will]

enhance better recall than would an item without a picture”

[112, p. 184]. The second theory is the cue summation in the

multiple-channel communication developed [113,114]. This

theory assumes that the learning process increased when

stimuli in the content increased. For example, the content

with image provides readers more learning cues than the

content without an image, and content with a colored image

provides readers more learning cues than the image in black

and white. This assumption came from [115] interpretation

of cue summation that is:

“When cues from different modalities (or different cues

within the same modality) are used simultaneously, they may

either facilitate or interfere with each other. When cues elicit

the same responses simultaneously or different responses in

the proper succession, they should summate to yield increased

effectiveness. When the cues elicit incompatible responses,

they should produce conﬂict and interference”(p. 78).

The cue summation in the multiple-channel communi-

cation and DCT theories provide an explanation of why

using different modalities is important in blogging and how

it can affect audiences. Knowing who is using different

modalities, journalists or citizens can predict which mes-

sages affect readers more.

In another paper [116], talked about the approach of

information- processing, and memory system that goes

through three stages: First, the sensory system, which holds

the information until the mind recognizes it. Second, the

short-term memory (STM) does not hold information like in

the sensory system but recognizes it. This stage has limited

capacity of information. Last, long-term memory (LTM) that

is more complex than the previous stages, has the permanent

knowledge the individual received from his life. Using

multimedia in the content can increase the human cognition,

which enhances the information content in the LTM process.

In addition, using different modalities in the content helps to

have better communication between the message sender and

receiver, especially if the receiver is illiterate. Using pictures,

video and audio within the text can help illiterate

people to

decode the messages, but not with equal ease as literate

people.

2.5 Research Questions and Hypotheses

To examine the purpose of the study, nine research questions

were asked, and two hypotheses were tested: Frames.[94,

p. 95] examined ﬁve frames of crises: conﬂict, human

interest, morality, economic consequences, and attribution of

responsibility. The conﬂict frame “emphasizes conﬂict

between individuals, groups, or institutions as a means of

capturing audience interest.”In this frame, a news story is

presented as a discussion or debate between people, parties,

groups, or governments. The human-interest frame “brings a

human face or an emotional angle to the presentation of an

event, issue, or problem.”While, the morality frame

appeared when the writer used quotations or cited what

others said and were objective and unbiased in writing the

news report [96]. The economic consequences frame is

present when a problem results in negative consequences for

people and society [99]. And ﬁnally, the attribution of

responsibility frame is when the writer puts the responsi-

bility of a problem or crisis on the government, institution,

or other individuals [94].

Prior studies found that the bloggers use the attribution of

responsibility frame more frequently than the other four

frames when they cover crises [94,99,117]. This study

examines two different types of bloggers and how each type

used the different frames across different crises.

•Research Question 1: How do journalists and citizen

bloggers differ in framing the Egyptian revolution in

2011?

•Research Question 2: How do journalists and citizen

bloggers differ in framing the Sinai terror attack in 2012?

Illiterate is a person who does not have reading or writing skills.

156 N. Makhadmeh and G. Zeldes

•Research Question 3: How do journalists and citizen

bloggers differ in framing the ﬂooding in Egypt in 2010?

Topics. The topic of a story refers to the subject of an

essay or a discussion. Knowing the topics associated with

each type of blogger reﬂects their interests and provides an

evaluation of a crisis. Because of their professional experi-

ence, journalists understand the importance of the lead

paragraph of the story and know that the lead paragraph has

to include the topic that received the most space in the story.

The lead, abstract, or summary is a very important aspect

that tells the main point of the story (e.g., topic) [118]. Thus,

it’s very important to examine:

•Research Question 4: What were the most frequent topics

used in the lead within blog posts by Egyptian journalist

bloggers and citizen bloggers when covering the fol-

lowing crises:

(a) The Egyptian revolution in 2011.

(b) The Sinai terror attack in 2012.

•Research Question 5: What were the most frequent topics

that got the most space within blog posts by Egyptian

journalist bloggers and citizen bloggers when covering

the following crises:

(a) The Egyptian revolution in 2011.

(b) The Sinai terror attack in 2012.

•Research Question 6: How did the Egyptian journalist

bloggers and citizen bloggers use the topic that got the

most space in the lead paragraph when covering the

following crises:

(a) The Egyptian revolution in 2011.

(b) The Sinai terror attack in 2012.

Sources. Sources are the providers of information, which

include individuals, organizations and documents. Prior

studies found that journalists are using ofﬁcial sources more

than bloggers when they cover crises [38,119,120]. The

term ofﬁcial sources refer to the sources that are able to

establish “primary interpretation of the topic in question”

[121, 1978, p. 58] such as government ofﬁcials and media

sources. In addition, journalists are using specialists

(e.g.,

scientists) and eyewitnesses as sources of information [26].

Moreover, journalists may have a better experience than

bloggers in how to reach the sources, especially government

sources.

Thus, it is very important to examine the following

hypotheses:

H1: Egyptian journalist bloggers use sources of infor-

mation more than citizen bloggers.

H2: When covering crises, Egyptian journalist bloggers

are more likely to use governmental, specialist (e.g., scien-

tists), and eyewitness sources than citizen bloggers.

Modalities. Modalities refer to the structural properties of

a thing [105], text, audio, picture, video, graphics, tables are

good examples of online modalities. Previous research found

that using modalities can affect the human memory [106,

107] and provide rich information [108]. News bloggers are

using different modalities to send their messages to all

people, literate and illiterate.

Textual posts are the most frequently used modality by

bloggers, and they are usually “brief, direct and informal”

[26, p. 5], and then come picture, video and audio posts.

Approximately 90% of textual posts include an image, 50%

include videos, and 10% include audio ﬁles [122]. The

textual blog posts contain words that have semantic coher-

ence of the topic [123]. Image blog posts contain pictures,

photographs or hyperlinks to pictures [124]. Video blog

posts contain video ﬁles or video games. Audio blog posts,

also known as podcasts, consist of audio ﬁles, podcast links,

and recordings [125–127].

Pictures, audio, and video in the textual content are

powerful psychological cues that improve an individual’s

memory and save time. Knowing who is using different

modalities in covering crises helps the PR and ad agencies,

as well as researchers and organizations that are working on

reducing illiteracy, to narrow their focus of research. Thus,

it’s very important to examine:

•Research Question 7: How do Egyptian journalists and

citizen bloggers differ in modalities used to cover the

following crises:

(a) The Egyptian revolution in 2011.

(b) The Sinai terror attack in 2012.

•Research Question 8: What kind of images did the

Egyptian journalists and citizen bloggers use in their

coverage of different crises?

•Research Question 9: What kind of hyperlinks did the

Egyptian journalists and citizen bloggers use in their

coverage of different crises?

A specialist is a person “who devotes or limits his interest to some

special branch”.

Framing Natural Disaster, Terrorist Attack and Civil Unrest …157

3 Method

The researchers used a quantitative content analysis of blog

posts to look at how each type of blogger’s frames, topics,

sources, and modalities in their coverage of different crises.

This section provides information about how the researchers

conducted her research, which includes: sample and data

collection, sampling procedures, operational deﬁnitions,

reliability assessment, and validity assessment. The

researchers analyzed 441 blog posts by journalists and citi-

zen bloggers about the three crises.

3.1 Sample and Data Collection

Content analysis method gives the researchers a good idea of

the content of blog posts. Several researchers have deﬁned

content analysis as a systematic method [128–130]. For

instance, [128]deﬁned it as “the systematic and replicable

examination of symbols of communication, which have been

assigned numeric values according to valid measurement

rules and the analysis of relationships involving those values

using statistical methods, to describe the communication,

draw inferences about its meaning, or infer from the com-

munication to its context, both of production and consump-

tion”(p. 25). By using this method, the researchers looked at

the clusters of messages in six groups of blog posts, two types

of bloggers and three types of crises (see Table 1).

3.2 Sampling Procedures

Blog post consists of a title, date, and body, and the post’s

body may contain text, links, images, videos and/or graphs.

The unit of analysis of most of the research questions and

two hypotheses was the entire blog post, which gives the

reader a good explanation of is the content of the post. While

the unit of analysis of RQ4 was the ﬁrst paragraph in the

post, which provides the reader with the main topic in the

lead. And the unit of analysis in RQ8 was the photo, and

RQ9 was the hyperlink. Two coders analyzed each blog post

and identiﬁed the meaning of each post to answer the

questions in the coding sheet.

The study population is all blog posts by Egyptian jour-

nalist bloggers and citizen bloggers during three crises: the

January 25, 2011 Egyptian Revolution, the Sinai terror

attack of August 5, 2012, and the ﬂooding in Egypt in

January 2010. The researchers created a list of journalist

bloggers in Egypt from the search on Google.com of “Egypt

journalist blogger”in English and “sahaﬁ, modawen, masri”

in Arabic. The researchers only found 33 journalist bloggers.

To conﬁrm this sample and get a credible and reliable

sample, the researchers used two more steps: (1) scanned

Twitter lists to search for journalists in Egypt who also have

blog accounts, and looked at their followers to determine if

any of them are journalists and bloggers in Egypt, and

(2) looked at the bloggers’blogrolls,

which are lists of

bloggers deemed to be experts in their community [132]. As

a result, the researchers collected a list of 33 journalist

bloggers in Egypt. To conﬁrm that this list consists of all

journalist bloggers in Egypt, the researchers created another

list of 519 journalists working for 24 Egyptian newspapers

and news sites. The researchers searched for each name in

Arabic and English and found only six journalists who have

blogs; therefore, 33 journalist bloggers is a considerable

number.

The researchers excluded eight blogs

that fell outside of

the study time frame; six blogs that did not blog about the

three crises, one blog that had only hyperlinks to news

articles in an online newspaper, and one photo blog because

the posts were not dated. Other Egyptian journalist

micro-bloggers that appeared in the Google and Twitter

search results were ignored, because this study focuses on

blogs rather than microblogs, such as Twitter.

Blogs include a short biography of the blogger that

includes his or her name, background, and goals in creating

the blog. To conﬁrm the ﬁrst list of the sample, the

researchers reviewed the “About me,”“About,”“Anni”and

“Mn Anna”section of each blog and conducted a Google

search on each blogger to conﬁrm their status as professional

journalists.

Omraneya.net was once the largest Egyptian blog

aggregator of active Egyptian blogs until it ceased publish-

ing in 2013. Therefore, the researchers used the second

largest blog aggregator, ArabO, a search engine and direc-

tory of the English and Arabic websites in 22 Arab coun-

tries, to collect samples of Egyptian citizen bloggers. This

engine contains more than 1300 active Egyptian blogs, from

which 33 were randomly selected. The researchers looked at

the “About me,”“About,”“Anni,”and “Mn Anna”page in

each blog and searched through Google to conﬁrm that the

bloggers were not working and had not worked as journal-

ists. To conﬁrm that all citizen bloggers in the list are not

journalists, the researchers emailed them and received

feedback from 18 bloggers that they are not journalists. Only

two worked as journalists and were moved to the journalist

bloggers list. The researchers reviewed the blog archives and

A blogroll is published on a blogger’s homepage and are common-

place among bloggers [131].

Ashraf Shahata-http://pressmisr.blogspot.com/, Nada Abd Alwahed-http://

hamselnada.blogspot.com/, and Ethar El-Katatney-http://etharelkatatney.

wordpress.com/-tweeter, Hussain Hassan Hussain-http://alwardy.wordpress.

com/,Mosa’ab Elshamy-http://www.mosaabelshamy.com/, Nora Younis-

http://web.archive.org/web/20110202034353/,http://norayounis.com/,

Mohammed Yahia-http://theunwriting.wordpress.com/2013/05/, Jamal Abd

Alrahim-http://gamalrahim.blogspot.com/.

158 N. Makhadmeh and G. Zeldes

ignored any blog posts dated outside the three periods of the

study. The researchers analyzed all blog posts from within

the three periods (see Table 2).

3.3 Study Time Frame

This analysis covers two weeks from the ﬁrst day of each

crisis date, January 25–February 11, 2011, August 5–19,

2012 and January 17–30, 2010. The researchers used the

blogs’archives to collect a sampling of blog posts about

each crisis. The researchers collected all blog posts (in both

Arabic and English) containing speciﬁc keywords from the

ﬁrst day and two weeks after each crisis date (N = 1500)

(see Table 2). The researchers excluded any post that had

only an image, video, audio, or hyperlink without text

because examining the content of only an image, video,

audio, or hyperlink may affect the coders’emotions and lead

to biased results.

The researchers collected 1500 blog posts about the three

crises. The researchers analyzed all of the posts about Sinai

terrorist attacks and ﬂooding because they are small samples.

The researchers collected the links of posts about the revo-

lution by each type of blogger in separate word sheets. Then

they took a random sample of 140 blog posts from each

sheet until they collected 140 posts (see Table 3), resulting

in a total sample size of 441 blog posts.

3.4 Operational Definitions

To determine frames of the crises, the researchers used the

scale proposed in [94], because it is clear and general. In

each frame, there are ﬁve questions to be answered either by

yes (1) or no (0). For the attribution of responsibility frame,

the researchers determined if the blog post implies: (1) “that

some level of government has the ability to alleviate the

problem/issue,”(2) “some level of the government is

responsible for the issue/problem,”(3) “solution(s) to the

problem/issue,”(4) “an individual or group of people in

society is responsible for the problem/issue”(p. 100). These

researchers added (5) an institution or organization is

responsible for the problem/issue.

Regarding the human-interest frame, the researchers asked if

the blog post (1) “provide[s] a human example or ‘human face’

on the issue,”(2) “employ[s] adjectives or personal vignettes

that generate feelings of outrage, empathy-caring, sympathy, or

compassion,”(3) “Emphasize[s] how individuals and groups

are affected by the issue/problem,”(4) “go[es] into the private

or personal lives of the actors,”(5) “contain[s] visual infor-

mation that might generate feelings of outrage, empathy-caring,

sympathy, or compassion”[94,p.100].

In the conﬂict frame, the researchers asked if the blog post

(1) “reﬂect[s] disagreement between partiesindividuals-

groups-countries,”(2) “show[s] one party-individual-

group-country reproach another,”(3) “refer[s] to two sides or

more of the problem or issue,”(4) “refer[s] to winners and

losers”[94, p. 100]. These researchers added (5) refer to con-

sequences of disagreement two or more sides. In looking at the

morality frame, the researchers asked if the blog post

(1) “contain[s] any moral message,”(2) “make[s] reference to

morality, God, and other religious tenets,”(3) “offer[s] speciﬁc

social prescriptions about how to behave”[94,p.100],and

these researchers added two questions: (4) if they contain any

action or behavior against humanity,or(5)refertoagroupof

people or individual against law.

Table 1 Six groups of blog

posts Blogger type Journalist Citizen

Crisis type

Natural disaster Journalist + a natural disaster Citizen + a natural disaster

Terrorist attack Journalist + a terrorist attack Citizen + a terrorist attack

Civil unrest Journalist + civil unrest Citizen + civil unrest

Table 2 Crises time periods and

keyword searches Crisis type Time period Keywords

Sinai terrorist attack (August

5, 2012)

August 5–19,

2012

Sinai attack, terror attack, Egyptian- Israeli border,

Egyptian soldiers, Kerem Shalom border crossing,

Ansar Bayt al Maqdes, Rafah

Egyptian revolution (January

25, 2011)

January 25–

February 11,

2011

Revolution, demonstration, Jan 25, anti-government,

Mubarak, civil unrest, civil disorder, civil strife

Flooding in Sinai, Al-Arish

and Aswan (January 17, 2010)

January 17–30,

2010

Flooding, ﬂood, rain. Sinai, Aswan, Al-Arish, Taba,

Nuweiba and Sharm el Sheik, Red Sea, natural disaster

Framing Natural Disaster, Terrorist Attack and Civil Unrest …159

Regarding the economic consequences frame, the

researchers asked if the blog post (1) “mention[s] current or

future ﬁnancial losses,”(2) “mention[s] the costs/degree of

expense involved,”(3) “contain[s] a reference to economic

consequences of pursuing or not pursuing a course of action”

[94, p. 100], and the researchers added two more questions:

(4) if they refer to any ﬁnancial assistance to overcome the

crisis, or (5) link the crisis to other events that caused

ﬁnancial losses or gains.

To examine the blog post topics used in the journalists

and citizen bloggers coverage of different crises, the

researchers examined three things: (1) the topic that was

mentioned ﬁrst, (2) the one that got the most space (main

topic), and (3) if the one that got the most space mentioned

in the ﬁrst paragraph or not. The section about the topics

covers seven areas, and was answered by yes (1) or no (0):

•Economy, which includes unemployment, agriculture,

economic losses, etc.

•Politics, to include Mubarak, government, constitution,

law, elections, etc.

•Violence and terror, detailing the number of people killed

or injured by other people, sexual harassment or other

violent behavior. Any death by natural causes is not

considered violence.

•Environment, which covers issues such as ﬂooding,

changing weather, death, injuries by natural causes.

•Human rights, which entails women rights, prisoner

rights, healthcare, educational rights, etc.

•Military, which covers information about troops, sol-

diers, bombs, tanks, weapons, guns, or any military

equipment or action.

•Other, for topics that cannot be included in the above

categories, such as technology.

The researchers compared journalist bloggers and citizen

bloggers by looking at ﬁve content modalities, or structural

features of the posts:

•Text, a post that only contains written text. All blog posts

contain text.

•Photo, a post comprised solely of photographs.

•Video, when embedded videos make up the post.

•Audio, when a post contains audio.

•Hyperlink, when a post contains an URL or link, the

coders looked at where these links take them.

To code the type of modalities, the researchers asked yes

(1), no (0) questions: If the post contains a text, photo, video,

audio, or hyperlink. The researchers also asked yes (1), no

(0) questions: weather the photo was professional, black and

white, an infographic, and has people. To examine the

hyperlinks, the researchers asked yes (1), no (0) questions: If

the ﬁrst hyperlink contains a story, picture, video, and other.

The sources cited by bloggers are a person, organization or

document that provided information used by the bloggers.

Some bloggers use quotes or paraphrase information from

sources in posts. Various words refer to source attributions,

such as “said,”“claimed,”“conﬁrmed,”“

thinks,”and

“suggests.”The researchers seeks to determine whether the

blogger used a source or not. To code the type of sources,

the researchers asked yes (1), no (0) questions: If the source

is government, science, business, non-governmental orga-

nization (NGO), media, and individuals [104], in addition to

the documents that a written, printed, or electronic statement

that provide information from a group or an individual. If the

source of information is other than these sources, the coders

choose “other”and write the name of the source.

3.5 Reliability Assessment

Intercoder reliability is the “agreement among coders about

categorizing content”[128, p. 123]. According to [128],

there are three main reliability requirements: “reliability

testing on randomly selected content …a test for chance

agreement, and report[ing] the reliability ﬁgures for all rel-

evant variables”(p. 154). In another paper [133], the authors

suggest the coefﬁcient should be tested ﬁrst on an instrument

to check the agreement of the categories’conceptual and

operational deﬁnitions with coders.

To measure inter-coder reliability, two coders randomly

coded 40 blog posts, a selected subsample of 10% of the

total sample. The researchers used Krippendorff’s alpha and

Scott’s pi. The researchers used ReCal website to calculate

the reliability scores of variables. ReCal helps the content

analysis researchers to get accurate coefﬁcients for

nominal-level data [134]. The researchers calculated the

Table 3 Number of blog posts

of each crisis Journalist Citizen Total

Terrorist attack 58/13.15% 32/7.26% 90

Revolution 140/31.75% 140/31.75% 280

Flooding 16/3.63% 55/12.47% 71

Total 214/48.53 227/51.48% 441/100%

160 N. Makhadmeh and G. Zeldes

inter-coder reliability based on Krippendorff’s alpha and

Scott’s pi with nominal categories and a large sample.

Before the actual coding took place, the researchers trained

the coders by using sample blog posts from outside the study

period. During the training, the researchers tested the deﬁ-

nitions of each category. The coders agreed in most “in-

stances about the proper category for each unit of analysis”

[135, p. 151]; this agreement is inter-coder reliability. The

highly deﬁned categories also help to increase reliability.

Upon completion of training, the researchers and coders

conducted a reliability check by analyzing 40 of the posts

and checking the agreement and disagreement between the

coders. Based on the coding protocol, two coders coded

independently, after reading the coding instructions and

deﬁnitions for each variable. The inter-reliability process

went through two stages. After the ﬁrst stage, the researchers

reﬁned the protocol to make it clearer and to increase the

reliability of some variables. The range of the Krippendorff’s

alpha of framing questions were between 0.89 and 0.95;

conﬂict was 0.90 (SD = 0.03), human-interest was 0.94

(SD = 0.04), morality was 0.93 (SD = 0.1), economic con-

sequences was 0.95 (SD = 0.1), and attribution of respon-

sibility was 0.89 (SD=0.07). The averages of the inter-coder

reliabilities of the ﬁrst topics were 0.99 (SD = 0.02) (the

range between 1 and 0.95), the topic got the most space 0.99

(SD = 0.02) (the range between 1 and 0.95), type of source

0.98 (SD = 0.03) (the range between 1 and 0.92), and type

of modalities 0.96 (SD = 0.09) (the range between 1 and

0.81) (see Table 4).

3.6 Validity Assessment

Validity is an important factor of any academic research. It

shows how well an analysis measures what it is supposed to

measure [136]. Getting acceptable scientiﬁc results as evi-

dence are the main purpose of research. In a paper, [135]

suggest validity is never an all-or-nothing situation. To some

degree, the researchers must use his/her own judgment to

assess the validity. The researchers used face validity to

measure what is supposed to be measured, and how it

appears in the blog posts. Face validity in the content

analysis provides the coders with greater conﬁdence in the

measurement procedure, also gives the researchers greater

conﬁdence in the study results [137]. In measuring the

frames, the researchers used an existing scale developed by

Semetko and Valkenburg in 2000, and added some questions

to make it more consistent. To examine each of the attri-

butes, the questions in the coding sheet were quick and easy

to answer either by yes (1) or no (0). In addition, the

researchers provided the coders with instruction and guid-

ance, and tested it before coding began.

4 Results

The researchers found that journalist bloggers posted 214

blog posts during two weeks of the start of each crisis, while

citizen bloggers posted 227 blog posts; 327 blog posts were

written in Arabic (74.15%) because it is the main language

in Egypt, 80 in English (18.14%), and 34 in three or more

languages (7.71%). The bloggers provided a translation of

words other than Arabic and English. A signiﬁcant differ-

ence between journalist bloggers and citizen bloggers was

found in using language (X2(2) = 37.56, p< 0.001). Jour-

nalist bloggers (131 posts, 29.71%) were less likely to write

in Arabic than citizen bloggers (196 posts, 44.44%). Jour-

nalist bloggers (61 posts, 13.83%) were more likely to write

in English than citizen bloggers (19 posts, 4.31%). And

journalist bloggers (22 posts, 4.99%) were more likely to

write in mixed languages than citizen bloggers (12 posts,

2.72%) (see Fig. 1).

4.1 Frames

The researchers asked ﬁve questions to examine each frame,

and every question is answered either by yes (1) or no (0).

The researchers counted the number of questions answered

by yes (1) in each frame, and came up with continuous

scales of frames. RQ1 asked whether differences existed

between the citizen bloggers and journalist bloggers

regarding frames used in a civil unrest crisis (Egyptian

Revolution in 2011). The researchers computed a one-way

ANOVA comparing the citizen bloggers and journalist

bloggers in using ﬁve frames to cover the revolution. Sig-

niﬁcant differences were found among bloggers in using the

attribution of responsibility frame (F(1, 278) = 7.47,

p< 0.01), and the human-interest frame (F(1, 278) = 10.27,

p< 0.01). Tukey’s HSD was used to determine the nature of

the differences between the bloggers. This analysis revealed

that the journalist bloggers who used the attribution of

responsibility frame scored lower (m = 2.06, sd = 1.48) than

the citizen bloggers who used the same frame (m = 2.56,

sd = 1.54), and journalist bloggers who used the

human-interest frame scored lower (m = 1.84, sd = 1.83)

than the citizen bloggers who used the same frame

(m = 2.54, sd = 1.78).

The analysis also found a trend close to signiﬁcance

(p= 0.06) in using the morality frame (F(1, 278) = 3.41).

The mean of the citizen bloggers who used this frame was

lower (m = 0.69, sd = 1.21) than the mean of the journalist

bloggers (m = 1.00, sd = 1.55).

No signiﬁcant differences were found between the means

of citizen bloggers and journalist bloggers in using the

conﬂict frame (F(1, 278) = 0.29, p> 0.05), and the

Framing Natural Disaster, Terrorist Attack and Civil Unrest …161

economic consequences frame (F(1278) = 0.43, p> 0.05) in

the coverage of the Egyptian revolution, 2011. The mean of

journalist bloggers who used the conﬂict frame (m = 2.68,

sd = 1.70) was not signiﬁcantly different from the mean of

citizen bloggers (m = 2.58, sd = 1.40), and the mean of

journalist bloggers who used the economic consequences

frame (m = 0.21, sd = 0.67) was not signiﬁcantly different

from the mean of citizen bloggers (m = 0.14, sd = 0.83) (see

Table 4). The RQ2 asked whether differences existed

between the citizen bloggers and journalist bloggers in

frames used to cover a terrorist attack crisis (Sinai terror

attack, 2012). The researchers computed a one-way

ANOVA. The results show signiﬁcant differences between

journalist and citizen bloggers in using the human-interest

frame (F(1, 88) = 5.5 p< 0.05), and the conﬂict frame (F(1,

88) = 18.68, p< 0.001). Tukey’s HSD was used to deter-

mine the nature of the differences between the bloggers.

This analysis revealed that journalist bloggers who used

the human-interest frame scored lower (m = 1.21, sd =

1.60) than the citizen bloggers (m = 2.06, sd = 1.76), and

the journalist bloggers who used the conﬂict frame scored

higher (m = 3.81, sd = 1.43) than the citizen bloggers

(m = 2.47, sd = 1.37). No signiﬁcant differences were found

between the citizen bloggers and journalist bloggers in using

the attribution of responsibility frame (F(1, 88) = 0.12,

p> 0.05), the morality frame (F(1, 88) = 0.17, p> 0.05),

and the economic consequences frame (F(1, 88) = 1.29,

p> 0.05) in the coverage of the 2012 Sinai terror attack. The

mean of journalist bloggers who used the attribution of

responsibility frame (m = 2.52, sd = 1.31) was not signiﬁ-

cantly different from the mean of citizen bloggers (m = 2.63,

sd = 1.52); the mean of journalist bloggers who used the

morality frame (m = 1.09, sd = 1.82) was not signiﬁcantly

different from the mean of citizen bloggers (m = 0.94,

sd = 1.24), and; the mean of journalist bloggers who used

the economic consequences frame (m = 0.17, sd = 68) was

not signiﬁcantly different from the mean of citizen bloggers

(m = 0.38, sd = 1.00) (see Table 4).

To answer RQ3, regarding if any differences existed

between the citizen bloggers and journalist bloggers in

framing a natural disaster crisis (Flooding in Egypt in 2010),

the researchers also used a one-way ANOVA. The

researchers found a signiﬁcant difference between the two

groups of bloggers in using the morality frame (F(1,

69) = 4.14, p< 0.05). The analysis showed that journalist

bloggers who used the morality frame scored higher

(m = 1.25, sd = 1.65) than citizen bloggers (m = 0.55,

sd = 1.07). And no signiﬁcant differences were found in

framing a ﬂooding crisis when using the attribution of

responsibility frame (F(1, 69) = 0.38, p> 0.05), the

Fig. 1 Frequencies of languages

used

162 N. Makhadmeh and G. Zeldes

human-interest frame (F(1, 69) = 0, p> 0.05), the conﬂict

frame (F(1, 69) = 4.13, p> 0.05), and the economic con-

sequences frame (F(1, 69) = 1.27, p> 0.05).

The mean of journalist bloggers who used the attribution

of responsibility frame (m = 2.00, sd = 1.26) was not sig-

niﬁcantly different from the mean of citizen bloggers

(m = 1.73, sd = 1.63); the mean of journalist bloggers who

used the human interest frame (m = 3.253, sd = 1.98) was

not signiﬁcantly different from the mean of citizen bloggers

(m = 3.250, sd = 1.29); the mean of journalist bloggers who

used the conﬂict frame (m = 2.13, sd = 2.06) was not sig-

niﬁcantly different from the mean of citizen bloggers

(m = 1.25, sd = 1.62); and the mean of journalist bloggers

who used the economic consequences frame (m = 1.75,

sd = 1.88) was not signiﬁcantly different from the mean of

citizen bloggers (m = 1.22, sd = 1.60) (see Table 4).

Over the average of all crises, the researchers ran inde-

pendent t-tests to compare the mean scores of citizen blog-

gers and journalist bloggers. The researchers found

signiﬁcant differences between journalist bloggers and

citizen bloggers in using the human-interest frame

(t(439) = 5.12, p< 0.001), the conﬂict frame (t(439) = 4.47,

p< 0.001), and the morality frame (t(439) = 2.60,

p< 0.01). The mean of journalist bloggers who used the

human-interest frame (M = 1.78, SD = 1.85) was signiﬁ-

cantly lower from the mean of citizen bloggers (M = 2.64,

SD = 1.71). The mean of journalist bloggers who used the

conﬂict frame (M = 2.94, SD = 1.74) was signiﬁcantly

higher from the mean of citizen bloggers (M = 2.24, SD =

1.55), and the mean of journalist bloggers who used the

morality frame (M = 1.04, SD = 1.63) was signiﬁcantly

higher from the mean of citizen bloggers (M = 0.69, SD =

1.18) (see Fig. 2).

To look at frequencies and percentages of frames ques-

tion, see Table 5.

4.2 Topics

RQ4 asked about the topics most frequently used in leads

within blog posts by Egyptian journalist bloggers and citizen

bloggers about three crises: (a) Egyptian revolution, (b) Sinai

terror attack, and (c) ﬂooding. The topics most frequently

used in the lead by journalists and citizen bloggers were

politics, violence and terror. Chi-square tests of indepen-

dence were calculated comparing the percentages of topic

used by each type of blogger in each crisis. The researchers

dropped the economy and some cells in the environment and

human rights topics because there were not enough data to

perform a chi-square test. In the coverage of a civil unrest

crisis (Egyptian revolution) signiﬁcant interactions were

found in the political topic (X2(1) = 13.69, p< 0.001), and

violence and terror (X2(1) = 3.89, p< 0.05).

In the coverage of a terrorist attack crisis, a signiﬁcant

interaction was found in the violence topic (X2(1) = 5.34,

p< 0.05). In the coverage of a natural disaster (ﬂooding), a

Table 4 Analysis of variance of

frames used in a civil unrest,

terrorist attack, and natural

disaster crises

SS df F Mean square

Civil unrest (N = 280)

Attrib. 17.00 1 7.47** 17.00

Human-Intr. 33.60 1 10.27** 33.60

Conf. 0.70 1 0.29 0.70

Moral 6.60 1 3.41 6.60

Eco. 0.36 1 0.63 0.36

Terrorist attack (N = 90)

Attrib. 0.24 1 0.12 0.24

Human-Intr. 15.10 1 5.50* 15.10

Conf. 37.12 1 18.68*** 37.12

Moral 0.46 1 0.17 0.46

Eco. 0.85 1 1.29 0.85

Natural disaster (N = 71)

Attrib. 0.92 1 0.38 0.92

Human-Intr. 0 1 0 0

Conf. 9.39 1 3.14 9.39

Moral 6.15 1 4.14* 6.15

Eco. 3.51 1 1.27 3.51

Note n = 441, *p< 0.05, **p< 0.01, ***p< 0.001

Framing Natural Disaster, Terrorist Attack and Civil Unrest …163

signiﬁcant interaction was found in the military topic

(X2(1) = 6.68, p< 0.01). Citizen bloggers were more likely

to mention politics as the ﬁrst topic (130, 31.18%) than were

journalist bloggers (106 posts, 25.42%). Journalist bloggers

used violence and terror topics in the ﬁrst paragraph

(54 posts, 12.39%) more than citizen bloggers did (48 posts,

11.52%). Other topics mentioned by journalist bloggers

were about the media, women, sport, agriculture, religion,

culture, and life (see Table 5).

RQ5 asks about the topic that got the most space by

journalist bloggers and citizen bloggers in their coverage

about three crises: (a) Egyptian revolution, (b) Sinai terror

attack, and (c) ﬂooding. The top two topics that got the most

space in the journalists’posts were politics, and violence and

terror. The researchers dropped the economy and some cells

in the environment, human rights, and military topics

because there were not enough data to perform a chi-square

test. Citizen bloggers were more likely to write about politics

and environment. In the coverage of a civil unrest crisis

(Egyptian revolution), signiﬁcant interactions were found in

the political topic (X2(1) = 32.98, p< 0.001), violence

and terror (X2(1) = 16.99, p< 0.001), human rights

(X2(1) = 5.63, p< 0.05).

In the coverage of a terrorist attack crisis, a signiﬁcant

interaction was found in the violence topic (X2(1) = 5.34,

p< 0.05). In the coverage of a natural disaster (ﬂooding), a

signiﬁcant interaction was found in the political topic

(X2(1) = 7.31, p< 0.01), environment (X2(1) = 15.06,

p< 0.001), and military (X2(1) = 7.07, p< 0.01). Accord-

ing to the topics that got the most space, citizen bloggers

were more likely to use politics (149 posts, 35.82%) than

journalist bloggers (120 posts, 28.85%). Journalist bloggers

were using violence and terror (47 posts, 11.3%) more than

citizen bloggers did (21 posts, 5.05%). Other topics covered

by journalist bloggers include media, women, sport, agri-

culture, religion, and life (see Table 6).

To answer RQ6 and ﬁnd how each of the two types of

bloggers used the topic that got the most space in the lead

paragraph when covering: (a) Egyptian revolution, (b) Sinai

terror attack, and (c) ﬂooding, the researchers conducted a

chi-square test. The results showed a signiﬁcant interaction

in using the topic that got the most space in the post

in the ﬁrst paragraph when covering the revolution

(X2(1) = 28.15, p< 0.001). The journalist bloggers are

more likely to put the topic that got the most space in the ﬁrst

paragraph (lead) when they cover a civil unrest crisis (132,

75.4%) than citizen bloggers (98, 42.6%). The results also

showed a signiﬁcant interaction in using the topic that got

the most space in the post in the ﬁrst paragraph when cov-

ering the ﬂooding (X2(1) = 6.68, p< 0.05). The journalist

bloggers are more likely to put the topic that got the most

space in the ﬁrst paragraph (lead) when they cover the

Fig. 2 Estimated means of

frames by blogger type

164 N. Makhadmeh and G. Zeldes

natural disaster crisis (58, 64.4%) than citizen bloggers

(32, 35.6%). In addition, the results showed no signiﬁcant

difference between journalist and citizen bloggers in using a

topic that got the most space in the ﬁrst paragraph (lead)

when they cover terrorist attacks (X2(1) = 2.04, p> 0.05).

4.3 Sources

To test H1, a test of independent proportions was calculated

comparing the proportion using sources by journalist

bloggers and citizen bloggers. Journalist bloggers are more

likely to use sources (135, 30.6%) than were citizen bloggers

(99, 22.4%), which supports the H1. The study also found

207 (47%) blog posts do not have any source. To test H2 to

see whether Egyptian journalist bloggers are more likely to

use governmental, scientists, and eyewitness sources than

citizen bloggers, the researchers used a test of proportions.

The researchers found that citizen bloggers (34, 7.7%) are

more likely to use governmental sources than journalists (24,

5.4%). Sixteen posts by journalist bloggers used scientist

sources (16, 3.6%), while none by citizen bloggers used this

Table 5 Frequencies and percentages of the ﬁrst mentioned by type of bloggers

Civil unrest Terrorist attack Natural disaster Total

Citizen JR Citizen JR Citizen JR Citizen JR

Politics 109 80 13 26 8 0 130 106

26.14%*** 19.18%*** 3.12% 6.24% 1.92% 0% 31.18% 25.42%

Violence and terror 26 40 14 12 8 2 48 54

6.24%** 9.59%** 3.36%** 2.86%** 1.92% 0.48% 11.52% 12.93%

Environment ––––36 9 36 9

––––8.63%*** 2.16%*** 8.63% 2.16%

Human rights 2 8 ––– – 28

0.48% 1.92% ––– – 0.48% 1.92%

Military 2 1 4 13 1 3 7 17

0.48% 0.24% 0.96% 3.12% 0.24%* 0.72% 1.68% 4.08%

N 139 129 31 51 53 14 417

Total 33.34% 30.93% 7.44% 12.22% 12.71% 3.36% 100%

Note n = 417, *p< 0.05, **p< 0.01, ***p< 0.001

Table 6 Frequencies and percentages of topics that got the most space by type of bloggers

Civil unrest Terrorist attack Natural disaster Total

Citizen JR Citizen JR Citizen JR Citizen JR

Politics 125 83 22 33 2 4 149 120

30.05%*** 19.95%*** 5.29% 7.93% 0.48%** 0.96%** 35.82% 28.85%

Violence and Terror 11 37 6 8 4 2 21 47

2.64%*** 8.89%*** 1.44% 1.92% 0.96% 0.48% 5.05% 11.3%

Environment ––––47 6 47 6

––––11.3%*** 1.44%*** 11.3% 1.44%

Human rights 1 8 ––– – 18

0.24%* 1.92%* 0.24% 1.92%

Military 2 1 3 11 ––512

0.48% 0.24% 0.72% 2.64% 1.2% 2.88%

N 139 129 31 52 53 12 416

Total 33.41% 31.01% 7.45% 12.5% 12.74% 2.88% 100%

Note n = 416, *p< 0.05, **p< 0.01, ***p< 0.001

Framing Natural Disaster, Terrorist Attack and Civil Unrest …165

source. And journalists (37, 8.4%) are more likely to use

eyewitnesses than citizen bloggers (31, 7%). In sum, the H2

is partially supported.

The researchers looked at using media and documents as

sources of information. Results showed that journalist

bloggers are more likely to use media sources (69, 15.9%)

than citizen bloggers (26, 5.9%), while citizen bloggers are

more likely to use documents as sources of information

(29, 6.6%) than journalist bloggers (13, 2.9%) (see Fig. 3).

According to media sources, journalist bloggers use online

media (39, 8.8%) more than using ofﬂine media (30, 6.8%),

while citizen bloggers are less likely to use online media sources

(11, 2.5%) than ofﬂine media (15, 3.4%).

4.4 Modalities

RQ7 addressed whether blogger types differed in using

modalities to cover the different crises. A chi-square test of

independence was calculated comparing the frequency

of modalities used by journalist and citizen bloggers.

Signiﬁcant interactions were found in using images (X2(1)

= 22.84, p< 0.001), video (X2(1) = 23.09, p< 0.001), and

hyperlinks (X2(1) = 9.95, p< 0.01). Citizen bloggers were

more likely to use images in their posts (159, 36.1%) than

journalist bloggers (102, 23.1%), while journalists are more

likely to use video posts (30, 8.8%) than citizen bloggers

(9, 2%). Ninety (20.4%) blog posts by journalists had

hyperlinks, and 63 (14.3%) citizen blogger posts used

hyperlinks in their coverage of crises. In addition, the results

showed no signiﬁcant difference between journalist and

citizen bloggers in using audio (X2(1) = 0.95, p> 0.05) (see

Fig. 4).

RQ8 asked about the kind of images the Egyptian jour-

nalist and citizen bloggers use in their coverage of different

crises. Sixty-two (14.1%) of the images used by journalists

looked professional, only ﬁve (1.1%) were in black and

white, 39 (8.8%) were info-graphics, and 81 (18.4%) had

people. Of the images used in citizen blog posts about crises,

97 (22%) look professional, 12 (2.7%) were in black and

white, 38 (8.6%) were info-graphic, and 124 (28.1%) had

people (see Fig. 5).

Lastly, journalists were more likely to use hyperlinks than

citizen bloggers (see Table 7). The researchers examined the

ﬁrst link of each post to answer RQ9 and found that 67

(15.2%) of journalists’ﬁrst hyperlinks go to stories, ﬁve

(1.1%) to pictures, 10 (2.3%) to YouTube, and 10 (2.3%) to

main websites without stories (e.g., Twitter.com,Facebook.

com). The results also showed only 44 (10%) of the ﬁrst

hyperlinks by citizens went to stories, 15 (3.4%) to pictures,

two (0.5%) to YouTube, and one (0.2%) to a main website.

5 Discussion

After the Arab Spring revolutions, governments, organiza-

tions, researchers, and people around the world started

paying more attention to the crises. The Arab World’s crises

are very important examples that made governments deal

with future crises easier. Predicting the results and solutions

of a crisis come from reading news and analyses about the

crisis. The blog is one medium that provides audiences with

this information. This paper offers a window into the world

of bloggers during the crises. The theoretical contribution of

this paper provides knowledge about these two different

types of bloggers, and probes the differences between how

Fig. 3 Percentage of different

sources used

166 N. Makhadmeh and G. Zeldes

they used frames, sources, and modalities. In addition, the

paper provides important contributions to the development

of framing theory and the crisis coverage.

The results of this paper show signiﬁcant differences in

the frames, sources, topics, and modalities used by two types

of bloggers in Egypt. A large number of blog posts were

about the civil unrest crisis (revolution), and a small number

of posts focused on the terrorist attack and a natural disaster

because the revolution started on the ﬁrst day of our sample

and continued through two weeks. The ﬂooding and terrorist

attack in Sinai were one-day crises that resulted in less

coverage. In addition, the on-going nature of the civil unrest

and the magnitude and impact of the event was much

greater. As an example, the Egyptian revolution received

global attention. Major media around the world covered this

crisis because it affected the governments and the economy

[138]. Moreover, millions of Egyptian protestors went to the

streets asking for freedom and democracy. At least 846

people were killed, and more than 6400 were injured [67].

Media cover crisis that is important to most of the people.

The more people and victims appear in a civil unrest crisis,

the more media coverage of the crisis. The crisis that gets the

attention of global media can easily get the attention of

bloggers.

Citizen bloggers are more likely to cover a natural dis-

aster (ﬂooding) than journalist bloggers. And journalist

bloggers are more likely to cover a terrorist attack. Citizen

bloggers are more open to cover what they want, and jour-

nalist bloggers are subject to their specialization. The pre-

vious research developed the hierarchy of inﬂuences model

that shows the levels that media messages go through from

the most micro to the most macro: individual (journalist),

media routines, organization, extra media, and ideological

(culture) level. The journalists used to go through these

levels when they shape their messages, and used to have

gatekeepers on their messages. In the individual level, the

personal and professional roles and attitudes (e.g., organi-

zation regulations, journalists’code of ethics, etc.) inﬂuence

the content of messages. This study predicts that citizen

bloggers miss those personal and professional roles. The

only way to know that is by interviewing both types of

bloggers and know what are their roles when they blog. This

explanation shows that journalists are using blogs to express

Fig. 4 Percentage of different modalities used

Fig. 5 Percentage of kind of

images used

Table 7 Sum, average, and

standard deviation of using

hyperlinks

Type of blogger Sum of hyperlinks Average SD Number of posts

Citizen 84 0.37 0.83 228

Journalists 244 1.14 3.6 213

Framing Natural Disaster, Terrorist Attack and Civil Unrest …167

their emotions, but they are still using the journalism pro-

fessional roles in an indirect way when they post on blogs.

Moreover, the Arab World faced many political crises,

conﬂicts, and wars, which made journalists write about

politics and wars every day while they are working in media

organizations. The daily practice made them write easily

about heavy topics (terrorist attacks, wars, etc.), and they

know how to ﬁnd resources for this type of crisis. However,

citizen bloggers do not write much about heavy topics

because of fear of responsibility and freedom of expression

laws. In Egypt, the fear of responsibility and arresting

inﬂuential bloggers made many citizen bloggers worry about

posting political posts, and write under pseudonyms, while

journalist bloggers use their real name because they are

protected by the freedom of expression laws. In terms of

language, both types of bloggers used Arabic more than

English because it is their main language. However, jour-

nalist bloggers were more likely to write in English than

citizen bloggers. The reason for that may be the experience

the journalists have in reading and ﬁnding online resources

for information, such as using foreign online newspapers.

The results showed that the journalist bloggers are more

likely to use hyperlinks that were going to media sources,

which conﬁrms our explanation.

5.1 Frames

The research found signiﬁcant differences between two types

of bloggers in using media frames. In the coverage of the

civil unrest crisis, citizen bloggers were more likely to use

the attribution of responsibility and human-interest frames

more than journalist bloggers. For the attribution of

responsibility frame, [94] asked whether the blogger blamed

a person, party, or government. Bloggers are using blogs to

air their opinions of news and analyze events, and 52 jour-

nalist bloggers are using blogs to air their analyses on the

main news of the mainstream media, especially politics [31].

However, the journalist bloggers are keeping and not

blaming any side of the problem by staying neutral, because

otherwise their trust, credibility and reputation could be

affected. For the human-interest frame, citizen bloggers are

more likely to express their feelings of sympathy by using a

human face example that generates feelings. Journalists are

more likely to be objective in their writing and unbiased

toward a side, which are the basic ethical principles in

journalism [103,139].

On the other hand, there are many governmental news-

papers in Egypt. The journalists in these newspapers write

positive articles about the government. The results show that

the journalist bloggers who are in the study may work in

newspapers that never show the government is responsible

for a crisis. In the coverage of a terrorist attack crisis, the

researchers found signiﬁcant differences between two types

of bloggers in using human-interest and conﬂict frames.

Citizen bloggers are using human-interest more than jour-

nalist bloggers. As mentioned in the previous paragraph,

citizen bloggers try to attract audiences by putting a human

face in their posts and trying to stir their emotions, which

will increase the interactivity with the audiences. Moreover,

journalists are more likely to use conﬂict frame than citizen

bloggers.

According to a previous study, the conﬂict frame was very

commonly used by American news media [96] and audiences

[75]. Another study found that this frame is the second most

common frame used by media [94], and “the more serious the

newspaper, the more the conﬂict frame was in evidence”[99,

p. 108]. The researchers of this paper think that reporting

about a conﬂict between two or more sides is showing readers

the conﬂict between parties. In a terrorist attack crisis, usually

there is disagreement between the individuals who prepared

the attack and the government, and the people affected. This

kind of sensitive crisis needs someone who specializes in

reporting and analysis, such as journalists, who can reach the

information and the resources easily and early.

In the coverage of a natural disaster crisis, a signiﬁcant

difference between types of bloggers was found in using the

morality frame. Journalist bloggers were more likely to have

used this frame in their coverage of ﬂooding than citizen

bloggers. Entman [74]deﬁned media framing as “select[ing]

some aspects of a perceived reality and mak[ing] them more

salient in a communicating text, in such a way as to promote

a particular problem deﬁnition, causal interpretation, moral

evaluation, and/or treatment recommendation for the item

described”(p. 52). Thus, “moral evaluation,”or making

moral judgments, is one of the aspects of media framing.

Journalists learned that from their careers, and try to apply it

when they blog on their personal sites. In addition, the

morality frame is showing the event in context of religious

tenets, social prescriptions, or moral prescriptions [75,99].

In their paper, the authors [96] found that the morality frame

is a common frame used by journalists to cover an event in

an indirect way by using quotations or inference; they tend

to use an indirect way in reporting because of the objectivity

that is the norm in journalism.

5.2 Topics

Politics and violence and terror were the topics most fre-

quently used by both journalist and citizen bloggers in the

lead and the main body of the post. The reason for this may

be the type of crises we analyzed and the interest of each

blogger type; the revolution and the terrorist attacks were

political events. In their paper, [6] found that the largest

number of blogs in the Arabic blogosphere consist mostly of

168 N. Makhadmeh and G. Zeldes

political content that engages the public in the political

movements, critiques the political regime and protests

against human rights violations. And [28] also found that

43.7% of bloggers with professional journalism backgrounds

write about the government, and only 22.8% of bloggers

with economic and other backgrounds write about politics.

The researchers said the “This variance may reﬂect differing

philosophies of the purpose of journalism and blogging by

authors with and without traditional journalistic back-

grounds. Reﬂecting the longstanding role of the press as the

Fourth Estate in American society, journalists often frame

stories in the context of government and other powerful

institutions exercising their control and inﬂuence”[28]. In

the coverage of the civil unrest crisis, both types of bloggers

covered the conﬂict between pro- and anti-government,

especially the behaviors of the police. In the coverage of the

terrorist attack, the bloggers talked about conﬂict between a

terrorist group and the government. Both topics are con-

nected to each other.

In a 2014 paper, [140] said that “the more relevant

readers of your blog content, the more opportunities to

attract, engage and convert those readers…” (para 1).

Bloggers write about the issues that are more pertinent to

their readers. Since they born, Arab people read political

news to follow up on news about political crises. The Arab

World’s communities are more interested in reading political

news because they faced many political crises: Gulf War,

Iraq War, Israel-Palestine conﬂict, etc. Large portions of

Arab blog readers are political activists, journalists, and

politically inﬂuential elites [42]. Thus, it is logical to cover

the political topics more than any other topics.

On the other hand, the researchers found a signiﬁcant

interaction between two types of bloggers in using the topic

that got the most space in the lead. Journalist bloggers are more

likely to put the topic that got the most space in the ﬁrst

paragraph than citizen bloggers. The lead is a main component

of the story and contains a summary of the topic and what is

the story about. This goes back to the rules that the journalists

have in news reporting and writing, and their education in

journalism and media-related ﬁelds. Journalists write news

every day, and doing the same thing every day makes the

person better at it. Thus, they are much better than citizen

bloggers in making the main topic in the post in the lead

paragraph. Fifty-two percent of bloggers consider themselves

journalists [34]. This study could help in explaining that the

bloggers who do put the main topic in the lead know the

importance of the lead, and so, consider themselves journalists.

5.3 Sources

Journalists (30.6%) are using sources more than citizen

bloggers do (24%). The researchers explained that by

justifying that journalist bloggers will go to the available

sources they used when they work(ed) in the media. Citizen

bloggers have more difﬁculty with sources, which require

them more time to ﬁnd. The researchers found a signiﬁcant

difference between the journalist bloggers and the citizen

bloggers in using scientists. The researchers explain that by

suggesting that journalist bloggers use sources that they used

in their careers. Moreover, prior studies showed that jour-

nalists are using ofﬁcial sources more than bloggers when

they cover crises [38,119,120]. Ofﬁcial sources refer to the

sources that are able to establish an interpretation about

things (e.g., government, scientists) [121].

The research did not ﬁnd any differences between types

of bloggers in using governmental sources. However, a

previous researcher found that online newspaper journalists

cite ofﬁcial sources (e.g., government) more than citizen

journalists [73]. The researchers found that the journalist

bloggers are using media (online and ofﬂine) and document

sources more than citizen bloggers do. Because this is their

ﬁeld, journalist bloggers know much about the media sites

that can provide information on a crisis. And journalists who

use these sources often hope that these media sources will

cooperate with them in the future. In addition, using docu-

ments is a way to be objective and not biased in journalism

reporting.

5.4 Modalities

The researchers found differences between the journalist

bloggers and citizen bloggers in which modality they use.

Citizen bloggers were more likely to use images in their

posts than journalist bloggers, while journalists are more

likely to use video than citizen bloggers. Prior research

found that the modalities of media (e.g., picture, video)

affect the human memory [106,107]. The brain processes

visual content differently than text. Typically, visual content,

whether it is moving (e.g., video) or not (e.g., image), has

much more emotional impact than text. The dual-coding

theory (DCT) suggests that the content that has two

modalities will have more outcomes than the content using

one modality, and the one that has visual content has a

“better chance of dual coding and enhance better recall”than

non-visual content [111,112, p. 184].

Bloggers are more likely to use visuals to show the details

of a crisis. They say “a picture is worth a 1000 words,”

therefore, a video that has many pictures is more important

and worth inﬁnite words. Text requires the ability to read

and time, so using visual tools is easier to send messages to

the readers than sending textual messages. The

cue-summation theory assumes that the textual content with

an image provides more learning cues than the content

without image.

Framing Natural Disaster, Terrorist Attack and Civil Unrest …169

Video is more interesting to watch than looking at frozen

picture. The journalist bloggers may know that the video is

worth more than a picture, so they put videos on their blogs

to be more social and make the readers be more engaged and

interactive, which are the main goals of blogging. In addi-

tion, the journalist blogger may have previous experience

from their work as journalist in how to upload videos on the

Internet.

Then came the natural disaster, the greatest number of

videos were about the civil unrest (27 posts, 6.1%) just

because bloggers had a camera in the place of crisis and tried

to show the magnitude of the crises, (13 posts, 2.9%). In

Egypt, many bloggers were blogging from the Tahrir

Square, where people demonstrated. The goals of using

hyperlinks in the posts are to refer to the main source of the

information to encourage the readers to go to the primary

source, “increase the authority of a posted story,”achieve

transparency, sharing information, increase the number of

readers, get more replies of the post, and to be more reliable

by citing the main sources of information ([22, p. 119] and

[28,141,142]). In his paper [37] found that 85% of jour-

nalist bloggers provide the hyperlinks extensively to refer to

their main news sources, which are mainly media sites and

related materials. This paper found that journalist bloggers

are using hyperlinks more than citizen. Their journalism

experience taught them to cite the sources.

In addition, using hyperlinks indicators an ability to use

new media technologies, and it “reﬂect differing sourcing

philosophies of bloggers”[28, p. 9]. While, a limited use of

hyperlinks can show a limited knowledge in using this

technology [141]. As mentioned before, journalist bloggers

were using media sources more than citizen bloggers. To cite

these certain media sources, journalists used hyperlinks that

went directly to the story, and they often hope that these

sources reciprocate and cite them in the future [143,144].

Referring to these sources is a kind of praise between

journalists.

In general, using modalities is a very important aspect

that has been exploited by journalists and citizen bloggers in

the coverage of crises. Both know the importance of using

modalities in gathering more readers and building the

trustworthiness with their communities.

6 Conclusion

Framing studies discuss two levels of frames: media and

individual frames. Media frames are found in the media

content, but individual frames are in people’s heads, and

how they interpret and make sense of news and categorize

them in groups [71,81]. This research provides the framing

literature with two types of individual frames, journalists and

citizen bloggers. Bloggers express what is in their heads by

posting on blogs. The pervious knowledge and personal

characteristics can make differences in the interpretation of

news among people. In this study, journalist and citizen

bloggers are the individuals who select some aspects of the

crisis and make them more salient in a post. The differences

between the two types of bloggers in creating individual

frames, and using topics, sources, and modalities to cover

crises show that there are different levels of individual

frames; this may relate to professional norms and work

routines the journalist bloggers learned from their career as

journalists.

7 Implications

In sum, this research paper helps the public (e.g., blog

readers, students, journalism educator, crisis managers) to

know more about journalist bloggers and citizen bloggers,

and know how each type of bloggers write about crises in a

positive and negative way. For example, the study provides

the journalism educator with how different types of blogger

use a lead, and what are the main topics, sources, and

modalities used in the stories. In addition, it will help the

general public who have limited time with a summary of

who is a journalist and who is not. In addition, the paper

helps identify the parameters and boundaries of journalist

bloggers. Knowing which type of blogger, journalist or cit-

izen, is using more sources is a good indicator of credibility.

In journalism, using sources in a story, especially related to

the topic, shows the importance of the story, and in the

ability of the author to provide information. The results of

this paper help society with these questions: What hap-

pened? Who is responsible? Why did it happen? And how it

happened? After people, political and media researchers,

governments, and organizations ﬁnd answers to these

questions, they can understand a crisis and predict the

answers of future crises.

This research paper is a guide for governments and public

relation agencies to see how each type framed and used

sources during crises. For example, governments could use

the type of frame that uses media sources to send messages

to the audiences. The results of this study will also help

public relation agencies in designing strategies to face crises

and crisis management by knowing the responsibility

framing acceptance or denial of an event [145]. In addition,

it helps these agencies know the type of blogger to send

messages to reach a particular audience in a speciﬁc crisis.

During a natural disaster for example, the public relations

agencies focus on sending their messages through citizen

bloggers because they are more likely to write about this

crisis than journalists. Knowing which type of bloggers is

using different modalities also has beneﬁts for those in the

media and businesses. For example, the camera

170 N. Makhadmeh and G. Zeldes

manufacturers can provide citizen bloggers (the type who

used pictures more) free cameras to take better pictures and

promote their cameras to blog readers.

8 Limitations

This research had several limitations including difﬁculties in

ﬁnding who is a journalist blogger and who is a citizen

blogger. All journalist bloggers in the sample of this study

were using their real name, and wrote a short biography

about themselves to convey a sense of credibility and

transparency [143]. While most of citizen bloggers in the

sample did not have a short bio that refer if they worked as

journalists or not, Thus, the researchers emailed citizen

bloggers and received responses from most. After that, the

researchers searched through Google, Twitter, and Facebook

and conﬁrmed that the remaining citizen bloggers were not

journalists. However, some of the citizen bloggers did not

disclose that they were journalists. It is very signiﬁcant to

have a separate blog directory that has only journalist

bloggers, which will help governments, organizations,

media, PR agencies, bloggers, activists, and readers to be

more speciﬁc about to what type of blogs they want to read.

Another limitation was in ﬁnding posts about the terrorist

attacks and ﬂooding in Sinai. The majority of blog posts

were about the Egyptian revolution because it was a famous

crisis not only in Egypt, but also in the whole world.

Another limitation was deciding not to code the content

of videos from the analysis, which may have included dif-

ferent messages and frames. Videos transmit a huge amount

of information that entices the blog readers to see or read

more about a crisis. In addition, these videos may tell more

about the frames used especially in those that affect the

emotions of readers, such as the human-interest and morality

frames. Using content analysis to ﬁnd the differences

between types of bloggers in coverage crisis is a limitation.

This method only describes the content of posts. Further

research can interview bloggers to explore their attitudes

toward choosing the topics, sources, and modalities and why

they choose it.

The data of this study were collected from 33 journalist

blogs and 33 citizen blogs in Egypt. This number of blogs

may not be enough to generalize the results on all of jour-

nalist and citizen blogs around the world. In addition, the

Egyptian bloggers may have different characteristics than

other bloggers around the world. Responsibility and freedom

of expression laws, and arresting bloggers in Egypt made

some bloggers wary of publishing against the government,

which limits the generalizability of results to a wider

population.

Another limitation of this study was the ﬂuency in a

language. In Egypt, people are mainly using Arabic because

it is the mother language. However, we found several posts

written in English and other languages with translation in

Arabic. The bloggers who wrote in this language might not

be ﬂuent in English that may affect the results of this study.

The lack of available data about the differences between the

journalist and citizen bloggers may affect the generalizability

of the data of this research. However, this study can help

future research by providing a benchmark.

9 Future Research

There is much more work to do to ﬁnd the differences

between the journalist and citizen bloggers. The natural

disaster and the terrorist attack crises were one-shot events,

while the revolution was a continuous crisis. Future studies

could look at the comparison between types of bloggers in

the coverage of two continuous crises or sudden crises to

make sure that the duration does not make a difference. In

addition, the researchers could examine economic crises,

such as air transportation. Future studies could also examine

different types of stories that are not about crises to see if the

results are consistent with the results of this paper.

During the coding process, the researchers noticed that

the sites of journalist bloggers were more sophisticated in

design and more consistent in adding more content, as their

news organizations invest their online resources and staff to

make the journalist blogger’s page visually appealing and

drive visits. Future studies could compare the designs of

journalist blogs and their news organization websites to see

how much these news organizations affect the journalists’

personal blogs. In addition, researchers can interview the

bloggers to see how they chose their site design.

Future studies could also look at additional factors that

can make the differences between the journalist bloggers and

citizen bloggers more clear in the coverage of a crisis, such

as the length of the posts and engagement with the audi-

ences. The researchers could analyze the content of blog

posts of a crisis to see if the bloggers are answering the main

news reporting questions: Who? What? Why? How? In

addition, the researchers could examine the differences

between a journalist associated with a news organization and

another who is not associated with a news organization to

see how current or old experience in journalism may affect

journalist bloggers.

Content of the picture is very important. Future

researchers could analyze the content of the pictures about

crises because there were a large number of pictures posted

by journalist and citizen bloggers. For example, analyzing

the written messages, “info-graphic messages,”is signiﬁ-

cant. Other future research could examine the kind of people

who are in the pictures, and if they are politicians or public

people. This could show the importance of the people in the

Framing Natural Disaster, Terrorist Attack and Civil Unrest …171

pictures to each type of blogger. Moreover, examining the

kind and content of documents bloggers use could help us to

answer the questions of What happened? Who is responsi-

ble? Why did it happen? And how it happened?

Lastly, the researchers could look at media framing of

similar crises that occurred at different times, and see if the

passage of time could change the frame of the same crisis,

such as the overthrow of Mohammad Hosni Mubarak on Jan

25, 2011, and Mohamed Morsi on July 3, 2013. Future

studies could examine coverage of the same crises by jour-

nalist and citizen bloggers from different countries. For

example, blogs by Egyptian and American bloggers could be

examined to determine if cultures affect the framing of the

posts.

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Framing Natural Disaster, Terrorist Attack and Civil Unrest …175

Humanities Scholar Information-Seeking

Behavior: Quantitative Approach

Mohammad Khaled Al Shboul , Othman A. Obeidat ,

and Natarajan Sundar

Abstract

This study aims to investigate the humanities scholars’

information needs and behavior in an ICT environment as

a case study at Yarmouk University, Jordan. Earlier

researches showed that humanities scholars have an

incompatible relationship with ICT use even despite their

signiﬁcant use of library facilities compared to other

scholars. Not to mention, the lack of up-to-date studies,

which considers the signiﬁcant acceleration in ICT

infrastructure and the emerging digital environment.

However, the main objectives are to (a) understand

humanities scholar’s behavior and their information need

in an ICT environment (b) identify the barriers they

encountered, the study employed survey questionnaire

method. 280 Academic staff from four faculties of

humanities were sampled and selected. Responses were

received from 161 academician’s staff members. The

ﬁnding indicated that the humanities scholars possessed

various level of awareness in the availability of sources

and services of information in their ﬁeld of subject

interest. Besides, they showed different motivations in

in-formation-seeking which were inﬂuenced by the usage

of appropriate format and preference languages. It was

also discovered that barriers in information-seeking such

as limited of library resources, inconvenient of university

environment and personal incompetency had affect their

information-seeking satisfaction. They overcame the

barriers through personal experience and technological

literacy. Lastly, the ﬁndings can greatly assist the library

in facilitating the needed re-sources and services which

could ease the information-seeking behavior. It also can

increase the level of satisfaction among the library users

particularly the electronic resources and services.

Keywords

Information-Seeking behavior Information needs 

Humanities scholars ICT environment 

Jordan

1 Introduction

The history of research of information behavior dated back

in 1948 where the conference of Royal Society discussed a

research about the scientiﬁc information [1–3]. Over years of

studies, researchers have studied the information behavior

and needs, features and characteristics of scholars. The study

of similarities and differences of information behavior

among library users can provide the appropriate services to

the users’information needs.

The access and dissemination of information has been

changed in recent years due to the tremendous evolution of

the Internet and web-based technology. Thus, have inﬂu-

enced in one way or another the humanities scholars seeking

behavior, and the way that academic libraries are handling

and managing their resources and delivering services [4,5].

Therefore, in 21st century researcher believed that a new

study on the information behavior of humanities scholars is

required. Besides, a study on the current scenario among

non-English speaker in the developing Arab country such as

Jordan is vital requirement. Previous studies shown a sig-

niﬁcantly substantiation differences between the information

seeking behavior of scholars in the social science [6–9], and

science [10–14]. Furthermore, the humanities scholars

showed particular behavior during their information-seeking

process which were different than other scholars in other

disciplines [4,13–15].

In the ICT environment, humanities scholars encountered

an issue in selecting the proper and efﬁcient searching

M. K. A. Shboul (&)N. Sundar

American University in the Emirates, Dubai, UAE

e-mail: alhareth8@gmail.com

N. Sundar

e-mail: gn.sundar5@gmail.com

O. A. Obeidat

Al-Balqa Applied University, Salt, Jordan

e-mail: dr.othmanobeidat@hotmail.com

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_20

177

criteria. They are slow and left-behind in embracing the

modern technology [4,10,16]. Barrett [17] Reported that

they did not prefer the electronic information technology.

They were also reported that they feel pressure while dealing

and using the information technology [18]. This happen due

to their incompetence skill in ICT usage compared to other

disciplines [4]. Besides, [19] humanities scholars made little

use of online databases and many of them reported about the

trouble of the search language, and lack of availability of

desired primary resources [17]. Additionally, more printed

books and journals are still being referred compared to the

electronic format [15]. Talja and Maula [20] Called the

humanities scholars “low level users”, particularly in the

usage of e-journals and electronic databases.

2 Aim and Objectives

This study aims to investigate the information needs and

behaviour among humanities scholars in various depart-

ments at Yarmouk University Jordan. This is to contribute to

the context of Library and Information Science in the

developing country of Arab nation. This study explores the

information needs and behaviour of humanities scholars and

the undertaken information-seeking process they do to fulﬁl

their information needs. Moreover, this study investigates

the behaviour of humanities scholars in utilizing the needed

information, especially the digital resources and services in

an ICT-enriched environment for their academic tasks. This

study also explores the effectiveness of their information-

seeking process and the barriers of information-seeking

faced by them.

The detail objectives of this study are:

1. To investigate the humanities scholar’s information

behaviour and needs in an ICT environment at Yarmouk

University Jordan.

2. To identify the barriers that humanities scholars faced by

the while they seek for information and use it for their

academician tasks.

3 Literature Review

According to [21], information-seeking behaviour is moti-

vated by individual’s information needs. It is an individual’s

mental process where they identify the need to satisfy their

information needs to accomplish their task through what is

known as “information-seeking behaviour”.[22,23] asserted

that the information needs and information-seeking beha-

viour varies according to the demographic attributes.

The understanding of how demographic attributes

induced the information needs and affect how humanities

scholars behave in their information-seeking process is

important to be studied to help the library in providing

information services that suit and fulﬁl to all group of

demographic customers. This is supported by [24] where

they mentioned that (i) personal reasons in information-

seeking, (ii) types of information being searched, and

(iii) methods and sources of information being searched,

were the factors that inﬂuenced information-seeking of an

individual. Moreover, research on information needs and

information-seeking behaviour is crucial because it could

determine the ﬁrst step and the sequence process of the user

behaviour [25].

3.1 Traditional and Emerging

Information-Seeking Behavior

Among humanities scholars, there is a different in terms of

the way or means the seek for information. The traditional

way such as going to and use library collections by browsing

and reading the printed books and journals were still pre-

ferred by humanities scholars [15,26–32]. As well they use

numerous sources of information like monographs, and

seldom discuss general bibliographic works, indexes, and

another secondary services [33].

Despite of the traditional way that humanities scholar’s

prefer towards the physical library and printed materials, few

of humanities scholars ﬁnd it useful with the availability of

electronic journals from the Internet [34]. There are also

positive changes of information-seeking behavior among

some of them as found by [35,36]. This includes a more

pleasant, easy to access and up-to-date information on online

catalogue. In addition, the access to download the electronic

information and to be printed it is the main reason of pref-

erence to use the electronic journals among humanities

scholars. Other than the electronic journals, e-mail, websites,

and databases that can be easily searched and modiﬁed are

the preferred medium to seek for information among them.

Additionally, [36] stressed that there were some setbacks

on the use of electronic resources. First was the lack of

knowledge and training to use the electronic search engine

and the Internet. Second was the torrential search results that

were not fully correlated to their information need. Lastly is

the credibility of the sources of the information.

Locating the Information, Location of Information-

seeking, Format and Language of Information Sources,

Tools or Channels of Information, and Types of Infor-

mation Resources Used

There is a variation among humanities scholars in terms

of how they locate their information, location of where they

178 M. K. A. Shboul et al.

seek the information, format and language used, tools of

information, and types of information resources they used.

References [8,31,36–38] discovered that humanities

scholars still prefer the conventional practice to locate their

printed books and articles by going to the department or

university library. In terms of the location of where they

prefer to seek for information, majority of humanities

scholars prefer to seek information from their ofﬁce and

home. This preference is for the electronic resources which

can conveniently access from the Internet at their ofﬁce and

home [7,31,32,39–41]. Between printed and electronic

format of information sources, the printed format especially

books and journals were preferred than the electronic one by

the humanities scholars [7,31,36].

However, according to [8,42,43] there is an increment of

use for the electronic format among the humanities scholars.

It was also found that the junior humanities scholars pre-

ferred the electronic than the senior scholars. Meanwhile, the

language used when searching the information was deter-

mined by the native language of the scholars [37], and

country of graduation of the scholars [31]. For the tools or

channels of information, humanities scholars preferred to use

the bibliographic tools, consultations with colleagues and

experts, citations tracking from books and journals, and

library catalogues [37]. Interestingly, humanities scholars

also preferred to personally consult with the colleague and

ﬁeld expert to keep update of their information [31,32]. For

the types of information resources used by humanities

scholars for teaching and research, the printed books and

journals are the main preference among them [44].

3.2 Barriers to Information-Seeking

There are several barriers and obstacles to

information-seeking that hinder the success and satisfaction

of information needs among humanities scholars. Lack of

access and availability is the main barrier to humanities

scholars, both printed and electronic format of information

resources [4,45–47].

Besides, difﬁculty to locate and obtain information

especially the electronic format were the barriers mentioned

by humanities scholars [46,48]. In addition, lack of

knowledge and awareness in terms of insufﬁcient skill to

search also contribute to the barriers [48–52]. Other than

these, barriers also include difﬁculty of language—ambigu-

ous terminology [46], as well as personal constraint such as

lack of time and seniority of age to learn the modern tech-

nology in information-seeking [52].

In summary, the literature reviews above shown a speciﬁc

situation and preference among humanities scholars in

information-seeking. It is believed, among the humanities

scholars themselves, a speciﬁc preference will vary

according to different demographic attributes such as gender,

age, years of experience, country of graduation and others.

Knowing the variety of their preference can help the library

to provide information services and resources efﬁciently.

This is important to ensure their information need can be

fulﬁlled.

4 Methodology

To achieve the objectives of this study, a questionnaire

instrument was designed based on previous studies ques-

tionnaire surveys related to this study. This is identiﬁed as

funnelling approach according to [53,54]. A questionnaire

which includes of open-ended question and closed questions

along with Likert’sﬁve—point Scale was designed. More-

over, the Statistical Product and Service Solutions (SPSS)

18th edition was used. The data analysis of the responses

covers descriptive and inferential statistical methods.

The pre-testing of the questionnaire was reviewed by four

reviewers from Yarmouk University (UY), Jordan Univer-

sity (JU), and two senior librarians from Al-Husayniyyah

Library. A pilot test was conducted among twenty faculty

members of humanities scholars from different departments

in Yarmouk University. The population of the study consists

of 275 humanities scholars from four human sciences fac-

ulties: Faculty of Arts; Faculty of Shari’a and Islamic

Studies, Faculty of Archaeology and Anthropology, and

Faculty of Fine Arts. The questionnaires were personally

distributed, where the proportional random sampling tech-

nique was used. Out of 275 populations, the sample size

becomes 185 as recommended by [55] in their statistical

table, a total of 161 respondents responded to the ques-

tionnaire survey where all questionnaire surveys were found

usable.

5 Findings: Descriptive Statistics

5.1 Demographic Characteristics

The Yarmouk University humanities scholars sample is male

and represents 90.7% (n = 146), while only 9.3% (n = 15)

for female. Given the academic status of the population

qualiﬁcations are PhD holders 90.7% (n = 146), and the rest

of the completion are master degree completed only of 9.3%

(n = 15). This fact reﬂect the worst participation of Arab

women in the labor market of the share of Jordan among 133

countries as mentioned in the world economic competitive-

ness report [56].

As indicate the data in Table 1, that the distribution of

respondents according to the current level of their academic

appointment or rank, 31.1% (n = 50) is professor, were

Humanities Scholar Information-Seeking Behavior …179

currently working on the University’s academic staff, 23.6%

(n = 38) of the professors is over the age of 56. Meanwhile,

with their rank fairly evenly distributed between 22.9%

(n = 37) with the highest number (n = 13) as associate

professor in age range of 36–40. The most senior category,

29.9% (n = 48) is assistance professor with the highest age

range of 36–40 (n = 18), followed 41–45 (n = 12). Lastly,

16.1% (26) most junior category of ‘Other staff’lecturers

comprising only three age groups; 36–40 (n = 13), 30–35

(n = 30) and 41–45 (n = 2) was reported by considerably

lower numbers of respondents.

5.2 Information Needs and Use of Electronic

and Print Resources

An earlier study which reported that the majority of

humanities scholars’researches were using based on printed

books and scholarly journals [15]. In Table 2, the data indi-

cate the respondents have been using both services almost

equally are books with 92.5% (n = 149), the next important

source is journals (83.2%, n = 134), conference proceedings

(65.2%, n = 105), dissertations (52.7%, =85), in addition the

other type of source is Online Databases (49.6%, n = 80).

Meanwhile, audio-visual materials (44.7%, n = 72), then

government documents also important source (40.9%, n =

66) and the less popular source is newspaper (29.8%, n = 48).

In addition, Table 3, show that humanities scholars

somehow, prefer to use printed resources slightly more than

electronic resources. The differences are small in magnitude

with 52.8% (n = 85) preferred the printed format resources

compared with 47.2% (n = 76) who preferred the electronic

format resources.

Tables 2and 3signiﬁcantly conﬁrmed earlier literature,

humanities scholars who had comparatively better computer

literacy skills than the others have more chances to use

electronic resources for academic purposes. As it is clear in

Table 2higher using database among junior scholars

(assessment and lecturer). Generally, there is an increase of

using electronic resources among humanities scholars and

junior scholars particularly, who have more computer skills

and conﬁdence compared with senior scholars comparing

earlier studies [4,15].

5.3 Identifying and Locating Relevant

Information

Respondents were requested to indicate how do humanities

scholars categorize and discover relevant information for

research and teaching process, Table 4, indicated that

entering a general query at a search engine ﬁrstly with 40.3%

(n = 65), followed by entering a speciﬁc query at a search

engine with 23.0% (n = 37) of the respondents. However,

there is a strong element of bilingualism in the teaching at an

academic institution in Jordan, for that 20.5% (n = 33) of the

respondents go to a topic-speciﬁc webpage and perform a

search there. Lastly, the data indicates that 16.1% (n = 26) of

the humanities scholars respondents go for searching aca-

demic database.

As noted, the searching process at academic databases

occupied the last option. This is because the scholars did not

Table 1 Respondents’demographic by gender, age and academic position

Age Gender

Academic position

Professor Total Associate

Professor

Total Assistant

Professor

Total Lecturer Total

MF MF MF MF

30–35 ––– ––– 3–3

1.9%

7411

6.8%

36–40 ––– 13 –13

8.1%

10 8 18

11.3%

13 –13

8.1%

41–45 ––– 8–8

5.0%

12 –12

7.4%

2–2

1.2%

46-50 4 –4

2.5%

2–2

1.2%

4–4

2.5%

–––

51–55 8 –8

5.0%

437

4.3%

11 –11

6.8%

–––

>56 38 –38

23.6%

7–7

4.3%

––– –––

Total 50 –50

31.1%

34 3 37

22.9%

40 8 48

29.9%

22 4 26

16.1%

180 M. K. A. Shboul et al.

have skills for searching in academic databases and

numerous of them did not know about availability types of

this academic databases. Furthermore, it is clear the library

don’t provide an adequate training program for the human-

ities scolders, especially for using electronic databases, and

there is a lack announcement about it is services and

resources providing.

5.4 Sources Used to Obtain Information

A study conducted in the United States by [57], which reported

that all academics surveyed were using the Internet to search

for information related to their research. A group of statements

was therefore compiled in order to investigate the attitude of

respondent in methods of use sources to ﬁnd information. The

relevant data about this section were asked for respondent in

Table 5, These results reported that reading textbooks in the

ﬁeld of specialization is the most often used method for

seeking information with mean score = (4.2), standard devi-

ation = (1), compares to a result of reading professional

journals in the ﬁeld of specialization with mean score = (4.1),

standard deviation = (0.9) the next most frequently indicated

reasons for using the accessed service. Compared with results

in Australian academic environment, of respondent’s

researchers use the ‘e-journals databases’at Curtin University

study conducted by [58]. Followed by reading conference and

meeting papers with mean score= (3.7), with Standard Devi-

ation = (1). Also, the responses at Yarmouk University the

range of attending conferences and meeting, searching bibli-

ographic databases and talking to colleagues or experts in

one’s own department occupied the same rate with mean score

= (2.9), standard deviation = (1.1). While asking librarians or

information specialists and writing to a colleague or an expert

at another university being the least frequent method with both

having a mean score of (2.5).

Table 2 Types of information

most often need to access Types of information

most often need to

access

Professor

(50)

Associate

Professor

(37)

Assistant

Professor

(48)

Lecturer

(26)

Total Percentage

(%)

Books 50 35 42 22 149 92.5

Journals 44 32 38 20 134 83.2

Conference

proceedings

30 27 31 17 105 65.2

Dissertations 12 17 34 22 85 52.7

Databases 11 14 36 19 80 49.6

Audio-visual

materials

13 14 29 16 72 44.7

Government

documents

18 17 18 13 66 40.9

Newspapers 10 11 16 11 48 29.8

Total 50 37 48 26 161 100

Table 3 Respondents’Preferred

Information Resource Format Format Frequency Percentage (%)

Printed 85 52.8

Electronic 76 47.2

Total 161 100

Table 4 Search for Answers to a

Speciﬁc Question on the Internet Search for answers to a speciﬁc question on the internet Frequency Percentage (%)

Enter a general query at a search engine 65 40.3

Enter a speciﬁc query at a search engine 37 23.0

Go to a topic speciﬁc webpage and perform a search there 33 20.5

Searching academic databases 26 16.2

Total 161 100

Humanities Scholar Information-Seeking Behavior …181

5.5 Issues Faced Regarding

Information-Seeking Behavior

The results reported in Table 6, answered that “Yes”61.6%

(n = 99) out of the total respondents have enough time

to seek information and respondents chose “No”38.4%

(n = 62) do not have enough time to seek information by

themselves was the most commonly recorded barrier. So for

that, the rate is slightly high 72% (116) have asked assis-

tance while seeking information. The reason behind this

result is because most of the respondents are not all the time

in the best situation and allocate their time on lecturing.

Table 5 Methods Respondents Use for Seeking Information (n = 161)

Methods of seeking information Never Rarely Sometimes Frequently Always Total Mean SD

Reading textbooks in my ﬁeld 26

16.1%

15.5%

18.6%

22.4%

27.4%

161

100%

4.2 1.0

Reading professional journals in my ﬁeld 24

14.9%

16.1%

20.5%

22.4%

26.1%

161

100%

4.1 0.9

Reading conference and meeting papers 24

14.9%

17.4%

23.6%

21.7%

22.4%

161

100%

3.7 1.0

Using an Internet search engine 20

12.4%

24.3%

26.7%

24.3%

161

100%

3.3 1.3

Searching bibliographic databases 28

17.4%

19.9%

28.6%

16.8%

17.4%

161

100%

2.9 1.0

Attending conferences and meeting 25

15.4%

23.1%

25.5%

19.9%

16.1%

161

100%

2.9 0.9

Talking to colleagues or experts in my own

department

15.4%

24.9%

25.5%

17.4%

16.8%

161

100%

2.9 0.9

Asking librarians or information specialists 30

18.6%

27.4%

18.6%

16.8%

161

100%

2.5 1.1

Writing to a colleague or expert at another

university

17.4%

24.9%

25.5%

16.1%

161

100%

2.5 0.9

Table 6 Difﬁculties Encountered while Seeking for Information

Item statement Responses Frequency Percentage (%)

Not having enough time to seek information by oneself Yes 99 61.5

No 62 38.5

Need assistance during seeking information Yes 116 72.0

No 45 28.0

Multitude assistance seeking Research assistance 42 36.2

Library assistance 35 30.2

Colleague 35 30.2

Other (family members) 4 3.4

Level of Internet searching skills Less than adequate 22 13.7

Adequate 7 4.3

Somewhat proﬁcient 49 30.4

Proﬁcient 53 33.0

Very proﬁcient 30 18.6

Relevancy of searching result Very irrelevant 37 23.0

Irrelevant 10 6.2

Somewhat relevant 67 41.6

Relevant 37 23.0

Very relevant 10 6.2

182 M. K. A. Shboul et al.

But these results indicate that the majority are conﬁdent

that they can search adequately from the vast searched

information. It is clear that the lack of adequate and appro-

priate time is one of the most difﬁcult obstacles faced by

professors and prevents the use of electronic resources,

which in the end will inﬂuence their seeking behavior.

Furthermore, who asked for assistance through

information-seeking process present 36.3% (n = 42) indi-

cated some level barriers of asked research assistance, while

30.2% (n = 35) indicated a level of both asked their col-

leagues and library assistance, and 3.5% (n = 4). It may have

been expected asked the other (family members).

In terms of the Internet searching skills 33.1% (n = 53)

they response to the latter question indicating a level of

proﬁcient and somewhat proﬁcient is 30.4% (n = 49). Also,

reported suffering adequate is 4.3% (n = 14) and Perhaps

contrary to expectations and was the least indicated barrier,

13.7% (n = 22) shows that their Internet searching skills are

less than adequate. With regard to the relevance of search

results, the respondent shows their research result is very

irrelevant with 23% (n = 74) compared with only 6.2%

(10) who reported that their search results are irrelevant. It is

possible, however, that this general response regarding

Internet searching skills.

6 Conclusion

6.1 Computer Use

The study shows that the junior scholars who have a com-

puter and more internet searching experience than the senior

scholars, will be more likely to use electronic resources and

internet for the academic purposes. A suitable condition and

good speed of Internet connection play signiﬁcant role for

the preference of Internet surﬁng in the ofﬁce. This study

discovers variation in the motives for information-seeking

among the scholars that could be determined using appro-

priate format and understandable language, where preparing

the class and completing the research is the most signiﬁcant

reason for information-seeking. However, study reveals that

scholars depend heavily on printed materials as a primary

source of information for teaching purpose. Meanwhile,

senior scholars are still preferred to use printed monograph

and textbooks for teaching purpose, while printed journal for

research ﬁeld. Meanwhile, the junior scholars prefer to use

both electronic and printed format of information resources.

It is also evident that there is an increase in using electronic

resources compared with the previous studies.

6.2 Identifying and Locating Relevant

Information

Regarding to identifying the relevant information, this study

found that humanities prefer to take a general idea of the

subject by entering a general query on a search engine and

then locate the search in a more speciﬁc way by entering a

speciﬁc query on the search engine. This study shows that

the humanities scholars prefer to locate information by

downloading the softcopy and save the copy in the hard

drive. This underpinned the ﬁndings from the earlier studies.

Furthermore, factors such as uneasiness reading from a

computer screen for a long time and lack of computer skills,

made the senior scholars prefer printed papers than the

electronic copy.

6.3 Sources Used to Obtain Information

For obtaining information, this study conﬁrms that human-

ities scholars still have the uppermost number of users who

use the library resources. The senior scholars still prefer to

use the printed materials such as reference books to obtain

relative information. But, the electronic resources like elec-

tronic databases and journals are preferred by the junior

humanities scholars.

6.4 Issues Faced Regarding

Information-Seeking Behavior

This study discovers that lack of time and relevance of

research result, were considered as barriers or factors that

against senior scholars from using the electronic resources

and inﬂuenced their information-seeking behavior. Because

time issue is frequently the sign of deeper dilemma, there-

fore, senior professors are asking for assistance during

information-seeking process. As a result, they are willing to

have a training on information-seeking, but timidly; most of

them like to be trained individually.

In conclusion, the need to know and identify the

information-seeking behavior and see the behavioral pattern

among various demographic background of humanities

scholars can assist the library management. The assistance

could be speciﬁc for certain information needs based on the

identiﬁed categories. It will help for a smooth and efﬁcient

information-seeking process and reduce the barriers they

might face which will satisfy the humanities scholar’s

information needs.

Humanities Scholar Information-Seeking Behavior …183

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Humanities Scholar Information-Seeking Behavior …185

Hybrid Alliances: Efficiency, Business

Continuity and Future Foresight in a World

of Challenges

Marios Panagiotis Efthymiopoulos

Abstract

Modern alliances, regional, or international, short-term or

long-term, require security resilience, business continuity

and sustainability. Alliances need to be practically

efﬁcient and provide efﬁcacy and accuracy when practi-

cally applied. In an age of change, alliances have become

hybrid in nature and thus need to be reshufﬂed. In a

period of strong, real-time geo-strategic changes, in a

constantly changing security environment, there is a need

for strong actions. Countries and leaders, seek modern

and long-term alliance capacity building that will provide

eventually stability, sustainability, safety and growth for

their own countries and regions. Based on the initial

theory of Steven Walt’s“Origins of Alliances”, this

research paper seeks to demonstrate a clear need for

strategic realignment of alliances through appropriate

understanding of security threats and challenges, yet also

leadership and vision that does more to promote regional

and international environment strategic and security

cooperation. A new long-term commitment, in a period

of reshufﬂing of strategic alliances will eventually provide

a‘safety net’that will trigger growth, sustainability and

development. This policy and research paper, currently

examines countries’pragmatic practical engagement for

the establishment of a balance of power, through alliances

that are of hybrid nature; achieved through diverse

elements of true diplomatic involvement, military pre-

paredness, active engagement and knowledge sharing

capacity, in a world, where regional or international

security or stability seems to be at stake.

Keywords

Interoperability Resilience Business 

Security continuity Strategic planning 

Operations Tactics Global policy 

Hybrid alliances

1 Introduction

One of the emerging and greatest challenges, of our multi-

polar landscape, is deﬁning or shaping strategic alliances. In

the completion of 17 years inside the 21st century, we evi-

dently notice a great reshufﬂing of alliances. It is based on

something greater, than reason or interest. ‘Power and

inﬂuence’to conquer or to establish a new ‘world order’,

seem to be some of the main reasons behind all actions and

methodologies. Alliances reshufﬂe their ‘cards’. They are

re-aligned with new interests due to power and inﬂuence. An

argument that we will analyse below.

According to [1] on Alliances, “…the greatest challenge

is the translation of overwhelming might…” of alliances “…

into effective inﬂuence”. Conditions of the 20th century

chess board, according to [2], leveraged power through

bilateral and multilateral alliances, that were based on power

and inﬂuence. Even more so, the creation of ‘Alliances’,

based on [3], Origins of Alliances, assumed a role of power

effectiveness but also inﬂuence in a world that was back in

the days, ready to change, yet again.

By the end of 2017, the world is in fact a state of alliance

ﬂuidity. Alliances are being reshufﬂed. Alliances have been

transpired to become ‘hybrid’in nature. As we know, they

are founded based on elements and objectives of security

and strategic affairs; challenges and threats yet also oppor-

tunities. Alliances are created based on tactical objectivity,

political acceptance but also necessity of power and inﬂu-

ence, that needs in 2017, to be redeﬁned as challenges and

threats themselves are not symmetrical yet seem to be cer-

tainly ‘hybrid’. In this paper, we state clearly, that the main

M. P. Efthymiopoulos (&)

College of Security and Global Studies, American University in

the Emirates, Dubai, United Arab Emirates

e-mail: marios.panagiotis@aue.ae

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_21

187

characteristics of alliances are now in change. Within the

duration of this research, an examination and analysis of

main key points, on old and new characteristics of alliances,

will be deﬁned, examined and critically analysed.

The world faces, non-traditional challenges as foresaid,

deﬁned as of ‘hybrid nature’. This current paper justiﬁes the

‘frontier’of terminology and necessity of the term ‘hybrid

nature’as deﬁned and examined in the below sections.

Strong geostrategic changes are coming about. Alliances

are restructuring. They are necessary. They are however,

reformed; redeﬁned. In a ‘game of power’in which pro-

jection of power and inﬂuence are evident more than ever

alliances are re-shufﬂed or newly constructed. In the age of

technological modernity, alliances need strong strategic

management, tactical agility and leadership. Alliances need

to be of long-term value rather than short term objectives;

they need to be or become robust in or through capacity

building; continue to acquire technological advances that

ease while effort alliance networking and operational

capacity efﬁciency when military action is requested. As

such, we need to forecast a possible development or other-

wise stated, the future of alliances, through agility and

operational/tactical capacity development, training and tac-

tical deliverables. Strong strategic commitment is needed

and strong understanding of all regional and global strategic

changes. Efﬁcient and pragmatic alliances will allow for

resilience on regional or global security, while allow for

tactical operational effectiveness when engaged.

In the Euro-Atlantic and Eurasian continents, regional

and internationally led alliances such as NATO [4], are

committed to long strategic alignment against symmetrical

and asymmetrical threats. Although, the commitment should

continue, alliances should enlarge yet also evolve and be

re-shaped when needed. While, threats and challenges, have

managed to evolve and become hybrid from asymmetrical,

so should alliances, be hybrid; redeﬁned.

The current policy and research paper, argues that alli-

ances need to be restructured as emerging challenges have

now become hybrid. Walt [3], articulates on “understanding

forces that shape international alliances should be a vital

concern for most statesmen”. Alliances should be redeﬁned

to meet challenges and opportunities; both in operational and

tactical capacity; based on their ‘hybrid capacity’to evolve

and to re-evolve again and again, when and where is needed.

Concepts, objectives and tactical targets, need to be clearly

and strategically deﬁned. Alliances, should last for a

long-period of time political and military consensus, posi-

tioning and operational capacity. Member-countries should

be engaged; ﬁnancially, operationally, political and diplo-

matically committed. All need to commit strategically and

tactically; they need to contribute in meeting, hybrid

demands for a continued strong security resilience and

business continuity.

By the end of 2017, challenges and stakes seem to be

greater and higher; clear in methodological options but

hybrid in objectives. Threat elements are hybrid in nature.

Risk and threat assessments are considerable; distinguish-

able, external and internal, regional and international; mul-

tilevel and multidimensional. Threats suddenly come from

both the one, the capable, the technologically agile or

knowledgeable, the ‘lonely wolf’; and the many, the orga-

nized or from ‘guerrilla ﬁghters’or rogue states.

Currently, security stakes are high; challenges constantly

emerge. Any current or new alliances, should reﬂect the need

to secure and to provide stability and safety against any

possible insecurities. A foresight on future security is of

necessity. Minority reports can help towards this goal: to

assist in operations and practice; what will become to

become a tool of operational effectiveness, to observe,

understand and operation the possible future of security.

Minority reports, will be the ‘response’on criminal acts prior

to their establishment, facing current and future threats.

There may be involve, game theories and intelligence risk

analysis methods, strategically providing the ‘frontier line’

of security. Minority reports if adopted, should provide

interoperable alliance, operational solutions, before threats

become actually existential and possibly destructive.

A strategic alliance plan of ‘hybrid’hybrid challenges/

targets should be thus established.

Walt [3], assures that on Alliances “strategy is a set of

hypotheses or predictions”. This research paper suggests that

strategy is and should be a clear-cut crisis strategic man-

agement process and tool of professional and training edu-

cation; a strategic methodological plan, that should be

applicable in both real operations and future challenges,

considering changes; being of ﬁscal austerity nature, political

and geostrategic challenges, ideological, societal or religious

challenges.

The research builds on the assumption that alliances

should be strengthened, reshaped and continuously mod-

ernized, operationally and tactically. On Morals of War and

conﬂict, alliances should clearly project moral and ethical

values; shaping and or formatting rules, regulations and

ethics on war, peace and resolutions of any or all possible

conﬂicts symmetrical and asymmetrical; Alliances should

ﬁnd out methods on which war and/or conﬂict zones need to

end. Alliances should reﬂect the wider international com-

munity that are otherwise revoked as in Kissinger [5] book

“World Order”. Provide tangible solutions for long-lasting

actual peace and peacetime security cooperation that will

render growth and development a reality.

Evolution of the existing concept of what constitute an

alliance is imperative. Evolution and push-out to a whole

new frontier, onto a new modern and practical concept is

also imperative. We need to recognise that current or future

threats are no longer conﬁned in a region and/or area or

188 M. P. Efthymiopoulos

analogic dimension. Hybrid threats are real and are here

now; Along with non-symmetrical threats like terrorism or

weapons of mass destruction or even pandemic diseases or

food safety, security issues are far more, far more real and

far more many and interrelated with each other, than ever.

Protective action is thus necessary. Preventive and protective

measures and procedures are necessary to be managed;

managing crisis is a must, as they need to occur, prior to

their occurrence.

National security is of primary necessity; Protection

seems to be the objective, yet also the tool. Protection

means, safety, equals to sustainability and growth. This

equation reﬂects both country/countries, regions and space.

Security seems thus to be a societal advancement element. It

reﬂects both national security and supranational security (in

an alliance) form and format. Their very existence and

development require investment, in both, soft and hard

skills; adding to them clear-cut strategic management of

logistics and ﬁscal needs and requests.

Security is today more than ever, a pre-requisite; A

pre-requisite for stability and possibility sustainability;

peaceful resolution of current or possible future conﬂicts.

Security is thus a model of business continuity; in where a

strong resilience in both tactical and operational methods

and adaptability, may lead to practical solutions today and

beyond on challenges and threats. Security when properly

adopted and adapted should reﬂect a forecast methodology,

which we will need to adopt comprehend and strategize in a

new modernized alliance level format, whether international

or regional.

The following sub-chapters, introduce, analyses and

critically evaluates the necessity of the theoretical concept of

what the author deﬁnes as the need to establish or reshape

‘Alliances in a Hybrid manner’. In the hope that the termi-

nology of ‘Hybrid Alliance’can further be deﬁned, exam-

ined and possibly applied, the theory on Hybrid alliances,

should be considered as a strategic tool; an element of

thinking in an alternate way and dimension thinking and

acting on security; reﬂecting the real world of security,

strategy, intelligence and specialized education and

training on security resilience and business continuity,

among others.

In a new world order, according to Henry Kissinger’s

book [5], alliances are an integrative part to world balance.

Alliances hold the key for growth and sustainability of a

region’s peace, stability but also prosperity. Through inter-

nationally led and accredited, by the sole international

organization, the United Nations (UN), alliances such as

NATO [4] and are security providers projecting sustain-

ability and growth, featuring safety and security, that is

however is no longer ‘static’; stakes are stronger and greater;

as the enemy is not symmetrical and threats are hybrid.

When alliances do become hybrid themselves, meaning

self-adaptable, self-interoperable and operationally agile and

ﬂexible, then we can rest assure that threats and challenges

can be swiftly and successfully tackled. We should know the

enemy, and we should respond to the enemy appropriately.

Alliances can only achieve strategic aims and visions, when

successfully integrated in a system of operational agreement

that will eventually lead to potential success against threats

and challenges of all kinds.

This paper explores and examines the importance of

current and future hybrid challenges. Hybrid challenges

come about versus, traditional symmetrical/asymmetrical

threats. The paper explores the necessity of modern and

pragmatic strategic thinking in the levels of alliance coop-

eration, coordination and practical effectiveness.

In turn, I contemplate the importance of leadership and

vision for growth in a world of business continuity and

security resilience and efﬁciency. Power and inﬂuence are

elements that establish strong alliances. Needless to stress,

they need to be organized and long-term associated with

current but most importantly future challenges.

The theory on Hybrid Alliances, meaning the necessity to

self-adapt, self-operate and self-determine, should be put to

the test, when considering the future of security, peace and

conﬂict. Hybrid alliances are today a reality that is currently

takes such form, where inﬂuence and power matters at a time

of much needed and newly created regional or international

balance of power. They should reﬂect a new era of security

terminology.

Hybrid Alliance methodology is a current terminology

with future elements attached. It is an important outcome

that does not deprive from any author, reader and evaluator

for what science is meant to be: Future foresighting and

made possible when applied in a growing society complete

with opportunities but also threats.

The targeted audience for such a theory are security

experts and strategists in the relevant or specialized ﬁelds.

The research is part of a multidisciplinary approach to

security, strategy and operational capacity-building.

Following the below analysis, the author projects early,

important lessons to be learned as outcomes. The author

provides proposals, which necessitate strong alignment to

long-term strategic planning and management that does

more to provide effectiveness, military agility and interop-

erability in a world of global interconnectedness.

As a disclosure to the paper that follows, I wish to stress

that this current research includes views which are solely and

independently expressed. They reﬂect my positioning on the

future of security through alliances.

The term ‘Hybrid Alliances’should be considered as new

term, which may be used as a tool for strategic thinking. It is

the ﬁrst time that is used and reﬂects innovation in security

thinking; it is a new security terminology that I deem as

important to reﬂect on, to analyse and to examine. The

Hybrid Alliances: Efficiency, Business Continuity …189

current paper is of multidisciplinary approach; concentrating

in the ﬁelds of international security and strategy.

This paper is both a research and policy proposal paper. It

is part of a larger research that is of specialization in security

and strategy, is of practical value, as it includes policy

analysis and policy proposals. A larger scale research will be

published soon after the publication of this research as a

collective analysis book on “Hybrid Alliances”.

2 On Hybrid Alliances

According to Henry Kissinger’s book on World Order, “the

world or rule-based system, faces challenges”, as the ‘in-

ternational community’“…expected all allies to abide by

rules”[5]. According to the author, for countries “to do their

fair share, play by the 21st century rules or to be responsible

stake-holders in a common system”, there is still no clear

deﬁnition or practical formulation of what constitutes,

according to the reader “fair”contribution to any possible

alliance [5]. He further goes on to stress that the international

community in invoked “insistently now that any other era”.

Yet “it presents no clear or agreed set of goals, methods, or

limits”[5].

According to [3], alliances depend on what we may call

as “nature”of the external threat and as such alliances are

formed. In this paper, I assume that alliances happen due to

inﬂuence, “power and opportunity”. A possibility of fore-

sight of the future, may actually help create enough ‘mi-

nority reports’to foresee threats and challenges. As such, as

Walt states, States shall no more “bandwagoning, with the

source of threat”[3], rather we state that alliances shall be

ready, through the source of self-adaptiveness and security

operational and tactical preparedness and resilience.

As [3] stresses, alliances can hold a behavior based on the

external threat. In this paper, we assume that alliances have

already a ‘security culture’attached. As we explain next, due

to geographical proximity, interests and diversity of current

but also new and future threats, alliances are or can be

inevitable. Reasoning is quite clear: interconnectedness.

According to [3], alliances can hold offensive and

aggressive intentions. That is true. However, alliances are

also dully formed, due to opportunity. Alliance creation,

may be created for those seeking to become strong or to be

stronger, due to their active abilities and competences but

also availability and need. Alliances are always necessary.

They not only strengthen cultures, but strengthen continuity,

business continuity and security resilience.

Alliances cannot be ‘dominated’from specialized solely

characteristics. They are formed to complement methods of

interests and of power efﬁciency that are of mutual impor-

tance; understanding the necessity of need, or request to be

part of an alliance is an opportunity, as long as foreign and

security objectives are clear; a deﬁnition of the role that each

state will play should be clear.

Alliances, according to the above mentioned can there-

fore be characterized terminologically as ‘Hybrid’. As alli-

ances, cannot be decreed as ‘solid’. History of alliances

easily proves such argument. Alliances can either long-term

or short-term; reﬂecting solely the necessity; do renew

themselves at times of challenge and threat to face conse-

quences. As such [6] wonders: “What if alliances were to be

reformed in our near future? In his “World Order”,[5],

wonders how to deﬁne it; threats will or do continue to

emerge; challenges are seen and risks are now high. Current

alliances need to reshape. Clearly due to the following: the

threat of terrorism and war, short-term proxy wars, tech

wars, weapons of mass destruction, climate change food and

health security to mention just a few. When and if a new

world order is declared, when alliances are hybrid shaped;

when a system of rule is established on alliances, on oper-

ations, tactics and more importantly hybrid strategy, only

then we may deﬁne a clear-cut strategy. In a world order of

hybrid adaptiveness and capabilities, the system of rule will

become clearer; well deﬁned and managed; skills vision and

positioning in operations will be clear as the reports and

objectives on how to counter all forms of extremism will be

made as a clear-cut risk management tool.

Within the 21st century, as the 4th technological revo-

lution unfolds, at a time of technological advances, smart

grids, networks and grids, outer space communications,

Artiﬁcial intelligence, genetics and robotics are quick sha-

pers of conditions and new and emerging situations, sharing

of knowledge and information that is accurate and to the

point is necessary. Access to large data gathering and

information is deemed as a necessity in a world of hybrid

threats, yet also hybrid alliances that are self-reliable and

self-adaptive to threats of the future.

Alliances bring and will continue to bring cultures toge-

ther; societies will eventually continue to grow closer to each

other as “slogans”according to [5]. Methods created, reg-

istered as initiatives are present to reﬂect the needs of today.

In a world of ‘smart dominance and rule’, alliances ought

however to be more ﬂexible and diverse and multidimen-

sional in all vision, mission, strategy and operations. Hybrid

alliances seem to be the only option that will keep the

security relevance of action and methodology against all

kinds of threats, alive.

3 Challenges When Building Hybrid

Alliances

A strong challenge on and about Hybrid Alliances is to

deﬁne and seek out a true and operational model of coop-

erative security for possible allies. It should be model for

190 M. P. Efthymiopoulos

self-command structure of operational, tactical and leader-

ship capacity to deliver actual security, through elements of

cooperative growth between the allies that seek to

re-establish cooperative objectives. Future visions of oper-

ations of Hybrid Alliances, can actually provide strategic-led

solutions to existing or future issues in a ‘world of an order’,

that according to [5], is yet to deﬁned, while the international

community is constantly invoked.

While seeking models of economic, society and security

prosperity and sustainability and self-modernization in

countries and cities, cooperative hybrid security of allied

countries, stands out as a good method of bringing a balance

of power for the region. Any possible current or future

alliance to be shaped that holds a cooperative security pol-

icy, will enable practical efforts to provide security resilience

for the long-term whether threats are asymmetrical or hybrid

in nature.

Hybrid Alliances are a model of business continuity,

deﬁning countries and regions. Alliances are/will be used as

a tool or method that connects all security elements with the

world of sustainability and economic/societal stability and

growth; It is/will use elements of traditional security provi-

dence, helping to create a sustainable business model of

growth, safety and stability. This model is/will help establish

a regional or global society not only as security resilient but

business oriented, sustainable; it will be considered a

methodological method of resolution, of current, existing

and/or possible future conﬂicts.

The challenge on Hybrid Alliances, is evident: for new

alliances to take shape, form and or be deﬁned as hybrid, we

need to seek out force-command and leadership with a

vision that supersedes current issues, challenges and threats

in a world that its order is yet to be deﬁned. In this world of

Hybrid alliances, we seek operational capacity building,

power and inﬂuence of leadership that acquires and requires

strong legitimacy and power effectiveness; Alliances

reﬂecting future models of societal global and regional

governance; Models of hybrid nature: Self-nurtured and

self-adaptive to new challenges, risks and threats.

In a modern and constantly self-modernizing society, the

method of understanding cooperative delivery of security,

that is the approach to alliance formation, should be sim-

pliﬁed. Necessary rules of and for political stability are

needed; Resilience to peace is requested; resilience to busi-

ness sustainability, growth and development should be the

approach to cooperative security. In a truly global and

interconnected society, alliance formation, should reﬂect

moral, ethical and societal needs and requests.

Current canonical forces and force-command structures

of allies are seen to be restrained from rules and regulations

of a system that was built on element(s) of competition or

threat(s) of ideological differentiated nature; where the pos-

sibility of war or instability was or still is imminent.

Currently, alliances are on a track of change; threats differ;

the ‘opportunity’to change is there; thus, alliances will also,

just change for the sake of changing.

Alliances with no hybrid command structure, abilities, or

self-engagement rules self-adaptability can be only consid-

ered as ‘static’alliances with a possible end date. Modern

Alliance posture and business resilience requires power-base

inﬂuence, long-term project planning and tactical effective-

ness; actual engagement and methodological adaptation to

new rules and new dimensions without procedural or polit-

ical engagement.

Defense as the frame for alliance cooperation, for political

and strategic engagement reﬂects the need for the rule of law

and democracy but it does not reﬂect modern and future

threats. Defense methodology is static, as are current alli-

ances. It expects things to happen so allies may be engaged

or defend. In defense, preventive or pre-emptive methods are

of defense nature. But they are not Hybrid. They are not

mature enough to operate. They cannot provide for a future

foresight ‘strategic minority report’that will necessitate the

adaptability process of what defense should look like in the

near future to come, that will elaborate all possible future

challenges taking into account symmetrical, asymmetrical

threats and now the possibility of Hybrid threats.

Hybrid alliances are challenges to continue and be built

around the concept of alliance-making, where forces join

against a common or many threats. Alliances are thus not a

new phenomenon. Empires, from Ancient Periods and

Antiquity, such as the one of Alexander the Great and its

“Corinthian Alliance”, stand out as similar in morality and

notion; they are reﬂective to today’s world. An example

NATO [4]. Alliances ﬂooded with pluralism of democratic

values. Decision-making processes depend and depended on

the element of power and interests; created and sustained

based on elements that ones’interest may reﬂect or be the

interest of the other one. More so, when the interests

reﬂected or reﬂect past and current threats. When future is

introduced based on interest and power effectiveness.

According to [7], “New Wars”or future wars, are or can

be about the claim to power on the basis of “seemingly

traditional identities-nation, tribe, religion”. Agreeing and or

accepting the above, equally means that security needs to be

re-deﬁned based on sound arguments that are not solely of

static defense posture, rather hybrid. Methodologically

achievable to reach out for tactical training and

preparedness.

As such one may ask: what if, power was not about

symmetrical and static threats? What if threats were modules

of future issues, related with among others technological

advances such as artiﬁcial intelligence, robotics, genetics

and humanoid development? Would threats arrive and/or be

more destructive from the one, rather the many in a

dimensional world above the internet of things?

Hybrid Alliances: Efficiency, Business Continuity …191

Hybrid threats need hybrid reaction. Through alliance

sharing of information and research material, these chal-

lenging realities should be faced. More so, when we may

become capable to anticipate them in or through an estimate

as we already named it as ‘strategic minority report’.

Mearsheimer [8], assures us that in the ﬁeld of security

and or strategy, “security competition is endemic to daily

life”. Security should be able to reconstruct it-self, adapt to

new and emerging situations both analogic and multi-

dimensional. Security, should continue to be provided and

states or alliances should continue to be providers. More so,

when challenges and/or threats can be considered hybrid.

Military or political alliances are and should continue to

be security providers. When security apparatus, needs to

re-adapt, so should alliances. When alliances become hybrid

in both nature and operations the security apparatus is sud-

denly changed as the risk assessment assures of imminent

hybrid threat assessments. Security resilience therefore

seems to be a necessity. As alliances are constantly and

knowingly, challenged, allied members are as well. The

question is, are we capable for strong futuristic led leader-

ship that does more to provide sustainability and resilience to

allies and member states?

4 Leadership and Vision for Growth

in the Field of Security

Leadership requires agility and understanding. It can be

taught yet is considered for few to be a gift of nature, to a

person. Leadership deﬁnes creativity, notions of collabora-

tion and aspiration. Vision, mission and innovation as

methodologies, stand out at times of grave and tremendous

change that maybe needed, or be inspired to do so. Lead-

ership is an asset value. I personally, believe, that leadership

cannot be dictated or taught. Skills can be dictated to a point

or extent. Yet true vision and methodology of approach to

subject may not.

The importance of leadership and vision for growth in a

world of business continuity and security resilience and

efﬁciency, is of essence. Leaders need to lead. Take deci-

sions. Learn the importance of alliance interconnectedness

and growth. Leaders should be an example. Of character and

abilities to hear, learn, decide and implement. Leaders

should empower and inﬂuence in a positive nature followers

and supporters. They should dream and share dreams with

what the city or state can be. A great leader may also be a

great marketer; a great manager and a great decision-maker.

All above are elements, we seek in a leader that will not

only allow for the establishment of strong alliances but for

innovation and future foresight to become an integrative part

of alliance success, posture and effective power measure-

ment in what we are yet to deﬁne as the world order.

Walt [3] used in his theory, the Middle East, due to the

fascinating scale of changes, happening in and through

alliances in between the Arab World. And even today the

scale of changes due to foreseen and unforeseen circum-

stances in the Arab World and the Gulf are tremendous. In a

world and country plentiful of structural and institutional

changes, leadership stands out as the most important asset

value for the sustainability and growth of the Middle East

and Gulf region, that is more than seemingly emerging.

Deﬁning the future is not easy. Predicting even more so. But

when dreams come true you cannot but to seek, to learn how

and apply.

The United Arab Emirates, the Government of Dubai

with its vibrant city [9] stand out, through the vision of

2030–2117 of the UAE as a model of current and future

cooperative security. The UAE vision is a set complete of

cultural values; national diversity, tolerance but also security

resilience; important elements, which stand out as key to

current and future success [9] but also education to current

and future allies of the UAE; achievable, through culture and

traditions, technological agility and research. Leading suc-

cess derives from vision. A vision and concept of leadership,

decision making and process but also security resilience and

business continuity and enhancement.

In his book “my Vision”H. H. Mohammed Bin Rashid

Al Maktoum, Prime Minister of the United Arab Emirates

and Ruler of Dubai [10], envisions sustainability growth and

development for the United Arab Emirates, thus becoming

an exemplary case of success, and therefore assuring security

resilience, business continuity and partnering with the

international community. His Royal Highness, the ruler of

Dubai, anticipates the future; does not bandwagoning; and

suggests development as an element of growth. He “knows

and understands that development and constant moderniza-

tion are difﬁcult”[10]. As “nothing is impossible”.

Visionary leadership is as shown above, important for

alliances. Alliances stand out, as a good opportunity for

growth and development and in this case cooperative secu-

rity as a modus operandi. Tactical and operational projection

planning, interoperability of forces, tolerance, diversity of

language and cultures are important objectives and tools of

reaching out to cooperative security that is hybrid in nature.

Sustainability of hybrid alliances, is an importance goal to

reach at. Consensus building and operational ‘burden shar-

ing’should be applicable. These are elements justifying

operational capacity and business continuity. Foresighting

the future is also of essence. Predicting challenges, maybe

the sole important aspect of success for alliance continuity

and constant change.

Resilience within hybrid alliances is important. Security

resilience should continue to include continuity that is not

deprived of development through future prediction and

foresighting. Security allocation and vision of leaders,

192 M. P. Efthymiopoulos

should allow for strong leadership in strategic, operational

and tactical levels. Quality of decision-making should

increase. Inﬂuence and national participation in target met

objectives is of necessity.

Security allocation, enhanced cooperation in alliance

posture such as NATO, as a political military alliance,

should project the need for strong leadership in strategic,

operational and tactical levels in assuring the future of

security against possible threats and obstacles to modern-

izations of countries and increase of democratic values of

cooperation and trade. Quality of decision-making and

affordability in comprehending anticipating and sustaining

the future of security, should increase.

Therefore, strong engagement, rule and posture is of

paramount importance to the success of alliances. Mini-

mizing the risk of solitude, and achieving maximum open-

ness and cultural diversity, military and operational success

through joined and continued preparedness, collaboration

and continued interoperability that will be solely based on

the element of ‘yes we can’.

5 Forecasting the Future: Continuity

and Change in Hybrid Alliances

By forecasting a much-needed security resilience framework,

we result to a much needed diplomatic and military pre-

paredness framework of security cooperation among states

that wish or are willing to take part in alliance formations.

What is necessary to stress is that any new alliance, hybrid in

nature, should reﬂect current challenges and threats.

Reﬂecting, acknowledging and deﬁning threats current or

future considering all aspects of dimensionality and diversity

of threats, in this paper I deﬁned a new meaning and role of

alliance formation when considered hybrid.

Today’s regional and global security environment requires

at this point continuity through constant change. Change that

according to Walt, is deﬁned based on threat. This paper

deﬁnes threat as a ‘non-ending story’, as challenges will

never cease to exist. Challenges and threats cannot deﬁne

alliances. Rather alliances need to deﬁne or predict the future.

Future resilience in alliance formation or sustainability

requires strong understanding of growth and development,

through opportunities that deﬁnes a global, multi-

dimensional societal and security culture, where nation,

states and regions, can deﬁne their own peaceful develop-

ment and possibly resolution of conﬂicts inside or outside

the sphere of inﬂuence.

Hybrid Alliances hold the key for prospective growth in a

new geostrategic world that is complete with challenges and

threats. Hybrid alliances, require agility in leadership,

strategic, operational and tactical accuracy; preparedness,

capacity building; deployability efﬁciency and operational

effectiveness. By deﬁning alliances, this does not mean that

alliances will rest and or remain the same forever, as inter-

ests change according to [11].

That is why, characterizing necessary growth in alliance

current formation requires, hybrid alliance positioning and

posture. Eliminating static formations and decision making

to acquire multi-dimensionality in effectiveness and

decision-making, simplifying rules and decisions, while

adapting to a constantly changing environment without

expecting the threat or challenge to ‘rise to surface’.

6 Conclusion

During the course of this research paper, I established the

theoretical assumption that goes in line with current security

operational requests, on current or future alliance formation

or reformation. The future cannot be dictated, but can be

predicted and shaped. When alliances are of hybrid in nat-

ure, self-determinant, self-adaptive and predictive of future

threats and challenges, then alliances can be a. reformed, b.

reshaped, c. newly shaped, considering long-term strategic

planning for stability regionally or globally positively

affecting business continuity, security resilience, safety,

sustainability and growth.

References

1. Randal Sherwood, E.: Alliances and American National Security.

US Army War College, Carlisle. http://www.StrategicStudies

Institute.army.mil/. Last accessed 2017/11/15

2. Brzezinski, Z.: The Grand Chessboard: American Primacy and Its

Geostrategic Imperatives. Basic Books, New York (1997)

3. Walt, S.: The Origins of Alliances. Cornell University Press, Ithaca

and London (1987)

4. The Ofﬁcial Site of the North Atlantic Alliance, NATO. www.

nato.int. Last accessed 2017/11/17

5. Kisssinger, H.: World Order. Penguin Books, New York (2014)

6. Efthymiopoulos, M.P.: International Security and Transatlantic

Relations. Sakkoulas Press, Thessaloniki-Athens (2012)

7. Kaldor, M.: New and Old Wars, Organized Violence in a Global

Era, 3rd edn. Stanford University Press, Stanford (2014)

8. Mearsheimer, J.J.: The Tragedy of Great Power Politics, updated

edn. University of Chicago Press, Chicago (2014)

9. The Ofﬁcial Portal of the UAE Government: Vision 2030–2117.

https://government.ae/en/more/uae-future/2030-2117. Last

accessed 2017/11/17

10. Al Maktoum, H.H., Bin Rashid, M.: My Vision. Motivate

Publishing, The Dubai Government Media Ofﬁce, Dubai (2015)

11. British Broadcasting Company BBC: All you need to know about

the UK Exit from the EU. http://www.bbc.com/news/uk-politics-

32810887. Last accessed 2017/11/17

Hybrid Alliances: Efficiency, Business Continuity …193

Impact of Corporate E-Learning Systems

in Enhancing the Team Performance

in Virtual Software Teams

Rajalakshmi Subramaniam and Senthilkumar Nakkeeran

Abstract

E-learning at workplace in other words ‘Corporate

E-learning’is being becoming extremely important in

today’s globalized organizational scenario. Especially

software organizations that facilitate lot of opportunities

for its staff members to work in a virtual environment rely

upon E-learning solutions to a great extent. E-learning

solutions are available in various forms and various tools

are available in the market developed with the intention to

serve the customized needs of software organizations

depending upon the kind of knowledge transfer they

would like to impart to their work force. This research

intends to analyze empirically the impact of Corporate

E-learning solutions in enhancing the team performance

of virtual software teams. An empirical study has been

conducted on the primary data collected from 202

software professionals spread across various software

organizations in India and are leading the virtual teams.

A multiple linear regression analysis has been conducted

in analyzing the data collected. The results reveal that

successful implementation and usage of E-learning sys-

tems in software organizations for training employees will

enhance the performance of teams even though there are

geographically dislocated from one another.

Keywords

Team work quality Corporate E-learning systems 

Virtual team performance Virtual software teams 

E-learning system success

1 Introduction

Owing to the tremendous advancement of technology and the

growing importance of E-learning, this technology is being

adapted widely in both public and private organizations in

India. Time, place, access, supporting technology, interaction,

personalization and control are some of the characteristics

which make them as one of the most preferable elements in

operating training in corporate companies. Kumar and Gulla

[1] studied about the possibilities, promises and realities of

corporate e-learning. Conception, operation, implementation

and speciﬁcation are some of the important aspects that make

corporate e-learning system an important tool. Most of the

organizations use sophisticated learning management system

(LMS) tool or software to train their employees these days.

Better management and technical support has been achieved

by the implementation of e-learning in most of the organiza-

tions successfully. Moreover, the modularity, privacy, speed,

style of learning, customization, evaluation, consistent

delivery and ﬂexibility make e-learning systems an indis-

pensable tool for corporate training [2].

E-learning systems have played a signiﬁcant role in team

training and have proven to enhance the performance of team

members of most of the corporate companies that have

employed them so far. Apart from these, most of the enter-

prises have identiﬁed E-learning technology as an enabler in

attaining the organizational goal in an effective manner.

E-learning has created the possibility of quick reaction to

change the environment. Possibility of lifelong learning,

trainings interactivity, direct veriﬁcation possibility of train-

ing effects and the absorption easiness are some of the vital

aspects that make e-learning method as an indispensable

technique in the corporate world [3]. Table 1summarizes

few of the most frequently used E-learning tools by various

Indian corporate sector in training their employees.

E-learning has proven to be very cost effective in training

employees especially when they are geographically dislo-

cated from each other. E-learning has proven to have yielded

R. Subramaniam (&)S. Nakkeeran

Department of Management Studies, Anna University,

Chennai, India

e-mail: s.raji217@gmail.com

S. Nakkeeran

e-mail: sen_nsk76@annauniv.edu

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_22

195

positive return on investment to most of the organizations

through its cost effectiveness. IBM, one of the giant tech-

nocrats, has conﬁrmed that huge savings can be achieved via

the initiatives of team training through E-learning. Team

training through e-learning system requires team members to

demonstrate self-direction and lot of discipline [4].

E-learning systems are more conducive to team members

who are independent learners and tech-savvy within a team.

While there have been numerous beneﬁts identiﬁed to have

been achieved by corporate companies in adapting

E-learning technology for employee training, this study tries

to ﬁnd out the answer for the following research question:

•Does successful implementation of e-learning systems

(ELSS) in software organizations enhance virtual team

performance (VTP)?

2 Literature Review and Conceptual

Framework

2.1 Meaning and Definition of Virtual Teams

Earnhardt [5]deﬁned the virtual team as an interdependent

group working on the project across varying time and space.

This also has relied on the technologies of information and

communication. In other words, the virtual teams have the

capability to meet the requirements through electronic means

successfully. The virtual teams share the responsibility in out-

come of team. It comes together for a time with a ﬁnite amount.

Additionally, the virtual team uses the information technologies

which prevail among the form of communication.

Ebrahim et al. [6]deﬁned the virtual team as the group of

people who interact through the independent task guided by

common work across links strengthened by technologies of

transport, communication and information. In other words,

the virtual teams are referred as the distributed team of work

whose members are dispersed geographically with the

technologies of electronic information and communication.

According to [7], virtual teams are deﬁned as the groups

of people who work together although they are dispersed

across time, organizational boundaries and space in a

frequent manner. In addition to these, it is also deﬁned as the

groups of organizationally dispersed workers brought toge-

ther by technologies of information to accomplish more than

one organizational task.

2.2 Dimensions of Successful E-Learning

Systems

Information Quality. Alkattabi et al. [8] analyzed the

framework of information quality for e-learning systems.

Accuracy, believability, consistency, objectivity, veriﬁabil-

ity, interpretability, accessibility and response time are some

of the quality dimensions signiﬁcantly linked with the dif-

ferent information quality creates a signiﬁcant inﬂuence on

the e-learning system. Intrinsic information quality, contex-

tual informational quality, representational informational

quality and accessibility information quality are some of the

information quality linked with the e-learning system. Alla

and Faryadi [9] studied the effect of information quality in

e-learning system. Their study has found out that the accu-

racy has become the strongest dimension which affects the

quality of information of e-learning system followed by

validity, relevancy and accessibility respectively.

Service Quality. Service quality of e-learning system has

created the positive impact on the organizational outcomes.

In the context of e-learning system, the high service quality of

e-learning induces higher user satisfaction and system usage

[10]. Hence, the service quality of e-learning has provided the

clear basis for the success of e-learning service. Sugant [11]

designed the framework for measuring the service quality of

e-learning services. The service quality dimensions have

varied between e-services. Design and presentation, struc-

ture, content, usability, technology and responsiveness rela-

ted to information and service quality paved the way to attain

the highest service quality of e-learning systems. The users’

perceptions about the system and information quality have

inﬂuenced the beliefs about the service quality.

System Quality.Alla[12] studied the impact of system

quality in e-learning system. Usability, accessibility, relia-

bility and stability are some of the main dimensions of

Table 1 Few famous corporate e-learning systems in practice in Indian IT organizations at present

S. no Name of e-learning system Advantages

1 Talent LMSS Supports for videoconferencing with multiple platforms

2 Docebo It is an user-friendly system

3 Litmos It helps to enable corporate learners to get the customer service they need by using any mobile devices

4 Mindﬂash It helps to achieve speciﬁc performance goals and training objectives effectively

5 Oracle Taleo Cloud

Service

Very ﬂexible and customizable for the learners

6 Capabiliti It provides complete data security with seamless integration

196 R. Subramaniam and S. Nakkeeran

system quality of e-learning system. Among these, the

usability is act as the strongest dimensions on the e-learning

system efﬁciency. The author also pointed that the system

quality has the tendency to increase or decrease the efﬁ-

ciency of the learning system. It also has become very clear

that the attributes of system quality seems to be more sig-

niﬁcant in the area of e-learning success. The authors pre-

dicted that the system quality is positively related to the

satisfaction of the user when compared to other dimensions

of e-learning system [13].

User Satisfaction. Wang et al. [14] pointed that the user

satisfaction is act as the critical success factor which surro-

gate of e-learning systems. Information quality and the

readiness for online learning are the two factors positively

affected the e-learner satisfaction. Moreover, self-efﬁcacy

and the self-regulated learning management are showing the

negative relationships with the e-learner satisfaction with the

learning management systems (LMS) [15].

System Use. Institutional support to the system users has

been pointed as the main dimensions of the success of the

system. In fact, the incorporated quality of system acts as the

main determinant of system use by the instructors. System use

has operationalised in various ways. The author has found a

strong relationship between the intention to use and the system

use [16]. In fact, the system use has measured by the extent to

which the instructors ensured the functions of e-learning

system. In addition to these, the system use is considered as the

measure of success under mandatory use and discretionary use

and hence it is considered as the e-learning success dimen-

sions. In this sense, the content quality of e-learning acts as the

main predictor of system use by learners.

Net Beneﬁts. User satisfaction and net beneﬁts are the

two vital dimensions of e-learning system that create an

impact on the performance of an organization. Enhanced

learning, empowered, time savings and success are the

positive aspects of net beneﬁts whereas, the lack of contact,

isolation, quality concerns and technology dependence are

pointed as the negative aspects of net beneﬁts [17]. Net

beneﬁts of e-learning systems have acquired among indi-

viduals, organizations and society. The e-learning system

usage among the employees is signiﬁcantly associated with

the performance of task [18] (Table 2).

2.3 Impact of E-Learning Systems on Team

Performance

Srivastava and Agarwal [19] studied about new trend of

e-learning in education and corporate training. Mobile tech-

nologies, e-learning process simulation, adaptive learning

environments (ALEs) and developments of e-learning tools

standards are some of the latest trends in e-learning played a

signiﬁcant role on virtual team performance. Likewise,

e-learning is pointed as the better option to enhance the

performance of the team members to attain the objectives of

an organization in a successful manner. Moreover, self paced

courses and facilitated asynchronous type of e-learning cre-

ated a signiﬁcant impact on the virtual team performance.

Fatma [20] analyzed the trends, issues and challenges of

e-learning. Embedded learning and blended method of

e-learning creates an impact on the performance of the team.

Blackboard.Inc tools have used for the business and gov-

ernment collaboration and this has created a signiﬁcant

impact on the success of the organizations. Moreover, an

asynchronous activity of e-learning uses some of the tech-

nologies to creates the team members more effective.

E-learning has complemented the process and it can helped

to reached out to he masses. It also has the tendency to cover

distances and it also has spreaded across multiple locations

especially towards an organization. The content of e-learning

seems to be repetitive until it is cleared by the trainee.

David [21] studied the impact of e-learning in workplace.

Improved and consistent rates of lifelong learning, enhanced

productivity and improved competitiveness and innovation

are some of the key outcomes of e-learning within an

organization. Anytime, anywhere, any place, time reduction,

increased payback, reinforcement, motivation, community

building, ﬂexible access and monitoring of the leaning

process are some of the beneﬁts of using e-learning creates a

positive impact on the virtual team performances. The

authors have pointed out that the e-learning is effective to

link learning with work of an employee.

Corporate e-learning’s impact on employees was ana-

lyzed by Ellis and Kuznia [22]. Proper training by e-leaning

systems towards employees and their teams shows higher

organizational commitment and enhanced virtual team

Table 2 Dimensions of

successful e-learning system Dimensions of successful e-learning system Author Year

Information quality All and Faryadi 2013

Service quality Sugant 2014

System quality Draheeb and Fabil 2016

User satisfaction Eom 2014

System use Samarasinghe 2012

Net beneﬁts Chen and Kao 2012

Impact of Corporate E-Learning Systems in …197

performances. E-Learning has the tendency to produce

custom-made training courseware to attain the enhancing

training solutions. It also has the ability to maintain detailed

records of training to track the performance of an employee.

This has further increased the virtual team performance in an

effective manner. The authors also predicted that the

increasing usage of e-learning by the corporate leaders has

affected the working environment and hence it affects the

attitudes of employees towards the corporation.

A study done by Cheng and Chen [23] analyzed the

impact of e-learning on workplace on the job training.

System quality, information quality, system use and user

satisfaction are some of the perceived characteristics and

system use behavior of e-learning creates an impact on the

individuals and thereby inﬂuencing the performances of the

team. In this sense, the authors predicted that the e-learning

system is positively related with the user satisfaction. It can

be also predicted that the e-learning is act as the powerful

tool for the team members to attain the competitive advan-

tages over others in an organization.

Wang et al. [24] has used the performance oriented

approach to e-learning in the workplace. The authors have

analyzed that the e-learning has a tendency to align the needs

of individual and organizational learning, performance of

work and supporting social interaction among individuals.

Key performance indicator of e-learning is ﬂexible and

popular approach to conduct the performance measurement

in an organization. It also has helped the team members to

make sense of their work context to enhance their organi-

zational performances. The authors also have focused on the

development of e-learning in view of short-term needs to

enhance the job performances.

Hatane [25] studied the impact of e-learning on

employability skills development in small organizations.

Limited facilities and work culture are pointed as the main

challenging factor of e-learning creates a negative impact on

the virtual team performances. Learning success or failure

through e-learning is seen in the employees’performance.

Immediate cost savings, ﬂexibility, reduced time and travel

of e-learning are creating the positive impact on the virtual

team performance of an organization. Purpose, learners,

support, other media and choose what you need are some of

the optimal beneﬁts of e-learning creates a signiﬁcant impact

on the performance of team and its successful outcome.

Conceptual Framework and Hypothesis

The following ﬁgure presents the conceptual Framework

explaining the relationship between Virtual Team Perfor-

mance and Successful Implementation of E-learning system

at IT organizations (Fig. 1).

The following is the hypothesis to be tested in this study

Null Hypothesis: Successful implementation of e-learning

systems in software organizations does not enhance virtual

team performance.

Alternate Hypothesis: Successful implementation of e-

learning systems in software organizations enhances virtual

team performance.

3 Research Methodology

3.1 Approach of Research Employed

This research makes use of a deductive approach also known

as quantitative approach. Previous research has deﬁned

deductive approach as the one in which a research design is

developed for the test of a set of hypothesis that has been

derived and proposed through extensive review of existing

literature. The researcher in this particular study has exten-

sively reviewed the factors that determine the successful

implementation of E-learning systems within organizations

and the relationship between E-learning and virtual team

performance and derived hypothesis that connect each and

every factor of E-learning system success with that of virtual

team performance. This study therefore can be considered to

have adapted a quantitative or deductive approach. Data

collection is restricted to software organizations within

Fig. 1 Conceptual framework explaining the relationship between

virtual team performance and successful implementation of e-learning

system at IT organizations

198 R. Subramaniam and S. Nakkeeran

Chennai India that make use of E-learning systems to train

their employees. The research design employed is descrip-

tive research design. Simple random sampling is the sam-

pling design that has been adapted in this research.

Collection of primary data was done through distribution of

questionnaires to the target respondents through online sur-

vey data collection tool. The questionnaire links of the sur-

vey instrument generated by the online survey tool was sent

to 245 respondents. After data coding of the collected data,

the ﬁnal ﬁgure of number of valid responses arrived at was

202 thereby making the response rate as 82%. It was taken

care of by the researcher that the data has been collected

from the team leaders of virtual teams of software organi-

zations. It has been ensured that the person who is

responding to the survey has used E-learning system himself

for at least 3 months and has led a particular virtual team for

at least four months.

3.2 Research Instrument

The researcher has designed the research instrument with

three sections in it. Dimensions of successful implementa-

tion of E-learning and Virtual team Performance are the two

major variables involved in this study. The ﬁrst section of

the questionnaire measures E-learning system success. In

order to measure whether E-learning system has been

implemented successfully in an organization, the researcher

has employed ELSS instrument proposed and adapted [26]

by as it is. E-learning system success in this research is

quantiﬁed into six parameters namely system quality,

information quality, service quality, system use, user satis-

faction, net beneﬁts and measured in the form of a 34 item

scale. Virtual team performance makes the second section of

the instrument. In order to measure team performance the

researcher has employed the instrument proposed by Jones

and Harrison [27]. The instrument proposed by Jones and

Harrison [27] measures performance of teams that are

exclusively put up in software organizations through a 7

item scale. Since it suits best for this research, the researcher

has employed the same. The third and ﬁnal section of the

questionnaire surveys the demographic details of the par-

ticipants such as age, gender, years of experience, educa-

tional background and details of the institution in which the

respondent is currently put up.

3.3 Techniques for Statistical Analysis

This research makes use of multiple linear regression in

order to ﬁnd the relationship between the dependent variable

virtual team performance and independent variable suc-

cessful implementation of E-learning Systems at organiza-

tions. According to [28], multiple linear regression is best

suited when there is one dependent variable and many

independent variables. In our case the dependent variable is

virtual team performance of virtual teams and the indepen-

dent variables is E-learning system success which is deter-

mined by 6 characteristics namely system quality,

information quality, service quality, system use, user satis-

faction, net beneﬁts. Therefore this research ﬁnds Multiple

Linear regression analysis as the most appropriate technique

for identifying the relationship between the variables and

testing the proposed hypothesis of this research. SPSS has

been employed in order to carry out the statistical analysis.

3.4 Techniques for Validation of Instrument

and Findings

Reliability is an important strategy that has to be identiﬁed

for any instrument to consider it suitable for collection of

primary data. Cronbach alpha is the most widely adapted

tool for calculating reliability of an instrument. It has been

suggested by George and Mallery [29] that the value of

Cronbach amust be greater than 0.7 for an instrument to be

accepted reliable. In this research the Cronbach alpha value

obtained for the adapted research instrument is 0.9 which is

above the cut off limits. Therefore it can be considered

reliable. Further in order to ensure the validity of the adapted

research instrument, the researcher has adapted the instru-

ments that have been adapted by many researchers in the

past and have been proven to render valid results.

4 Data Analysis and Interpretation

This section presents the statistical analysis of the impact of

E-Learning System Success (ELSS) on Virtual Team Per-

formance (VTP) in a software industry. The virtual team

performance is the dependent variable while e-learning

system success is the independent variable. The e-learning

system success has six attributes: information quality, sys-

tem quality, service quality, system use, user satisfaction and

net beneﬁts. To achieve this goal, the following research

hypothesis and its respective research question were set to

guide in the analysis process. The analysis process will

involve analysis of socio-demographic factors, descriptive

statistics of both dependent and independent variable and

lastly multiple linear regression. The study had 202

respondents who were mainly employees from software

organizations across, Chennai, India.

Impact of Corporate E-Learning Systems in …199

4.1 Analysis of Socio-demographic Factors

This section is involved with analysis of social and demo-

graphic data concerning the employees in software industry.

The socio-demographic variables of the employees that were

analyzed include; age, gender, working experience and

designation type. The statistical methods used for analyzing

socio-demographic data are descriptive statistics and

graphical techniques.

Distribution of Age. Table 3shows that the age group

20–30 years were 36.1%, followed by those aged

30–40 years at 23.8%, while those aged above 40 years

were 23.3% and those aged 18–20 years were the least at

16.8%. The results indicate that the age group 20–30 years

was the modal age group among in the software industry.

Gender. The data analysis shows that the male were

54.5% while the female were 45.5%. This indicates that the

males were relatively more than males in the software

industry. These results can also be displayed by a pie chart

(Fig. 2).

Working experience. Results in Fig. 3show that the

working experience of employees who had worked for

1–5 years were 29.7%, those with work experiences of

6–10 years and 11–15 years were both at 29.2% lastly those

with work experience above 16 years were 11.9%. The

results indicate that the work experience of 1–5 years was

the most common among in the software industry

employees.

4.2 Dependent Variable: Mean and Standard

Deviation of VTP

Results in Table 4show the minimum rated virtual team

performance is 2.00 and the maximum rated virtual

team performance is 4.50 at a scale of 5. The mean virtual

team performance is 3.3465 with a standard deviation of

0.3943. The results at a scale of 5 show that averagely, VTP

was at a moderate state and evenly spread across the soft-

ware industries in India. This assertion can be exhibited

using a normal curve inscribed on a histogram (Fig. 4).

Table 3 Age

Age Frequency Percent Cumulative percent

18–20 34 16.8 16.8

20–30 73 36.1 53.0

30–40 48 23.8 76.7

40+ 47 23.3 100.0

Total 202 100.0

Fig. 2 Pie chart of gender distribution

Fig. 3 Pie chart of working experience distribution

Table 4 Dependent variable

Variable N Minimum Maximum Mean Std.

deviation

VTP 202 2.00 4.50 3.3465 .3943

Valid N

(listwise)

202

200 R. Subramaniam and S. Nakkeeran

4.3 Independent Variable: Mean and Standard

Deviation of E-Learning System Success

(ELSS)

Table 5shows the minimum and maximum values for each

ELSS variables, it also shows themean and standard deviation of

each of the ELSS variables. It is worth noting that all the six

variables analyzed were scaled within 5 values, being; 1, 2, 3, 4

and 5 representing; strongly disagree, disagree, neither agree nor

disagree, agree and strongly agree respectively. In all the six

variables, the minimum rated value was 1.67 while the

maximum rated ELSS variable value is 4.43 at a scale of 5. The

means and standard deviations of the ELSS variables are:

(l=3.1304andr= 0.4963), (l=3.1301andr= 0.4829),

(l=3.0554andr= 0.4843), (l=2.8449andr= 0.6684),

(l=3.1106andr= 0.5447) and (l= 2.9931 and r=0.4874)

for system quality, information quality, service quality, system

use, user satisfaction and net proﬁts respectively.

The results averagely indicate that all the ELSS variables

were at moderate states and normally spread across the

software industries in India. Therefore, the descriptive

statistics on VTP and ELSS variables did not explain much

about the relationship between them. With this regard, the

research found it imperative to analyze this relationship

using correlations and regression in multiple linear regres-

sion analysis.

Fig. 4 Histogram of virtual team

performance distribution

Table 5 ELSS-mean and

standard deviation ELSS variables N Minimum Maximum Mean Std. deviation

System quality 202 2.33 4.33 3.1304 .49631

Information quality 202 2.29 4.43 3.1301 .48287

Service quality 202 2.20 4.20 3.0554 .48428

System use 202 1.67 4.33 2.8449 .66843

User satisfaction 202 1.67 4.33 3.1106 .54473

Net beneﬁts 202 2.10 4.10 2.9931 .48741

Impact of Corporate E-Learning Systems in …201

4.4 Multiple Linear Regression

Correlations. Table 6shows that all the ELSS variables

except user satisfaction are signiﬁcantly correlated to virtual

team performance (VTP). The system quality is signiﬁcantly

and fairly correlated with virtual team performance

(r = 0.407 and Sig = 0.000), information quality is signiﬁ-

cantly and moderately correlated with virtual team perfor-

mance (r = 0.327 and Sig = 0.000), service quality is

signiﬁcantly and strongly correlated with virtual team per-

formance (r = 0.581 and Sig = 0.000), system use is sig-

niﬁcantly and strongly correlated with team performance

(r = 0.628 and Sig = 0.000) and net beneﬁts is signiﬁcantly

and strongly correlated with virtual team performance

(r = 0.691 and Sig = 0.000).

Therefore, it is worth noting that system quality, infor-

mation quality, service quality, system use and net beneﬁts

are signiﬁcantly correlated with virtual team performance

and can be used in linear regression modelling of VTP using

variables of ELSS.

4.5 Regression Model Summary

When virtual team performance (VTP) is modelled using

system quality, information quality, service quality, system

use, user satisfaction and net beneﬁts the model correlation

coefﬁcient is 0.775 and it respective R-squared is 0.600. This

is a stronger R-squared value that shows that the model can

account for about 60% of the variability of virtual team

performance using system quality, information quality, ser-

vice quality, system use, user satisfaction and net beneﬁts as

appropriate predictors (Table 7).

4.6 ANOVA Table of the Regression Model

The results indicate that of the regression model, in which

virtual team performance is predicted using system quality,

information quality, service quality, system use, user satis-

faction and net beneﬁts has a F-value of 48.820 with p-value

of 0.000. Consequently, this shows that the model is signif-

icant and should be adopted for prediction and explanatory

purposes. Next we obtain the model parameters (regression

coefﬁcients) that will be used to quantify and predict the

virtual team performance using system quality, information

quality, service quality, system use, user satisfaction and net

beneﬁts as appropriate predictors. The table below shows the

regression coefﬁcients of the regression model (Table 8).

4.7 Regression Model Coefficients

The results in Table 9indicate that constant (t = 15.241 and

sig = 0.000), system quality (t = −2.455 and sig = 0.015),

information quality (t = −3.759 and sig = 0.004), service

Table 6 Correlation between VTP and ELSS

VTP System

quality

Information

quality

Service

quality

System

use

User

satisfaction

Net

beneﬁts

VTP Correlation 1 .407

.327

.581

.628

−.002 .691

Sig. .000 .000 .000 .000 .981 .000

N 202 202 202 202 202 202 202

**Correlation is signiﬁcant at the 0.01 level (2-tailed)

Table 7 Model summary table

Model R R square Adjusted R square Std. error of the estimate

Regression .775

.600 .588 .25309

Predictors: (Constant), Beneﬁts, Satisfaction, System use, System quality, Information quality, Service quality

Dependent variable: VTP TT

Table 8 ANOVA table

Model Sum of Squares df Mean square F Sig.

1 Regression 18.762 6 3.127 48.820 .000

Residual 12.490 195 .064

Total 31.253 201

Predictors: (Constant), BEN QT, SAT QT, USE QT, SYS QT, INF QT, SER QT

202 R. Subramaniam and S. Nakkeeran

quality (t = 4.573 and sig = 0.000), system use (t = −4.278

and sig = 0.000), user satisfaction (t = −5.279 and sig =

0.000) and net beneﬁts (t = 3.791 and sig = 0.003).

According to the results, all p-values (Signiﬁcant values) in

the model are less than 0.05, hence, we reject the null

hypothesis, accept the alternate hypothesis and conclude

that, successful implementation of e-learning systems in

software organizations enhances virtual team performance.

The multiple linear regression model can be expressed

mathematically as:

TP ¼2:288 0:339 SYS 0:744 INF þ1:162 SER 0:471 USE

0:336 SAT þ1:091 BEN

where

VTP Team

performance

SYS system quality

INF information

quality

SER service quality

USE system use

SAT user satisfaction

BEN net beneﬁts

These results indicate that when system quality increases

by 1 virtual team performance decreases by 0.339 and when

information quality increases by 1 virtual team performance

decreases by 0.744. on the other hand, when service quality

increases by 1 virtual team performance increases by 1.162

while if system use increases by 1 virtual team performance

will decreases by 0.471. When user satisfaction increases by

1 virtual team performance decreases by 0.336 while if net

beneﬁts increases by 1 virtual team performance will

increases by 1.091.

5 Discussion and Conclusion

Learning is an integral part of the corporate training strategy.

E-learning systems form an important role in imparting

effective training at corporate organizations belonging to the

software industry. The results of the study reveal that suc-

cessful implementation of E-learning systems depend upon

six basic factors namely system quality, information quality,

user satisfaction, system use, service quality and net beneﬁts.

It is also understand from the test of hypothesis that suc-

cessful implementation of E-learning systems in corporate

will contribute towards the enhancement of performance of a

team even though they are, virtual, in nature. In other words,

the members of a software team can exhibit enhanced per-

formance even though they are geographically dislocated

from each other.

Considering the theoretical implications of this research, it

has opened up new dimensions for future researchers to

explore more in the academic arena of software team perfor-

mance and corporate E-learning. Considering the practical

implications of the study, this research brings into light the

expectations that user of E-learning systems especially

belonging to the software industry have towards the features of

E-learning systems implemented at their workplace. Further

this research gives an idea to the team leaders and team

members who are a part of virtual team in making effective use

of E-learning systems and enhance performance of the team.

Table 9 Coefﬁcients of the

regression model Coefﬁcients t Sig.

B Std. error

(Constant) 2.288 .150 15.241 .000

System quality −0.339 .138 −2.455 .015

Information quality −0.744 .190 −3.759 .004

Service quality 1.162 .254 4.573 .000

System use −0.471 .056 −4.278 .000

User satisfaction −.336 .064 −5.279 .000

Net beneﬁts 1.091 .115 3.791 .003

Impact of Corporate E-Learning Systems in …203

6 Future Scope of the Research

Like any other research this research also have its own

limitations. This research has been conducted with speciﬁc

reference to Indian software organizations and that too for

virtual teams. This study can be further extended by

repeating the same for physical software teams in India as

well as other regions across the globe in order to test if the

results hold same. Further this study can be conducted with

respect to industries other than that of the software industry

and their results can be compared against the ﬁndings of this

research by the future researchers.

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IoT Based Water Usage Monitoring System

Using LabVIEW

P. Arun Mozhi Devan , K. Pooventhan, C. Mukesh Kumar,

and R. Midhun Kumar

Abstract

Wireless communication devices development has a

considerable impact on several ﬁelds like healthcare,

agriculture, houses and various others applications.

Amongst these, the signiﬁcant application is the improve-

ment of monitoring system for various functions. Auto-

mated water utilization monitoring system proposes an

efﬁcacious manner of controlling the wastage of water at

home, colleges, hospitals, industries, shops, and malls by

the use of LabVIEW software and Wireless sensor nodes.

At many locations of the world, water is luxuriously

wasted whereas many areas don’t have sufﬁcient. So in

order to track/monitor the water ﬂow, Sensor nodes are

placed at every water outlets which sense the course of

water. Continuous monitoring is done using the concept

Internet of things (IoT) via the wireless sensor nodes. The

server collects the information through Wi-Fi/LAN to the

process and tracks the usage, additionally, amount of

water wastage is calculated at each outlet. When water is

used in surplus/preﬁxed rate, an alert is sent to the user for

indication by using this user can constantly keep a track

of the water usage or wastage through a cell or laptop

with an internet connection. This proposed water utiliza-

tion and monitoring system allows the individuals,

colleges, hospitals, industries, department shops, malls

and motels to keep a track on their water bills and allows

the government and authorities to accomplish/control the

water supply.

Keywords

Water monitoring LabVIEW Wireless sensor nodes 

IoT

1 Introduction

At present Conventional water meters are used to calculate

the amount of water used at homes for billing cause. This

doesn’t provide an efﬁcient method of monitoring the water

usage. The water is wasted at each and every outlet know-

ingly or unknowingly which adds as much as a big quantity

ultimately. Efﬁcient management of the water used at homes

could be very lots essential as about 50% of water provided

to the cities gets wasted thru its incorrect utilization [1].

Water control is only possible if the user is aware of the

quantity of water he makes use of and the quantity available

to him. Hence there is a need for enhancing the conventional

water measurement meters for the users to continuously

screen their water usage. Agricultural countries like India,

news about multiplied farmer suicides (about 26% in 2014)

cannot be overlooked, wherein one of the predominant

motives for its miles the unavailability of water [2]. At many

places, water is luxuriously wasted while our farm lands

don’t have enough. Automated water usage monitoring

machine proposes a powerful manner of controlling the

wastage of water at houses and industries with the aid of

permitting the person to continuously display and manage

the use of water. The user is able to screen his water uti-

lization at each faucet now and again thru his smartphones or

laptops and also needless water wastage is also prevented.

This water tracking device includes 3 modules: Wi-Fi

sensor module; Central module; Server module. Wireless

sensor module collects the records from each water outlets,

P. Arun Mozhi Devan (&)K. Pooventhan C. Mukesh Kumar

R. Midhun Kumar

Electronics and Instrumentation Engineering,

Sri Ramakrishna Engineering College, Coimbatore, India

e-mail: arunmozhideven.p@srec.ac.in

K. Pooventhan

e-mail: pooventhan.k@srec.ac.in

C. Mukesh Kumar

e-mail: mukeshkumar.1506026@srec.ac.in

R. Midhun Kumar

e-mail: midunkumar.1506022@srec.ac.in

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_23

205

at the server all of the computation is performed and the

signals are generated and central module acts as an interface

between the server and the sensor module. Wireless sensor

networks (WSN) are spatially dispensed autonomous sensors

to display physical or environmental situations, which

include temperature, sound, stress, and so forth. Internet of

Things (IoT) is a growing idea which may be included in

conjunction with Wi-Fi sensor networks for efﬁcient track-

ing from a remote area. Section 2discusses the associated

works papers listed out in, the techniques for implementation

is discussed in Sect. 3and the proposed methods are

explained in Sect. 4. Sections 5and 6discusses the results

acquired and conclusion.

2 Related Works

A mechanism for estimation of senior well-being condition

based usage of family home equipment linked through

multiple sensing units is proposed in [3]. It is a WSN

(wireless sensor network) based household monitoring sys-

tem for senior people activity tracker which involves func-

tional evaluation of daily activities.

Paper [4] discusses the design of a sensor network for

monitoring and manipulation of the water distribution

mechanism. The application of this system lies in detecting

seepage or any other structural faults present in underground

pipelines. It has various sensors for this reason integrated

with GPS and a 3G modem. The sensor nodes are expensive

and the replacing of it may difﬁcult as it’s deployed in

underground.

The paper [5,6] discusses the development of a prototype

for tracking and content material management system for

agriculture. It is a Zigbee based tracking module using Wi-Fi

sensor nodes. The sensors are coupled to LAN that is used to

show the information on the server.

A Wi-Fi sensor based environmental water monitoring

method is proposed in [7]. This system routinely displays

video regarding the water temperature and pH from sur-

rounded water. This water monitoring methodology is

appropriate for the complicated and signiﬁcant water mon-

itoring of large areas, inclusive for reservoirs, lakes, rivers,

swamps, and shallow or deep ground waters.

The efforts are taken for developing a wireless frame

sensor networks based totally energy saving integrated cir-

cuit featured with the protocol is designed for medicinal

programs to have been explained in a paper [8].

In [9] the author has advanced “Smart Coast”that has

been proposed for best water control which is designed

primarily based on WSN (wireless sensor network) concept

It’s a Wi-Fi sensor based device for sensing and calculating

the usefulness of water. It is a miniaturized and smart

tracking device.

3 Methodology

This arrangement consists of two core modules, (1) Server

Module (2) Wireless sensor module [10]. The Wi-Fi sensor

module as shown in Fig. 1which collects the deﬁnite time

data at respective households. These data is sent to Lab-

VIEW module thru Wi-Fi or LAN. The LabVIEW module

can be accessed from any far inaccessible area with an

internet linking [11].

The basic block of computerized water usage monitoring

machine consists of speciﬁcally three components, (i) Wire-

less sensor module (ii) Central Module (iii) Server Module.

Wireless sensor module connects the various sensor nodes to

central node. Then it’s connected to Server thru a commu-

nique link Sensor module includes (1) Sensor (2) Sensor

Circuitry (3) RF Transceiver module (4) Indicators and

(5) Power source as shown in Fig. 2. The sensor senses the

water ﬂow and sends the statistics to the sensor circuitry.

The received signal is ampliﬁed at the sensor circuitry. RF

module is used as a transceiver to transmit the sensed

statistics and receive the control alerts. The power source is

used to power up the sensor circuitry, RF module, and

indicators.

The Central module includes an Arduino board that is

linked to numerous modules together with (1) RF module

(2) Solenoid valve (3) Wi-Fi/Ethernet Shield (4) Water ﬂow

meter (5) Indicators (6) Power supply as presented in Fig. 3.

The server collects the raw statistics over the internet for

tracking the water utilization. For this purpose, it contains

(1) Computational block (2) Monitoring/Display block

(4) Feedback/Control block as presented in Fig. 4.

The computational block computes the desired parame-

ters based on numerous algorithms. These parameters are

Wireless

Sensor

Module

Central

Module

Server

Module

Fig. 1 Block diagram of an automated water usage monitoring system

Sensor RF Transceiver

Sensor

Circuit Power Source

Indicators

Fig. 2 Block diagram of wireless sensor module

206 P. Arun Mozhi Devan et al.

displayed with the help of monitor/display. These parame-

ters are used to create remarks or manipulate indicators.

4 Proposed System

The idea of automated water utilization monitoring system

lies in alerting the user for excess usage of water at every

outlet, also providing the consumer a way to screen his/her

water bills time to time.

4.1 Wireless Sensor Module

Water ﬂow at every outlet can be sensed by the wireless

sensor node at every water outlet [12]; (i) which is shown in

Fig. 5characterize the wireless sensor nodes placed at the

water outlet. An apartment of seven water outlets is con-

sidered. These sensor nodes are wirelessly linked to a central

module by a solo hop Central module is represented by

(ii) in Fig. 4. Indicators at the central module indicate the

average amount of water that can be used by the user. The

indicator is also used display the water outlet which is cur-

rently used. Centralized node shown in Fig. 6consists of

arduino board is connected to water ﬂow meter and solenoid

valve which is connected to main water inlet. Reset button is

also included in the system [13].

When a water outlet is opened for more than a certain

amount of time stated at the Server module, an alert is given

on the indicator and through the mail. If the consumer

doesn’t reply within a prescribed time restriction the sole-

noid valve shuts the supply to the house. When the con-

sumer identiﬁes the alert and closes the particular outlet he

can press the reset button to re-establish the water distribu-

tion. An effectual way for the full quantity of water utiliza-

tion can be done using water ﬂow meter [14].

4.2 Server Module

LabVIEW module acts as a server to manipulate and display

the information to and from the wireless sensor nodes. The

LabVIEW develops the information received from the cen-

tral module to show the processed data and additionally

create appropriate manipulation signals. The central module

data is used to check the water outlet or faucets status. It is

used to decide the quantity of time the water outlet is

retained open. The utilization time is displayed in seconds.

Based on the utilization time and information from the water

ﬂow meter, an effective algorithm is used to calculate the

quantity of water used. The current utilization is displayed

from the calculated value. Each time the status turns off the

present usage. The cumulative information from the present

utilization is used to calculate the overall usage and it’s

displayed. A time stamp is inserted into it to reset it each

month.

The information from the usage time and present uti-

lization is used to formulate the alert and warn the machine.

The conditions for warning and alert scheme are revealed in

Table 1. These situations are formulated to reduce the

Arduino

Board

Indicators Power

Source

Solenoid valve Water flow meter

Fig. 3 Block diagram of central module

Computational

Block

Monitoring /

Display

Feedback

Control Block

Fig. 4 Block diagram of server module

Fig. 5 System concept design

IoT Based Water Usage Monitoring System Using LabVIEW 207

wastage of water. Its important purpose is to alert the person

of the over utilization at every water outlet. To resume the

water ﬂow to the residence the user can close the apt water

outlet and can press the reset button. This approach gives an

effective way of controlling wastage of water while it is left

unattended.

Figure 7shows the warning system’sﬂowchart of the

server. The system begins the process by checking the status

of the outlet. If the tap constantly makes use of water greater

than the stated value then the warning signal is activated.

Then the machine examines whether the tap is on or off. If

the tap is off then, once again the system assess the status of

the tap. The ﬂowchart of alert system for server was shown

in Fig. 8. The system examines if the tap is continuously on

for greater time than the threshold time restriction then the

alert signal is activated. Then the system inspects whether

the tap is on or off. If the tap is off then the system again

examines the status of the tap. The supply control system’s

ﬂowchart for the server was shown in Fig. 9. The system

checks if the tap continuously on for greater time than the

brink time limit then the alert signal is activated. After that

the system checks whether tap is on or off. If it’s off then the

system once again examines the status of the tap. Automated

water utilization monitoring system offers the person the

ability to view the water utilization data within the server

through any gadget at any time using an internet connection.

The water utilization parameters inside the LabVIEW

module such as usage time, present utilization, overall usage,

warning and alert status of every water outlet the present

invoice amount can be accessed by using the person through

Fig. 6 Central module design

Table 1 Conditions for warning

and alert system Output devices Warning limit (Liters) Alert time (min)

Wash basin 10 15

Shower 25 15

kitchen tap 10 15

Flush 15 15

Fig. 7 Warning system ﬂowchart

208 P. Arun Mozhi Devan et al.

his/her smart phones, PDA and desktops by using internet

accessibility from any browser.

5 Results and Discussions

The essential a part of the water control management system

is LabVIEW which will act as a server. On and off buttons

will simulate the water outlets with the help of server

developed. The on/off status of the buttons is used for an

additional computation for developing alert, warning signal

and govern the alert signals. Server module alerts the user

through e-mail. From this the user can able to get the proper

warning signals from the server module to help the con-

sumer to access the status.

The advanced server device with the capabilities inte-

grated together for an automatic water usage utilization

system to offer a effective manner of controlling the over

usage and unnecessary wastage are shown Fig. 10. The front

panel view of water utilization thru manual simulation where

shown in Fig. 11.

By using a switch water outlet has manually simulated for

switching on and off of the water outlet. If the wash basin tap

uses more than or equal to 10 L of water continuously,

which is deﬁnitely an over usage then the warning is acti-

vated. This signal activates the LED on the respective Wi-Fi

sensor node. This suggests the person close the tap. If a

particular water outlet is kept open for more than 15 min i.e.

when the consumer ignores the warning signal or left unat-

tended then an alert signal is regenerated. Alert and warning

signal generation where shown in Fig. 12.

The alert signal generates a beep sound at the central

module and additionally, it ﬂashes the LED indicating

which water outlet is open. If the consumer doesn’t respond

to the alert signal within a minute the server sends an

e-mail to the person informing the information about the

over utilization of water on exact tap. The system waits

again for two more minutes to close the water outlet. Even

after two minutes if the water outlet is left unattended the

then the server informs the central module to close down

the primary water supply. Solenoid valve shuts the primary

water supply and the module keep on displaying the outlet

is open.

The consumer will get a weekly notiﬁcation about the

status of his/her water bills. He/she also can request a noti-

ﬁcation when the water bill exceeds a speciﬁc restrict.

Thereby the consumer can maintain the water bill and its

usage. The graph as shown in Fig. 13 indicates the usage at

every water outlet in the Server module.

Fig. 8 Alert system ﬂowchart

Fig. 9 Supply control system ﬂowchart

IoT Based Water Usage Monitoring System Using LabVIEW 209

Fig. 10 Graphical representation of water usage at server

Fig. 11 Manual stimulation of water usage

210 P. Arun Mozhi Devan et al.

Fig. 12 Alert and warning system display at server

Fig. 13 Graphical representation of water usage at server

IoT Based Water Usage Monitoring System Using LabVIEW 211

6 Conclusion

The development of technology paved the way to increase

in conceptions like WSN, IoT, and 5G and many others.

There are some fundamental assets in the world which

might be important to preserve life, but with the advance-

ment in the generation, most of those sources are being

depleted or destroyed in a certain manner. These advanced

technologies are in general exploited to make our existence

easier. But there are a lot of these technologies that aren’t

but exploited or given importance, which can be used to

decrease the depletion of the natural resources preserving

the ecological balance and making the existence of our

forthcoming generation easy and trouble free living

environment.

In this paper, we’ve created an automatic water usage

monitoring system which lets in plummeting the depletion

of the water. The server module has been designed with all

capabilities together with the generation of status and

reports of every tap in the house, malls and apartments the

present usage of water at each outlet and the total quantity

of water used at every outlet respectively. The current water

bill of water used is displayed with the entire amount of

water bill. The warning and alert signals to control the water

ﬂow to the house, malls and apartments are displayed in

combination with email facility to notify the consumer

approximately the water utilization based totally on

above-mentioned situations. The switching of an each water

tap is simulated utilizing manual controls. The hardware

part consists of the Wi-Fi sensor module and central module

yet to be developed it needs to be synchronized to the server

module and needs to be validated in the various real-time

conditions.

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212 P. Arun Mozhi Devan et al.

Learning Analytics: Developing

a Data-Centric Teaching-Research Skill

Alrence S. Halibas , Bobby Sathyaseelan ,

and Muhammad Shahzad

Abstract

This paper highlights the importance of developing

data-centric teaching-research skills of 21st-century

teachers. It critically examines the literature related to

the teaching-research nexus and learning analytics, and

presents a model of the integration of these concepts, and

their relevance to the teaching and learning process. This

paper also presents the desirable skills set of learning

analysts and identiﬁes the analytic tools that they can use

to carry out this role. Finally, this paper suggests the

future direction of teacher training and professional

development programs that will equip teachers with the

right teaching-research skills and tools to help the

millennial learners gain academic success. This study

recommends that teachers need to be well informed about

their students by having access to their data and acquiring

the necessary competencies to perform appropriate data

analysis. Furthermore, they are expected to engage with

analytical tools and educational technologies in order to

realize a more effective teaching and learning experience,

and improve academic outcomes.

Keywords

Learning analytics Teaching-research nexus 

Pedagogical approach

1 Introduction

Systematic collection and analysis of data informs educa-

tional practice and learning. Educational research on student

learning allows teachers to assess their teaching effectiveness

and make evidence-based decisions about their teaching.

With the advent of content management systems, learning

management systems, virtual learning environment, and

other digital learning environments, learning styles and

pedagogical methods for teaching are reinvented and trans-

formed to answer the learning needs of the 21st-century

students [1]. It is also in this regard that data-driven

decision-making in education has become increasingly

prevalent and relevant. Information systems and analytic

systems are currently being used by leading academic

institutions to better understand and meet the needs of stu-

dents, and are gradually gaining popularity and widespread

use in colleges and universities around the world. Online

learning management systems support teaching and learning

activities by providing access to course content, delivering

assessments, and allowing online communication and col-

laboration among teachers and students. Moreover, these

systems hold a great deal of learners’data that can possibly

reveal their online learning behaviors. Combining the

learning log data produced by these systems and data from

student information systems provide opportunities for aca-

demic institutions to apply business intelligence and ana-

lytics in order to improve their services as well as student

outcomes and retention [2].

The study of [3] imparted that with the aid of analytical

systems, academic institutions nowadays are able to use a

wider scope of data analytics. Thus, several institutions have

started to embrace analytics to drive business goals, and

address strategic management challenges of teaching and

learning, cost reduction, and organizational efﬁciency and

productivity [4]. These institutions have used data analytics

to monitor and measure large amounts of learners’infor-

mation that are produced by information systems, and gen-

erate data trends that are useful in the strategic decision

making [5]. They utilized student information to assess

learning progress, improve the student experience, predict

academic performance, and identify potential teaching and

learning issues [6]. Furthermore, the study of [7] reported

that there are two core analytic concepts, namely academic

analytics and learning analytics, which operates on the meso

layer and micro layer of an organization, respectively.

A. S. Halibas (&)B. Sathyaseelan M. Shahzad

Gulf College, Muscat, Oman

e-mail: alrence@gulfcollege.edu.om

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_24

213

This paper discusses the use of analytics in the micro layer,

which collects and analyses data to assess and optimize

student learning.

According to [8], the essence of Scholarship of Teaching

and Learning (SoTL), otherwise known as the “Nexus”,isto

inform teaching by means of inquiry and produce evidence

of student learning. It is through teachers’increase

accountability, responsibility, and understanding of the

impact of their practices that enables enhancement in the

educational process. Teaching in the 21st-century classroom

is a challenging profession that requires teachers to carry out

multiple tasks other than classroom instruction. This

includes the adoption of innovative technologies and

understanding learning in online and blended learning

environments [9]. Teachers are expected to assume various

roles such that of a lecturer, supervisor, advisor, researcher,

and the likes [10]. A teacher is expected to have a good

range of ICT skills needed for effective teaching, including

substantive skills related to data analysis. In order to acquire

this critical skill set, a teacher must be developed not only to

become a technically proﬁcient individual, but also be

trained to become a skilled learning analyst who is able to

assess, interpret and explain the data, and perform suitable

actions to improve the learning process [11]. At present

times, there is a great expectation for teachers to engage in

active learning through research. This is further gravitated by

their continuing use of traditional approaches to education

that may not always address the learning needs of the new

breed of students.

Moreover, there are numerous barriers to adoption of

emerging technologies in the academic institutions, but a

signiﬁcant percentage is due to teachers’lack of substantive

ICT skills which limit the adoption and integration of ICT in

their teaching and learning. There are still teachers who

prefer to use conventional teaching methods and are unac-

ceptably technology illiterate. Even with the availability of

Learning Management Systems (LMS), a signiﬁcant per-

centage of teachers are using these systems by just doing the

usual tasks of uploading lecture materials, conducting online

quizzes, and engaging students in discussion forums. Most

of them are not fully aware that they can do so much more

with the student data being produced by these systems.

Nowadays, teachers are expected to practice a

learner-centered approach to teaching via the Internet that

provides a more ﬂexible learning environment [12]. Hence,

teachers are expected to carry out the role of data analysts

who are able to customize learning in order to realize an

effective learning experience for students. Doing so requires

teachers to become learning analysts.

This paper critically reviews the teaching-research nexus

and learning analytics. Thereafter, the paper will present a

conceptual model on the utilization of learning analytics in

the teaching-research nexus. Subsequently, it examines the

role of teachers as learning analysts in addition to their roles

as researcher, and content and pedagogical expert. Likewise,

this paper identiﬁes the limitations of analytic tools and

technologies, thus, recommends skills needed for data col-

lection, analysis, and presentation. It ﬁnally concludes by

recommending actions that teachers and management can

take.

This paper provokes educators to redesign their peda-

gogical practices in order to integrate learning analytics in

their practice. This paper hopes to impact the academic

institutions by inﬂuencing their teaching and learning prac-

tices. It further hopes to educate academic leaders and

practitioners on the usefulness of learning analytics in the

teaching-research nexus for a more data-informed educa-

tional management. Furthermore, this paper hopes to inﬂu-

ence an institution’s preparedness in reﬁning its teacher

training and development programs that include the acqui-

sition of learning analytic skills.

2 The Teaching-Research Nexus

There exist a strong integration and positive relationship that

links research and teaching [13]. The Teaching-Research

Nexus draws on several approaches and/or dimensions that

include learning through research that engages students in

research work, research-led teaching that uses research to

inform teaching, research on teaching that looks at the

effectiveness of teaching and learning using research for

continual improvement, teaching-informed research that

stimulates research ideas to assess speciﬁc teaching strate-

gies and approaches and evaluate student learning experi-

ences, learning how to do research that promotes a

community of academic researchers, and so on. Nonetheless,

the conduct of research into student learning to inﬂuence

teaching is the focus of this paper.

Teachers perform research that looks into their teaching

and learning effectiveness by collecting and analyzing rele-

vant student data, which includes academic performance and

learning behavior [14]. These data are extremely helpful for

teachers so that they can understand their students better and

make more informed evidence-based decisions to improve

the learning outcomes and gauge the effectiveness of their

teaching. Teachers must have access to student data that they

need for their scientiﬁc inquiry to gain insights into the

student experiences and tailor their instruction to meet their

needs. Additionally, teachers are encouraged to practice

evidenced-based teaching. Doing such necessitates teachers

to engage in scholarly teaching that systematically analyzes

evidence of student learning through research.

Accordingly, the ﬁndings of several educational resear-

ches that focus on student learning and experience have

helped enhance pedagogical practices of teachers. Moreover,

214 A. S. Halibas et al.

these researches have also been valuable in understanding

the complex nature of learners, which teachers must be

aware of so that they can give timely feedback to students.

Thus, teachers need to do more than facilitating knowledge

transfer and acquisition; they need to be effective educators

who are active in research.

On the other hand, academic institutions are challenged to

create communities of inquiry and foster the philosophy of

continuous improvement [15]. The management should

provide an environment that promotes academic inquiry on

student learning to improve learning and teaching practices

[16]. The next section discusses the importance of data

analytics in the teaching-learning nexus.

3 Learning Analytics

In order to keep pace with the digital revolution and the

exponential growth of data, numerous academic institutions

have started to adopt learning analytics and use the data

produced by their information systems, learning manage-

ment systems, and other digital learning environments to

efﬁciently deliver teaching and effectively facilitate learning.

Learning Analytics (LA) is an emerging ﬁeld of study

brought about by Technology Enhanced Learning (TEL) and

uses techniques from related ﬁelds of study, including

Educational Data Mining (EDM), academic analytics, busi-

ness intelligence, and web analytics [17]. Learning analytics,

which is a combination of statistical analysis and predictive

modelling, enables academic institutions to systematically

and quickly gather, analyze, and distribute results to relevant

academic stakeholders. The study of [15]deﬁnes analytics as

“the use of data, statistical analysis and explanatory and

predictive models to gain insights and act on complex

issues”. Analytics is also deﬁned as “the application of

analytic techniques to analyze educational data, including

data about learner and teacher activities to identify patterns

of behavior and provide actionable information to improve

learning and learning-related activities [18]”.

Learning Analytics involve analysis of learners’infor-

mation to better inform students regarding their perfor-

mance. Likewise, it provides teachers with insights that are

necessary to improve learning quality as well as inﬂuence

academic decisions of institutions by providing data-driven

reports [19]. Furthermore, several authors claimed that

learning analytics support learners’academic experience,

performance, and achievement [20], and helps teachers and

academic institutions understand and predict learners’needs

and demands, performance and retention [21,22]. The

teachers’involvement in learning analytics is essential,

especially in developing personalized learning mechanisms

that address students-at-risk. Analytics can improve student

performance [23], provide teachers with insights on the

effectiveness of their pedagogical approaches [24], and the

link between these two [25]. Likewise, analytics aid teachers

in identifying students at risk of failure, and enable teachers

to customize the teaching content and provide appropriate

educational opportunities.

Teachers collect various data that are produced by stu-

dents from different activities and platforms such as log ﬁles,

online test results, social interactions, discussion forums,

course material downloads, and other related activities that

assess the students learning and these data are combined

with students’demographic data for data analytics. Addi-

tionally, these data are gathered near to real-time, analyzed

and carefully interpreted, and serve as a basis for interven-

tion programs. The teachers utilized these analytic insights to

understand and quickly respond to their learners’needs,

apply appropriate teaching and learning strategies, and pro-

vide immediate educational support [26].

4 The Integration of the Nexus and Learning

Analytics

The conceptual model, as shown in Fig. 1, presents the

Learning Analytics-based Teaching-Research Nexus, which

is drawn from the focused literature review on

Teaching-Research Nexus and Learning Analytics men-

tioned beforehand. This paper also referred [25]’s 5-step

model of learning analytics that describes how data is cap-

tured, reported, predicted, acted and reﬁned. Similarly, this

paper also referenced [27]’s combinatorial concept of

Learning Analytics and action research.

In the given model, the application of learning analytics

in the Teaching-Research Nexus is viewed as an iterative

process that improves teaching and learning. It usually starts

with teaching and learning problem identiﬁcation of the

teacher. As in another case, it may start with data extraction,

analysis, and presentation to examine trends and patterns as

regards student learning behaviors. The next cycle proceeds

to the development and implementation of content, tech-

nology, and pedagogical solution, which comprise of goals,

success indicators, timelines, and benchmarks, to address the

teaching and learning problem. The cycle continues as these

programs are evaluated for their effectiveness and repeated

as necessary.

Student learning and academic outcomes are enhanced in

the teaching-research nexus where teaching and learning

practices are reﬁned as a result of research. The model

demonstrates the critical role of the teacher who identiﬁes a

teaching or learning issue and conducts a scientiﬁc investi-

gation or action research to test his/her research question(s).

The start point in the LA-based Teaching-Research Nexus

can happen anywhere in the cycle. Take for instance, a

teacher may extract and analyze data from LMS, MIS and

Learning Analytics: Developing a Data-Centric …215

other sources of student information to validate his/her

research hypothesis. The result of a teacher’s research may

transform teaching and learning practices through appropri-

ate intervention programs that inﬂuence innovation in con-

tent, pedagogical and/or technological approaches. In a

sample scenario wherein a teacher has a research question on

whether online mock exams contribute to students’academic

performance. The teacher needs to determine if students who

regularly practice for the exam scored better than those who

did not. Through the research result, a teacher is informed on

the impact of mock exams to student learning. The teacher

will use the result as a basis in formulating suitable educa-

tional programs and mechanisms aimed at the individual,

departmental, and institutional levels. The cycle continues

toward assessing the effectiveness of the new educational

approach. In a different scenario, a teacher can collect and

analyze of student data to determine learning trends and

patterns. This will enable the teachers to understand learning

behavior so that appropriate educational interventions are

applied. Again, the cycle continues towards evaluating the

effectiveness of the intervention program.

4.1 Limitations of Learning Analytics Tools

As new educational technologies emerge every second,

teachers must be able to innovate and utilize data analysis

tools and technologies to inform their teaching. Teachers use

Virtual Learning Environments (VLEs) in uploading teach-

ing materials, conducting exam drills and communicating

with students online through discussion forums and email

facilities. Most VLEs provide a dashboard for teachers to

manage course content, engage and interact with students in

a learning process. The VLEs and other learning manage-

ment systems are now integrated with add-on features that

track individual learner’s performance by measuring users’

online behavior, assignment submission rate, utilization of

learning materials, participation in discussion forums and

exams, and so on. There are also several LA toolkits for

teachers that have been designed and implemented to help

institutions visualize relevant data and evaluate their

technology-enhanced teaching and learning practices. As an

example, [28] designed and implemented an exploratory

Learning Analytics Toolkit (eLAT) that enable teachers to

Fig. 1 Learning analytics-based teaching-research nexus concept

216 A. S. Halibas et al.

analyze and correlate students’learning object usage, user

properties, user behavior and assessment results with an aim

to improve teaching and learning and identify appropriate

intervention programs. In addition, Purdue University’s

Course Signals is an early intervention solution that analyses

student performance and predicts students at risk [23] using

44 indicators in their predictive model. The courses that used

this tool showed improvement in student performance [29].

Similarly, IBM SmartCloud for Education offers predictive

analytics to get real-time insights of student performance.

Likewise, Blackboard Analytics and Moodle LA plugins are

some of the online learning platforms with built-in analytics

tools that provide learning indicators. Blackboard, for

instance, provides a platform for improving the instructional

design and presents teachers with reports that show trends

that affect students’achievements. It also helps teachers

identify struggling learners, understands relationships

between individual graded items and course grades, and

offers linguistic analysis and visualizations. The Moodle LA

plugins measure the student engagement through its report-

ing tools.

Unlike traditional approaches to evaluating and analyzing

learning, there is a massive amount of data that teachers can

use to support their research questions. LA toolkits collect

and analyze student data in this regard; however, most

monitoring tools and reports generated by VLEs have pre-

deﬁned indicators and key metrics which are not customized

to a teacher’s research question(s). Hence, teachers can only

use the limited data available from VLEs which might not be

entirely useful to solve the learning issues. Furthermore, [30]

revealed that the available analytical tools, however

sophisticated, are not sufﬁcient to answer the questions of

teachers. They maintained that the utilization of learning

analytics is merely a part of a larger process of academic

management, and institutions should also consider organi-

zational culture, practices, policies, technology infrastructure

in order to achieve academic success. Their ﬁnding is sup-

ported in the study of [29] that revealed the shortcomings of

LA toolkits and the lack of teachers’involvement in the

design process of LA tools. In this regard, it is necessary that

teachers are equipped with the skills needed for research and

data analysis. Dependence on VLEs to provide them the

necessary information can only do so much for them. Nev-

ertheless, academic institutions need to identify the appro-

priate analytics solution and support the professional

development of teachers.

4.2 The Teachers as Learning Analysts

A data analyst is a professional who is able to ﬁlter and

produce meaningful information from a massive amount of

data and conduct a thorough data analysis and interpretation

of these data and present these in a meaningful way. The

teachers, who act as data workers or data analysts, have

always been analyzing data pertaining to how their students

learn especially when evaluating and reporting assessments.

They have unknowingly played the role of data analysts, or

better known as “learning analysts”, in an academic context.

Teachers have long been using learners’data to monitor and

improve student learning for educational enhancement

and/or remedial action. Regrettably, some teachers often use

intuition rather than informed knowledge on handling stu-

dent data for academic judgment. To a signiﬁcant extent, this

practice has its beneﬁts; however, academic decisions can be

further improved if teachers have the right knowledge and

skills to utilize analytical systems in their decision-making.

The following items describe the essential skills for a

Learning Analyst.

Database Skills. Teachers should be able to know basic

database concepts such as information retrieval and data

warehousing. Furthermore, they should be able to utilize

basic database programs like MS Access that allows them to

create tables, store and retrieve data and most importantly,

query data. An ambitious teacher, perhaps an IT teacher,

might be able to query and retrieve data from more

sophisticated databases like MS SQL. More so, this teacher

might write computer programs that feed the data set to

machine learning algorithms, thereby, having better grasps

of the results for a more accurate interpretation.

Data Mining and Statistics Skills. Some data analyses

are derived from statistics. It has been observed that most

teachers are dependent on mathematical expert or statistician

to generate statistical models for them. Having strong sta-

tistical knowledge allows teachers to perform descriptive or

inferential analysis of their learners’data. Descriptive

statistics produce the quantitative analysis of data such as the

mean, median, and mode, on the other hand, inferential

statistics produces inferences of data using regression anal-

ysis, parametric and non-parametric tests [19]. The data

extracted from LMS may be analyzed by statistical software

packages like Excel, SPSS, Matlab, Mathematica and the

likes. These are analytics tools that provide a statistical

summary that recognized data conﬁgurations and patterns

and predict future events to improve educational outcomes

[31]. Teachers must know more than descriptive statistics,

they must have ground knowledge on inferential statistical

methods, especially regression analysis, which is a foremost

statistical approach being used in data mining [32]. More-

over, teachers need to learn the basics of Knowledge Data-

base Discovery (KDD) and other data mining concepts that

include clustering, classiﬁcation, association rule mining,

social network analysis as well as its dynamics with statistics

using regression analysis for modelling relationships [28].

Presentation Skills. Unorganized student data is mean-

ingless and useless to teachers who possess limited

Learning Analytics: Developing a Data-Centric …217

knowledge in the use of learning analytic tools; therefore,

data visualization tools are necessary to support them. These

tools allow teachers to make sense of the data through a

logical organization. In a VLE, teachers are given dash-

boards that show analyzed data through graphical visual-

izations. The teachers will interpret the graphical

information and evaluate whether these data have an effect

on their students’learning. Such is not the case when

teachers are confronted with teaching and learning issues by

which a VLE cannot provide data visualization indicators.

Hence, teachers must be able to garner some insights into the

learning experience of students, extract data from the LMS,

feed to the statistical software, interpret its results and

effectively communicate it to the intended audience.

Teachers must have the essential problem-solving skills,

analytical skills, and creative presentation skills to effec-

tively communicate their research ﬁndings. They are

expected to design computer-based presentations using

commonly utilized tools such as MS Excel and MS Pow-

erpoint in order to make the data understandable to relevant

stakeholders. Conversely, they can use high-end presentation

tools that make use of interactive visualization to create

online dashboards like Javascript.

5 Conclusion and Recommendation

This paper proposed an LA-based Teaching-Research con-

cept that models a data-driven approach to decision-making

in teaching and learning practices. It is interesting to see how

academic institutions will implement this model to better

support student learning and improve academic outcomes.

Furthermore, this paper presented a need for academic

institutions to support teachers by investing in teacher

training and professional development programs on learning

analytics speciﬁcally focused on the acquisition and proﬁ-

ciency of database, statistics, and data visualization and

presentation skills. This paper recommends that academic

institutions should take an active stance on the application of

analytics and evidence-based approach to teaching and

learning. Speciﬁcally,

Teachers should:

•Utilize and/or improve their research and analytic skill-

set; and

•Perform evidence-based research using appropriate

learning analytic methods.

Management should:

•Assess an institution’s’readiness for adoption of learning

analytics;

•Assess the skill set of teachers and check their proﬁ-

ciency in data analytics through an institutional survey;

•Gauge the implementation of their research-teaching

nexus as regards the conduct of research to inform

teaching;

•Intensify the teaching-research nexus practice to include

learning analytics;

•Acquire the necessary infrastructure, tools, and software

that are needed to implement learning analytics;

•Provide professional development courses for teachers in

the use and practice of learning analytic tools in order to

develop their teaching practice; and

•Require teachers to utilize the analytics data that are

embedded in VLEs.

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Learning Analytics: Developing a Data-Centric …219

Measuring Ciphertext Randmoness Using

Die Hard Randomness Index

Mohammed M. Alani

Abstract

In this paper we present a novel quantitative measure of

randomness based on Diehard randomness tests. The

proposed method relies on the results of diehard tests in

calculating a randomness index; namely Diehard Ran-

domness Index (DRI). The presented index can be helpful

in measuring randomness in bit sequences generated from

pseudo-random and random number generators to iden-

tify which has better randomness properties. The paper

also show sample calculations of the proposed index to

measure randomness of ciphertext resulting from encryp-

tion using block-ciphers.

Keywords

Random Randomness test Ciphertext 

Encryption Diehard tests Pseudo-random

1 Introduction

Random numbers have been the subject of study for a very

long time. Different researchers have worked on generating,

testing, and employing random numbers over the past dec-

ades. D. H. Lehmer have identiﬁed random sequences as “a

vague notion embodying the ideas of a sequence in which

each term is unpredictable to the uninitiated and whose digits

pass a certain number of tests, traditional with statisticians

and depending somewhat on the uses to which the sequence

to be put”[1].

In an empirical deﬁnition, random numbers can be

identiﬁed as sequences of real numbers generated either as

physical data obtained from random experiment or as a

computer-generated sequence produced by a deterministic

program.

In general, random sequences are generated from two

types of generators; random numbers generators, and

pseudo-random number generators. Random number gen-

erators employ a non-deterministic source along with a

processing function to produce a random sequence.

Pseudo-random number generators use one or more seeds

with a deterministic function to generate the sequence [2].

Throughout the years, many statistical testing suites were

developed to test the randomness of sequences. In 1995,

Diehard randomness tests battery was introduced by Prof.

Marsaglia [3]. In 2002, Marsaglia and Tsang introduced

three tests as “difﬁcult-to-pass”. They claimed that a

sequence that passes these tests is highly likely to pass all of

the diehard tests [4]. These three tests were referred to as

Dieharder tests in some literature. In 2010, Alani introduced

a new way of interpretation of Diehard test results with

simpliﬁed graphical presentation [5].

In 1998, Crypt-XS tests suite was created by a group of

researchers at the Information Security Center in Queensland

University of Technology, Australia [6]. National Institute of

Standards and Technology (NIST) issued a detailed report

on randomness tests in 2001 and later a revised version in

2010 that was the product of collaborative effort of Com-

puter Security Division and Statistical Engineering Division

[7,8]. All of these testing suites were used to test random

and pseudo-random number generators of cryptographic

applications.

Other researchers also tackled the randomness testing

topic and provided new tests other than the three mentioned

above. Soto, who was one of the NIST group working on

[8], published a paper about statistical testing of random

number generators. In [9], Soto addresses issues like statis-

tical testing suites, evaluation frameworks, and the inter-

pretation of or results for testing randomness or random

number and pseudo-random number generators.

In [10], a comparison was made between the theoretical

of distances between consecutive n-tuples drawn in an

n-dimensional space, to the actual distances produced by a

speciﬁc random number generator to devise a randomness

M. M. Alani (&)

Khawarizmi International College, Abu Dhabi,

United Arab Emirates

e-mail: m@alani.me

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_25

221

test. In [11], a framework for a uniform test for algorithmic

randomness over a uniform space was introduced. The paper

tackled several questions related to Bernoulli distributions

and arbitrary distributions.

In 2006, randomness tests based on randomness walk

were introduced in [12]. The paper focused on statistical

properties of one-dimensional random walks. Three new

randomness tests were proposed based on probabilities

related to excursions, height and expansion of random

walks.

A software library for empirical testing of random number

generators was introduced in [13]. The software, written in

ANSI C, offered a collection of utilities for empirical statis-

tical testing of uniform random number generators. The

software included implementation of some classical statisti-

cal tests along with several other tests including original ones.

In 2010, research was published on the use of Bell’s

Theorem certiﬁcation for random numbers in [14]. Although

the paper did not focus on randomness testing, it is

considered an important ground for further research in ran-

dom number generation. The paper introduced a method of

generating 42 new random numbers with 99% coincidence.

A new test for randomness was introduced in [2]. The

proposed test focuses on determining the number of different

ﬁxed length patterns that appear along with the binary

sequence. The next section discusses the details of Diehard

tests as this paper introduces a method of calculating a

randomness index; namely Diehard Randomness Index. This

method depends on the counts of Failure, Doubt, and

Success points identiﬁed in [5].

2 Diehard Randomness Tests

Diehard tests were introduced by Marsaglia as a software

package to simplify the implementation on the test users.

The battery of tests includes twelve tests. Some of these tests

are repeated with different parameters. The main 12 tests are:

1. Birthday spacing: When choosing random points on a

large interval, the spacings between the points should

be asymptotically Poisson distributed. The test name

was taken from birthday paradox introduced in [15].

2. Overlapping permutations: This test is done through

analyzing sequences of ﬁve consecutive random num-

bers. The 120 possible orderings should occur with

statistically equal probability.

3. Ranks of matrices: This test is done by selecting some

number of bits from some number of random numbers

to form a matrix over {0,1}, then determining the rank

of the matrix. The count of the ranks should follow a

certain distribution.

4. Monkey tests (bit stream tests): This test takes its name

from the inﬁnite monkey theorem [16]. The test is

performed by treating sequences of some number of

bits as “words”and counting the overlapping words in

a stream. The number of “words”that don’t appear

should follow a known distribution.

5. Count the 1s: The test is done through counting the 1

bits in each of either successive or chosen bytes and

converting the counts to “letters”, and counting the

occurrences of ﬁve-letter “words”.

6. Parking lot test: Randomly place unit circles in a

100 100 square. If the circle overlaps an existing

one, try again. After 12,000 tries, the number of suc-

cessfully “parked”circles should follow a certain nor-

mal distribution.

7. Minimum distance test: Randomly place 8000 points in

a 10,000 10,000 square, and then ﬁnd the minimum

distance between the pairs. The square of this distance

should be exponentially distributed with a certain

mean.

8. Random spheres test: Randomly choose 4000 points in

a cube of edge 1000. Center a sphere on each point,

whose radius is the minimum distance to another point.

The smallest sphere’s volume should be exponentially

distributed with a certain mean.

9. The squeeze test: Multiply 231 by ﬂoat random integers

on [0,1) until you reach 1. Repeat this 100,000 times.

The number of ﬂoats needed to reach 1 should follow a

certain distribution.

10. Overlapping sums test: Generate a long sequence of

random ﬂoats on [0,1). Add sequences of 100 consec-

utive ﬂoats. The sums should be normally distributed

with characteristic mean and sigma.

11. Runs test: Generate a long sequence of random ﬂoats

on [0,1). Count ascending and descending runs. The

counts should follow a certain distribution [17].

12. The craps test: Play 200,000 games of craps, counting

the wins and the number of throws per game. Each

count should follow a certain distribution.

All of these tests are aimed at testing randomness. Normal

or close-to-normal distributions are expected from all the

counts produced by these tests. In this context, the chi-squared

goodness-to-ﬁt is used to produce p-values that should be

uniform on [0,1). The p-values obtained by p¼FXðÞ, where

Fis the assumed distribution of the sample random variable X;

often normal. In fact, the assumed Fis nothing but an

asymptotic approximation. In this asymptotic approximation,

the ﬁt will be worst in the tails. Hence, a p-value near 0 or 1 is

an indicator of deviation from randomness.

In some tests, more than one p-value was produced. In

some of these tests, a Komogorov-Smirnov (KS) test was

222 M. M. Alani

run on the multiple p-values to yield a single p-value as an

indicator of randomness [18].

As it was indicated in [4], Birthday spacing test and

monkey tests are considered more important than the others.

Thus, the results of these tests are given in more details as

compared to other tests like Count the 1s. The number of

p-values produced from each test and the one used in the

proposed index can be different based on the importance of

the test. Table 1shows the number of p-values the index

calculation will employ.

3 Interpretation of Test Results

In this paper, we will adopt the interpretation introduced in

[5]. The 47 p-values are distributed over three distribution

areas in the range [0,1). The range will be divided into three

areas; Success Area, Doubt Area, and Failure Area. Table 2

shows the limits of these areas.

This interpretation indicates that have more p-values in

the failure area indicates divergence from randomness

properties, while having more p-values in the success area

indicates better randomness properties. The ranges identiﬁed

in Table 2can be expressed graphically as in Fig. 1.

The number of p-values produced by each test can be

thought of as the weight of the text and how it affects the ﬁnal

result. For example, Monkey test is considered of highest

effect on the ﬁnal result because it produces 20 p-values. In

the second degree of effect on the ﬁnal result, the Birthday

Spacing test produces 9 p-values, and so on.

4 Diehard Randomness Index

Based on the previous section, we will use the following

naming convention:

sas the number of p-values in the success area

das the number of p-values in the doubt area

fas the number of p-values in the failure area

DRI as the Diehard Randomness Index

We will start from a simple expression:

DRI ¼sf

This expression is written with the notion that more

p-values in the safe area mean better randomness properties,

while more p-values in the failure area mean worse

randomness properties.

Table 1 Number of p-values

used from diehard tests Test name Number of p-values

Birthday spacing 9

Overlapping permutations 2

Binary rank 3

Count the 1’s2

3D spheres 1

Squeeze 1

Overlapping sums 1

Craps 2

Min. distance 1

Parking lot 1

Monkey test 20

Runs 4

Total number of p-values 47

Table 2 Success, doubt, and

failure areas ranges Area Range

Failure 0 < p-value 0.1

0.9 p-value 1

Doubt 0.1 < p-value 0.25

0.75 p-value < 0.9

Success 0.25 < p-value < 0.75

Measuring Ciphertext Randmoness Using Die Hard Randomness Index 223

Now, we will use dto dampen the DRI expression

because more points in the doubt area mean less effect of the

success points.

DRI ¼sf

To cancel the possibility of division by zero, we will add

one to the denominator,

DRI ¼sf

dþ1

As we have 47 p-values, the maximum possible value of

DRI is now 47, and the minimum is −47. To shift the index

to positive value, 47 will be added to it,

DRI ¼sf

dþ1þ47

To re-scale the index in the area (0,1), it will be divided

over its current maximum value, which is 94,

DRI ¼

sf

dþ1þ47

DRI ¼sf

94 dþ1ðÞ

þ47

Hence, the Diehard Randomness Index can be calculated by

DRI ¼sf

94 dþ1ðÞ

þ0:5ð1Þ

This index can be used in comparing the randomness

properties of different sequences. The higher the index value is,

the better randomness properties the sequence has. On the other

hand, the lower the index is, the worse randomness properties

the sequence has. Form the index equation above, the mini-

mum value of the index is 0, while the maximum value is 1.

5 Sample Calculations

Since most of the randomness tests focus on the randomness

properties in cryptographic applications, we will use data

resulting from block-cipher encryption as an example of the

index calculation. This test data was taken from [5].

5.1 Plaintext

A sample test ﬁle was created from combining .doc, .avi, and

.mp3 ﬁles to compose the plaintext ﬁle for the experiment.

The ﬁle was formatted to comply with the Diehard test

requirements. The ﬁnal test sample size was around

13 MB. Table 3shows the resulting p-values of the plaintext

ﬁle and Fig. 2shows the graphical representation of

the p-values according to the description mentioned in

Sect. 3.

5.2 Ciphertext of 3DES

The sample ﬁle was encrypted using 3DES algorithm. The

168-bit key used in encryption was generated using a

pseudo-random number generator. Table 4shows the

resulting p-values of the ciphertext ﬁle and Fig. 3shows the

graphical representation of these p-values.

5.3 Ciphertext of AES

The sample ﬁle was encrypted using AES algorithm. The

256-bit key in the encryption was generated using a pseudo-

random number generator. Table 5shows the resulting

p-values of the ciphertext ﬁle ad Fig. 4shows the graphical

representation of these p-values.

5.4 DRI Calculation

Table 6shows the summary of the p-values of plaintext,

3DES-encrypted ciphertext, and AES-encrypted ciphertext

and the distribution of these p-values over safe, doubt, and

failure areas.

Using Eq. (1), we receive the following result.

DRIplaintext ¼047

94 0þ1

ðÞ

þ0:5¼47

94 þ0:5¼0

Fig. 1 Failure, doubt, and success areas [5]

224 M. M. Alani

Table 3 Diehard tests results for plaintext [5]

Test name p-value Test name p-value

Birthday spacing 1.000000 Monkey test 1.000000

1.000000 1.000000

Overlapping permutations 1.000000 1.000000

1.000000 1.000000

Binary rank 1.000000 1.000000

1.000000 1.000000

Count the 1’s 1.000000 1.000000

1.000000 1.000000

3D spheres 1.000000 1.000000

Squeeze 1.000000 1.000000

Overlapping sums 1.000000 1.000000

Craps 1.000000 1.000000

0.999899 Runs 1.000000

Min. distance 1.000000 1.000000

Parking lot 1.000000 1.000000

1.000000

Fig. 2 p-values of plaintext ﬁle

Measuring Ciphertext Randmoness Using Die Hard Randomness Index 225

DRI3DES ¼18 7

94 22 þ1ðÞ

þ0:5¼11

2162 þ0:5

¼0:50508788

DRIAES ¼25 9

94 13 þ1ðÞ

þ0:5¼19

1316 þ0:5

¼0:51443768

6 Discussion

The plaintext randomness index was zero as expected,

because the ﬁle was not a generated using a random or a

pseudo-random generator. A DRI of zero means that the

sequence does not have any randomness properties.

The 3DES-encrypted ciphertext produced a DRI of

0.5050. This means that this sequence does have some

randomness properties, but it did not satisfy most of the

tests. In general, a DRI value of less than 0.5, means that

sequence is closer to uniform than it is to random. Hence, the

DRI

3DES

cannot be categorized as very good.

The AES-encrypted ciphertext produced a DRI of 0.5144.

This means that this sequence has better randomness properties,

as compared to 3DES, but also did not satisfy most of the tests.

Generally, when a sequence scores a DRI of 0.5, it means

that it has equal number of p-values in the success area and

in the failure area. This indicates that the sequence in equal

distance between being random and uniform. A DRI value

less than 0.5 indicates that the sequence is closer to uniform

than it is to random, while a DRI value more than 0.5

Table 4 Diehard tests results for

3DES-encrypted ﬁle [5]Test name p-value Test name p-value

Birthday spacing 0.742890 Monkey test 0.91658

0.893112 0.07795

0.559102 0.78356

0.850000 0.16944

0.104397 0.43842

0.620756 0.93809

0.267198 0.03979

0.748315 0.24436

0.856381 0.76818

Overlapping permutations 0.780205 0.94594

0.145390 0.75295

Binary rank 0.389660 0.85963

0.780205 0.25775

0.159133 0.57658

Count the 1’s 0.599488 0.65755

0.305525 0.16651

3D spheres 0.928702 0.75736

Squeeze 0.542369 0.86222

Overlapping sums 0.834684 0.28326

Craps 0.523433 0.18585

0.023614 Runs 0.310885

Min. distance 0.541504 0.752972

Parking lot 0.238872 0.819962

0.298053

Fig. 3 p-values for 3DES-encrypted ﬁle

226 M. M. Alani

Table 5 Diehard tests results for AES-encrypted ﬁle [5]

Test name p-value Test name p-value

Birthday spacing 0.764805 Monkey test 0.64197

0.310685 0.76317

0.333483 0.18398

0.687379 0.96262

0.036211 0.31987

0.420004 0.88587

0.168696 0.03091

0.767771 0.81122

0.267583 0.46618

Overlapping permutations 0.530497 0.28484

0.999037 0.14852

Binary rank 0.326572 0.41916

0.385797 0.70826

0.318936 0.55267

Count the 1’s 0.983250 0.99172

0.301962 0.67958

3D spheres 0.441769 0.81185

Squeeze 0.876453 0.25926

Overlapping sums 0.012551 0.05466

Craps 0.787202 0.68707

0.359208 Runs 0.377076

Min. distance 0.173347 0.613504

Parking lot 0.861114 0.587110

0.037080

Fig. 4 p-values for AES-encrypted ﬁle

Table 6 Number of p-values in

success, doubt, and failure areas Data type fds

Plaintext 47 0 0

3DES-encrypted 7 22 18

AES-encrypted 9 13 25

Measuring Ciphertext Randmoness Using Die Hard Randomness Index 227

indicates that the sequence is closed, in properties, to random

than it is to uniform.

7 Conclusions

In this paper, we have introduced a quantitative measure of

randomness based on Diehard battery of randomness tests.

The randomness index, named Diehard Randomness Index,

can be useful in comparing the randomness of random

sequences generated using random-number or pseudo-

random number generators. The index resulting from the

calculation is in the area (0,1) in which the higher value

indicates better randomness properties and the lower value

indicates divergence from randomness properties.

The proposed index was calculated from plaintext, 3DES

encrypted ciphertext, and AES-encrypted ciphertext. The

calculations indicated that AES ciphertext has higher

randomness index (i.e. better randomness properties) as

compared to 3DES ciphertext.

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228 M. M. Alani

Medical Grade QoS Improvement Using

IEEE802.11e WLAN Protocol

Luae’A. Al-Tarawneh

Abstract

This paper describes an adaptive service differentiation

scheme for medical grade QoS over WLAN healthcare

networks. The wireless transmission of medical applica-

tions over wireless networks needs special QoS require-

ments meanwhile, IEEE802.11 Standard does not fulﬁll

the QoS requirement yet. Enhanced Distributed Channel

Access (EDCA) of the IEEE 802.11e Standard is used to

enhance the QoS, where trafﬁc priorities are categorized

according to their criticality. The simulation has been

performed to deliver three trafﬁcs with different priorities.

The proposed algorithm is evaluated using NS2 simula-

tion. The simulation results shows that the medical access

categorization and the contention window control mech-

anism signiﬁcantly improve the performance of a medical

network over IEEE 802.11E. Comparison results show

signiﬁcant advantage for the new proposed scheme.

Keywords

IEEE802.11 Standard WLAN Medical network QoS

1 Introduction

Using wires to communicate various medical information

such as medical images, monitoring and diagnostic signals,

and any other information belonging to patients, require

connecting a huge number of devices and equipments in a

hospital, which leads to a massive wired communication

environment that is costly and provides a potential hazard for

patient safety [1]. In [2,3], several factors are given that

should be taken into account to provide QoS thresholds for

medical data transportation over a healthcare network

including: availability, conﬁdentiality and privacy, latency

of data delivery and support for mobility. The importance of

such factors is obvious, and in no way can it be underesti-

mated when considering the shift to using wireless networks

to provide these services.

Nowadays, wireless networks and information technolo-

gies are playing a revolutionary role in telemedicine and

e-health services. Medical applications driving the installa-

tion of wireless Local Area Networks (LANs) include

electronic medical records (EMR) updates, wireless infusion

pumps, barcode medication administration (BCMA), voice

over Internet Protocol (VoIP) and support for patient and

visitor convenience through Wi-Fi hotspots. As these

applications are served from different locations including

hospitals, ambulances, ships, and planes, the wireless com-

munication network availability and its quality for medical

information (MI) exchange are very important. So healthcare

networks should be able to convey data at any time while

ensuring the QoS for the speciﬁc healthcare applications.

In this paper, an adaptive scheme has been proposed for

the contention window (CW) of the access method of the

IEEE 802.11e standard, denoted as Enhanced Distributed

Channel Access (EDCA), where medical grade priorities of

trafﬁc are deﬁned according to service criticality. Adaptation

is carried out by adjusting the size of (CW) for each trafﬁc

access category. This scheme is evaluated by simulation and

the results are compared with those obtained for conven-

tional IEEE 802.11e with and without medical grade prior-

itization. Comparison results show a pronounced advantage

for the proposed adaptive EDCA scheme.

The rest of this paper is organized as follows: In Sect. 2,I

discuss the concept of medical-grade QoS for healthcare

communication systems. In this regard, access categories are

deﬁned according to medical criticality rather than by delay

constraint, as the case for conventional IEEE 802.11e stan-

dard. Section 3reviews the main characteristics of the IEEE

802.11e Medium Access Control (MAC) protocol, my pro-

posed adaptation scheme on (CW) is introduced in Sect. 4,

while in Sect. 5, simulation of the scheme is outlined. Per-

formance evaluations and results are presented in Sect. 6.

L. A. Al-Tarawneh (&)

Directorate of Biomedical Engineering, Royal Scientiﬁc Society

Amman, Amman, Jordan

e-mail: lu.tarawneh@gmail.com

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_26

229

2 Medical-Grade QoS Priorities

Depending on the characteristics of physiological signals

that are taken from the patient’s body through special sen-

sors, they can be divided into certain types of trafﬁc with

priorities that indicate the level of their criticality [1]. Such

trafﬁc types include: physiological signals like ECG, EMG,

EEG, EOG, body temperature, blood pressure, and medical

image and so on; and alarm signals like heart failure,

infusion pump alert and any other telemetry type signal.

In [1], a proposed access categorization for medical grade

wireless LAN according to medical criticality is shown in

Table 1. As given in this table, alert and alarm signals are

given highest priority; meanwhile, real time streaming data

(telemetry) like monitoring patients with heart disease are

given high priority. Medical applications such as medical

images, which could be compressed and stored in local

memory with no time sensitivity, are given medium priority.

Other non medical application (such as email), are given

lowest priority.

QoS requirements for medical grade trafﬁc in healthcare

facilities are discussed in [1,4,5].

Representative values for such QoS requirements are

given in Table 2[1]. For example, maximum allowed values

of latencies for life critical information such as alarms and

alerts should not exceed more than 200 ms, while for non

medical applications, such as guest access through medical

network, a 1000 ms latency is no problem.

It follows that WLAN healthcare networks should convey

medical information with priorities and requirements con-

sistent with the information contained in Tables 1and 2;

thereby supporting human life conditions, where an unsuc-

cessful transmission or a signiﬁcant delay would be a matter

of life and death.

3 IEEE 802.11e MAC Protocol

The legacy version of IEEE 802.11 protocol, released in

1997, operate on 2.4–2.5 GHz [6]. It uses Carrier Sense

Multiple Access with Collision Avoidance, (CSMA/CA) as

a medium access method. In this method, no differentiations

or priorities are assigned to different types of trafﬁc.

Standard IEEE 802.11-2007 has incorporated the latest

IEEE 802.11e-2005 draft, as Amendment 8, for enhancing

the 802.11 MAC access methods to support Quality of

Service (QoS). This includes providing the security and

authentication mechanism, and enhancing the ability of all

the physical layers such as 802.11a and 802.11b to guarantee

parameterizing and prioritizing services. So new features are

becoming part of this standard including the access methods:

the Hybrid Coordination Function (HCF) and (EDCA) to

support new QoS applications.

EDCA is a contention based channel access method

which can provide differentiated services [6,7]. While it is

part of HCF for infrastructure networks, it may be used as a

separate coordination function for ad hoc wireless networks

[8]. The QoS supported by EDCA is provided by the

introduction of Access Categories (ACs) and other param-

eter entities. There are four ACs and four back off parameter

entities that exist in every QoS Station (QSTA). The ACs are

labeled according to the priority application such as AC_BK

(background), AC_VO (voice), AC_VI (video), and AC-BE

(best effort).

The standard deﬁnes eight User Priority (UP) values for

this trafﬁc that are mapped to the different ACs as given in

Table 3.

Every one of those categories behaves as a single DCF

contending entity, and each entity has its own contention

parameters: CWmax [AC], CWmin [AC], Arbitration Inter

Frame Space (AIFS [AC]), and Transmission Opportunity

(TXOP) LIMIT [AC], which are announced periodically by

the Quality Access Point (QAP) via beacon frames. If those

parameters take shorter values, then the channel access delay

for the corresponding AC, will be shorter, and thus gain

higher priority to access the medium. The (AIFS)s intro-

duced by the EDCA are illustrated in Fig. 1.

This shows that the time to access the channel, when it is

sensed as idle, is conﬁgured to indicate relative priorities [7,

8].

EDCA also provides differentiation by varying the size of

the contention window (CW) depending on the i-th AC, AC

[i]. Both CWmin and CWmax are deﬁned according to the

priority desired. The initial value for the back off counter is a

random number deﬁned by the contention widow (CW),

similar to Legacy DCF. The contention window may be the

initial minimum size CWmin [AC].

Enhanced back off selects its counter as a random number

drawn from the interval [1, CW + 1] instead of [0, CW] as in

Legacy. However, the smaller CWmin [AC], the higher the

Table 1 Access categorization

according to medical criticality Application Criticality

AC0 Alarm signals, telemetry alarms, infusion pump alerts Highest

AC1 Real-time streaming data (telemetry, infusion pump) High

AC2 Other medical application Medium

AC3 Non-medical applications (guest access, email) lowest

230 L. A. Al-Tarawneh

priority in channel access, but collision probability increases

with smaller CWmin [AC].

While the priority differentiation mechanism used by

EDCA improves the QoS for multimedia real time trafﬁc,

still there is room for improvement if the EDCA parameters

can be adapted to the network conditions. For example, after

a successful transmission, the backoff algorithm always

reduces the CW size to CWmin. Thus under conditions of

high channel load, this leads to more collisions, and conse-

quently a reduced QoS performance.

There exists a large body of recent research to support

service differentiation by providing different MAC parame-

ters that enabled high priority trafﬁc to access the medium

over other trafﬁc. One example is to use a smaller contention

window (CW) causing a smaller back off interval (BI), as

given in [9,10].

Table 2 Representative values

for QoS requirements of medical

application in healthcare facilities

Packets/s kb/packet Peak

(kb/s)

Average

(kb/s)

Events/h Maximum

latency(ms)

Telemetry

(diagnostic)

5 5.1 25.6 25.6 Stream 200

Telemetry

(alarms)

5 1.0 5.1 0.1 10/h 200

Infusion pump

(status)

1 1.0 1.0 1.0 Continuous 200

Infusion pump

(alert)

1 1.0 1.0 0.1 1/h 200

Clinician

notiﬁer

5 2.6 12.8 0.1 20/h 200

BCMA 2 0.4 0.8 0.1 30/h 500

EMR images 200 20.5 41.00 41 1% 200

Guest access 100 10 1000 30 3% 1000

Email 200 20.5 4100 41 1% 200

Table 3 UP to AC mappings Priority UP (same as 802.1D user

priority)

802.1D

designation

AC Designation

(informative)

Lowest

hes

1 BK AC_BK Background

2–AC_BK Background

0 BE AC_BE Best effort

3 EE AC_BE Best effort

4 CL AC_VI Video

5 VI AC_VI Video

6 VO AC_VO Voice

7 NC AC_VO Voice

Fig. 1 Some IFS relationships

Medical Grade QoS Improvement Using IEEE802.11e WLAN Protocol 231

Studies in [11], proposed a new function which depended

on decreasing the contention window slowly after each suc-

cessful transmission using a ﬁxed multiplicative factor,

instead of setting it to CWmin. In [12], an Adaptive Enhanced

Distributed Coordination Function (AEDCF), scheme was

derived from EDCF which is based on adjusting the size of

the contention window after each transmission. Results of

this scheme showed good enhancement over (EDCF), espe-

cially in conditions of high trafﬁc load. In [8], a new approach

was introduced based on a dynamic adaptation of the Mini-

mum Contention Window (CWmin). Here, priority between

the access categories is provided by tuning the size of

(CWmin) adaptively after each successful transmission.

We are interested here to reset the CW to a new proposed

contention window such that each virtual window related to

its category or priority type. In queue will have its own

updated new contention. EDCA of the IEEE 802.11e stan-

dard, CW is doubled after each unsuccessful transmission as

a binary exponential retransmission (BER), until it reaches

the maximum value CWmax. After successful transmission,

CW is reset to CWmin. For long channel reservation with

heavy trafﬁc load, the average throughput will be decreased

due to overall packet latency and loss. For medical appli-

cations, Qos requirements in healthcare networks, require

special medical–grade QoS through wireless transmission.

EDCA provide different Access Categories, AC[i] with

different priorities. Each AC[i] has its own parameters

(CWmin, CWmax, and AIFS), which are preset through the

MAC layer.

So I seek to propose an adaptive algorithm to avoid hard

and abrupt decreasing of CW from its previous value to the

value CWmin. Considering the medical trafﬁc queue with

the highest priority AC[0], I note from Table 2that it is

characterized by small packet size and small frequency of

occurrence. With such low occurrence, the expected colli-

sions would have low probability. And with a small packet

size, retransmission could take place with no restrictions or

fragmentations.

4 Proposed Adaptive Control Mechanism

Hence, in my proposed scheme, I can make CW remain

constant and not be doubled after each unsuccessful

transmission.

Now, I consider the remaining trafﬁc queues with prior-

ities AC[1] covering real time streaming (Telemetry) trafﬁc,

as having high priority, and AC[2] covering other medical

applications as having medium priority. To fulﬁll the priority

differentiation with pronounced enhancement, my scheme

propose the following adaptive new contention window:

(a) After every successful transmission:

CWnew½i¼CWmin½iþ2i2fj

avgðCWmax½iCWmin½iÞ

for AC 1½and AC 2½;

ð1Þ

and

CWnew i½¼CWmin i½

for AC 0½:

ð2Þ

where fj

avg is the average collision rate at step j, where j refers

to the j-th update period T

update

, which is computed

dynamically in each period, in units of time slots, as an

exponentially weighted moving average as follows:

avg ¼1aðÞfj

curr þafj1

avg ð3Þ

avg denote the instantaneous collision rate for station P,

and is deﬁned:

curr ¼Num CollisionsjP½



Num data sentjP½

ð4Þ

Num (data_sent

[P]) is the total number of packets that

have been sent in the same period j by ﬂows belonging to

station P, and Num (successful_Ack [P]) is the number of

successfully received acknowledgments for station P. In

other words, Eq. (4)deﬁnes the packet loss rate of station P

in the same period j by ﬂows belonging to station P during

j-th time period. fj1

avg represents the previous (j −1) time

period averaging collision rate. adenotes a weighting or

smoothing factor that is determined by simulations. Period

update

) and the smoothing factor (a) are usually selected

experimentally. When my simulation for 20 stations is run

for 25 times, and the averaged results are displayed to show

the dependence of the goodput and mean audio delay per-

formance parameters on a, for a ﬁxed value of

update

= 6000 time slots, I ﬁnd that by selecting a0.5 in my

simulations, a good trade off between mean audio delay and

goodput would be achieved.

(b) After every unsuccessful transmission CWnew[i] is:

CWnew i½¼Min 2 CWprev i½;CWmax i½ðÞ

for AC 1½and AC 2½

and

CWnew i½¼CWmin i½

for AC 0½:

ð5Þ

232 L. A. Al-Tarawneh

To guarantee CWnew not to exceed the upper limit

CWmax, the following condition is applied:

CWnew i½¼Min CWnew i½;CWmax i½ðÞð6Þ

5 Network Simulation

5.1 NS2 Simulation

The performance of the proposed adaptation scheme for CW

was evaluated by simulation using NS-2 simulator [13,14].

After each updated period of time (T

update

), the contention

window is updated according to the equations of parts

(a) and (b) of the proposed scheme for AC[0], AC[1], and

AC[2] in sequence. The network used covers a region of

500 m 500 m with one access point (AP) in the middle,

and user stations are spread randomly over the area. The

number of stations is increased from two to 45 stations,

where each station represents a Quality station (QSTA)

equipped with my adaptive CWnew[i] scheme.

Table 4shows the selected MAC parameters for the three

access categories ACs, according to their medical critically.

This indicates highest priority for alarms, high priority for

real time streaming (telemetry), and medium priority for

other medical applications. In this simulation, all nodes send

their packets to the access point (AP). All nodes up to

number 15 are speciﬁed to generate all three types of trafﬁc

with corresponding priorities: AC[0], AC[1] and AC[2]. All

remaining stations generate only two types of trafﬁc corre-

sponding to priorities: AC[2] and AC[1]. In each node,

alarm is implemented as an exponential trafﬁc source and the

real time applications are implemented as constant bit rate

(CBR) trafﬁc. Meanwhile, the other medical applications are

implemented using Pareto trafﬁc[1].

5.2 Performance Parameters

To evaluate the performance of the proposed adaptation

scheme and be able to compare it with other schemes, the

following parameters are deﬁned as measures of perfor-

mance [11,12]:

–Mean delay: it is the average delay of all the ﬂows that

have the same priority in the different stations.

–Collision rate: this rate is calculated as the average

number of collisions that occur per second.

–Gain of goodput: it is the average goodput of a particular

scheme compared with the basic EDCA. For the pro-

posed CWnew[i], it is calculated as follows:

Gain of goodput ¼AGcwnew AGEDCA

AGEDCA 100%ð7Þ

where AG denotes average goodput.

6 Simulation Results

To evaluate the performance of our proposed adaptive ser-

vice differentiation scheme, I studied the effect of varying

trafﬁc loads on certain performance parameters and com-

pared that with the same parameters as obtained using

conventional EDCA with and without medical grade prior-

ities. In my simulation, the trafﬁc load is represented by the

number of stations and at which different types of trafﬁc are

generated. The average delay and the average goodput for

AC[0] and AC[1] are selected as typical parameters, which

are calculated as deﬁned in Sect. 5.2 [14].

Figure 2, shows the average delay of category AC[0], the

highest priority ﬂow (alarms and faults). The proposed

adaptive EDCA gives lower delay than the conventional

scheme with and without medical prioritization. The graph

shows 40% reduction for the mean delay when the number

of stations reaches 45. This improvement even reaches 60%

at a load of 10 stations.

Figure 3, shows the simulation results of the average

delay for high priority trafﬁc AC(1) [real time streaming

telemetry (diagnostic)]. Again, we can see from this ﬁgure

that my adaptive scheme, offers good improvement for AC

[1] over EDCA with medical grade and without medical

grade ACs. While this improvement is not noticeable when

the number of. stations is below 5, it reaches 29% at a load

of 10 stations, and 32% at full load of 45 stations.

Figure 4, displays the simulation results obtained for

collision rate. The collision rates are almost the same when

the trafﬁc load is below 10. However, the proposed adaptive

scheme offers 50% for 15 stations, and 44% improvement

for 45 stations. This signiﬁcant improvement could be

explained by noting that the adaptive adjustment for

(CW) reduces the aggregate collisions through the channel.

Table 4 Mac parameters for

three trafﬁc categories Parameters Medium priority High priority Highest priority

min

31 15 7

max

1023 500 200

AIFS (µs) 52 43 34

Medical Grade QoS Improvement Using IEEE802.11e WLAN Protocol 233

Figure 5shows the Gain of goodput, reﬂecting the effect

of collision reduction which leads to increasing the number

of successful transmissions with low time delay. As expec-

ted, the proposed adaptive EDCA scheme shows enhanced

improvement on goodput, as the calculated values show an

improvement up to 24% at 40 stations, when compared with

EDCA without medical ACs.

7 Conclusion

This paper proposed a new adaptation scheme for QoS

enhancement based on previous development [15] for IEEE

802.11e WLAN with medical ACs. I extended the basic

EDCA with medical ACs, by varying the contention window

(CW) adaptively after each successful transmission. The per-

formance of my proposed scheme was tested and validated

using NS2 simulation software. The results obtained, were

compared with the basic EDCA with and without medical ACs.

Simulation results show that the proposed scheme

achieves better performance with respect to collision rate, to

average delay and to gain of goodput for all prioritized trafﬁc

categories.

Future work could be extended to investigate the medical

WLAN under infrastructure networks where channel access

control is achieved by using hybrid coordination function

HCF and hybrid coordination channel access HCCA.

References

1. Park, K., Shrestha, D., Ko, Y., Vaidya, N., Sha, L.: IEEE

802.11WLAN for “Medical-grade QoS”. In: WiMD’09, New

Orleans, Louisiana, USA, pp. 3–8, May 2011

5 10 15 20 25 30 35 40 45

100

120

Number of stations

AC ( 0 ) Average delay (ms)

IEEE 802.11e without medical ACs.

IEEE 802.11e with medical ACs.

Proposed adaptive EDCA with medical ACs.

Fig. 2 AC(0) average delay versus number of stations

510 15 20 25 30 35 40 45

100

120

140

160

180

200

Number of stat ions

AC(1) Average delay (ms)

IEEE 802.11e without m edical A Cs.

IEEE 802.11e with medic al ACs .

Proposed adapt ive EDCA with medi cal A Cs.

Fig. 3 Ac(1) average delay versus number of stations

510 15 20 25 30 35 40 45

100

200

300

400

500

600

700

800

900

1000

Number of stat ions

Collision rate (collisions/s)

IEEE 802. 11e without m edical A Cs.

IEEE 802.11e wit h medical ACs.

Proposed adapt ive EDCA with medic al ACs .

Fig. 4 Collision rate versus number of stations

5 10 15 20 25 30 35 40 45

Number of stations

Gain on goodput (%)

Proposed adaptive EDCA with medical ACs.

IEEE 802.11e with medical ACs

Fig. 5 Gain of goodput versus number of stations

234 L. A. Al-Tarawneh

2. Zvikhachevskaya, A., Markarian, G., Mihaylova, L.: Quality of

service consideration for the wireless telemedicine and e-health

services. In: Proceedings of the IEEE Wireless Communications

and Networking Conference, Budapst, Hungary, pp. 5–8, Apr 2009

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ing over wires in healthcare environments: beneﬁts and challenges.

IEEE Commun. Mag., pp. 56–63 (Apr 2006)

4. MD PnP Program—Medical Device “Plug-and- Play”Interoper-

ability Program. http://mdpnp.org/Home_Page.php

5. Baker, S., Hoglund, D.: Medical-grade, mission-Critical wireless

networks. IEEE Eng. Med. Biol. Mag. 27(2), 86–95 (Mar/Apr

2008)

6. Part II: Wireless Medium Access Control (MAC) and Physical

Layer speciﬁcations: Medium Access Control (MAC) Enhance-

ments for QoS, IEEE 802.11e/Draft D5.0, July 2003

7. Mangold, S., Choi, S., May, P., Klein, O., Hiertz, G., Stibor, L.:

IEEE 802.11e wireless LAN for QoS. In: Proceedings of European

Wireless ’02, Florence, Italy, Feb 2002

8. Gannoune, L., Robert, S.: Dynamic tuning of the contention

window minimum (CW

min

) for enhanced service differentiation in

IEEE. 802.11 wireless AD-HOC networks. In: PIMRC 2004, 15th

IEEE International Conference, vol. 1, 5–8 Sept 2014

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IEEE802.11. In Proceeding Joint Conference of the IEEE Com-

puter and Communications Societies (INFOCOM), vol. 1,

pp. 209–218 (2001)

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service differentiation for QoS provisioning in IEEE 802.11

wireless ad hoc networks. In: PE-WASUN, pp. 39–45 (2004)

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802.11 performance with slow CW decrease. IEEE 802.11e

working group document 802.11–02/674 ro (2002)

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Retrieved 20 Aug 2006

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AEDCF/, last accessed 15 Apr 2017

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802.11e MAC protocol. In: Proceeding of the 4th WSEAS

Cambridge, Harverd, USA, pp 54–59, 27–29 Jan 2010

Medical Grade QoS Improvement Using IEEE802.11e WLAN Protocol 235

Memristor-Based Tunable Analog Filter

for Physiological Signal Acquisition

for Electrooculography

Juhi Faridi and Mohd. Samar Ansari

Abstract

In this paper we demonstrate that Memristors can be used

in conjunction with CMOS to implement a

continuous-time tunable analog bandpass ﬁlter for use

in the area of biomedical signal acquisition. The idea here

is to implement a single band pass ﬁlter which can

provide frequency tuning between EEG, EOG and ECG

signals. Frequency tuning is achieved by varying the

resistance of the Memristor (Memristance). The proposed

circuit promises lower power dissipation and smaller-

sized implementations than CMOS counterparts. This

circuit is capable of ﬁltering out biomedical signals

(speciﬁcally Electrooculography (EOG) signals) and the

same is demonstrated for the frequency range of 6–16 Hz.

The power consumption of the band pass ﬁlter designed

was found to be 127 nW at 0.25 V supply. The HSPICE

simulation results were found in accordance to the

qualitative discussion.

Keywords

Memristor Bandpass ﬁlter Electrooculography

1 Introduction

The idea of combining the design and problem solving skills

of engineering with medical/biological sciences for

health-care purposes has led to the emergence of the (rela-

tively) new ﬁeld of research known as the biomedical engi-

neering. Most of the work in this ﬁeld consists of research

and development of bio-compatible prostheses, various

diagnostic and/or therapeutic medical devices ranging from

clinical equipment to ultra-miniaturized implants, resonance

imaging and tomography set-ups etc. Almost all of the above

mentioned techniques and equipment work on the fact that a

human body constantly communicates information about its

health, and this data can be captured and used through

physiological-signal acquisition instruments that can measure

heart rate, blood pressure, brain state, eye movements, heart

activity etc. These biomedical indicators are very low voltage

and low frequency signals which need to be suitably pro-

cessed before recording and monitoring.

Processing of such biomedical signal involves the anal-

ysis of signal measurements to provide useful information

upon which clinicians can make decisions. Technological

advancements have led to miniaturization of monitoring

devices and power sources opening up a whole new world of

possibilities and innovations. An approach in this direction is

the employment of wearable and implantable technologies

which sense parameters of various diseases or disorders and

are capable to transfer data to a remote center; direct the

patient to take a speciﬁcation; or automatically perform a

function based on the sensor reading. The idea of wearable

and implantable electronics on human body poses restriction

on the power consumption and size, and demands efﬁcient

operations at reduced power supply voltages. The major

concerns of currently active research on such devices and

instruments are therefore: reducing the size; lowering the

power consumption; and to make the instruments measure

the minutest potential difference. This is where the new

device Memristor is expected to enable the chips to be

smaller and better, because it is smaller in size (as compared

to an on-chip resistor, or even transistor-based resistance

emulators); retains memory; and is two orders of magnitude

more efﬁcient from power perspective as compared to tra-

ditional resistor technology.

A typical block diagram of a biomedical signal process-

ing unit is shown in Fig. 1where the band-pass ﬁlter

(BPF) forms an important block. In this paper the idea is

move the bandpass ﬁlter from the domain of discrete time

ﬁltering to the analog signal processing domain, and

J. Faridi (&)Mohd. S. Ansari (&)

Department of Electronics Engineering, Aligarh Muslim

University, Aligarh, India

e-mail: faridij.262@gmail.com

Mohd. S. Ansari

e-mail: mdsamar@gmail.com

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_27

237

thereafter to implement a single tunable band pass ﬁlter

which can select different frequencies corresponding to

various physiological signal types.

This paper includes a brief introduction in Sect. 1

explaining the need and advantages of incorporating Mem-

ristors with typical transistors in analog front-end design to

obtain the desired beneﬁts. Section 2brieﬂy reviews the

literature presented on Memristor and their rapid rise to

importance in the ﬁeld of biomedical engineering. Section 3

includes an overview of a previously presented work of

which this paper is an improved version with qualitative

discussion on how the frequency tunablity is much more

advantageous than the gain tunablity offered in the reference

paper. Section 4includes the HSPICE simulation results for

Memristance programming and frequency tunable bandpass

ﬁlter proposed in this work. Section 5concludes the paper

by presenting summary and concluding remarks.

2 Existing Works

In 1971 [1] came out with the seminal paper titled ‘Mem-

ristor—The Missing Circuit Element’in which he proposed

a new two-terminal circuit element-called the Memristor

characterized by a relationship between the charge and ﬂux

linkage. He introduced it as the fourth basic circuit element

(the other three being R, L and C). It is to be noted that a

physical Memristor device was not feasible at that time, and

that became a reality later in 2008 when [2] reported an

actual working prototype in ‘The Missing Memristor Found’

where they showed, using a simple analytical example, that

Memristance arises naturally in nanoscale systems in which

solid-state electronic and ionic transport were coupled under

an external bias voltage. These results served as the foun-

dation for understanding a wide range of hysteresis

exhibiting current-voltage behavior observed in many

nanoscale electronic devices.

After the physical Memristor was made realizable in

2008, a signiﬁcant quantum of research work in this ﬁeld

was carried out including the Memristor modeling and

implementation of digital and analog circuits thereby

reducing the complexity of the circuits. This was possible

because the Memristor was supposed to have a striking

feature of memory as it was capable of remembering the

amount of current passed through it. Various Memristor

models were also put forward to enable researchers to design

simple and efﬁcient circuits. In 2010, [3] presented a SPICE

model for the Memristor which was fabricated at HP Labs in

2008 and validated it by simulating simple circuits. The

proposed model opened avenues to design and simulate

Memristor circuits using SPICE. In the same year, [4] came

out with a new simulation program with integrated circuit

emphasis macromodel of the physically implemented

Memristor. It proved to be a powerful tool for engineers to

design and experiment new circuits with Memristors. In

2013, [5] presented mechanisms for reliable SPICE simu-

lations of Memristors, Memcapacitors and Meminductors

wherein they proposed a collection of models of different

memory circuit elements and provided a methodology for

their accurate and reliable modeling in SPICE. To aid the

aspiring researchers in this ﬁeld, the authors were generous

enough to provide netlists for these models in various pop-

ular SPICE versions (PSpice, LTspice, HSpice).

While Memristor models were being developed as soon

as its physical implementation came into existence, another

dimension of research progressed to practically implement

the Memristor in analog and digital domains using existing

ICs. The ﬁrst approach in this direction was in 2010 when

[6] presented a practical approach to obtain programmable

analog circuits with Memristors. The approach was to apply

low voltages to Memristors during their actual operation as

analog circuit elements and signiﬁcantly higher program-

ming voltages to set/alter the Memristor’s states. They

demonstrated that the state of Memristors did not change

during analog mode of operation provided all the signal

levels were kept much lower than the programming voltage

levels. A year later, in 2011 [7] presented various Memristor

applications for programmable analog ICs. A ﬁne-resolution

programmable resistance was achieved by varying the

amount of ﬂux across Memristors. Resistance programming

Fig. 1 Typical physiological

signal acquisition and processing

ﬂow

238 J. Faridi and Mohd. S. Ansari

was achieved by controlling the input pulse width and its

frequency. A Memristor was subsequently designed for a

pulse-programmable mid-band differential gain ampliﬁer

with high resolution.

A research contribution demonstrating the Memristor

characteristics and Memristance variation with frequency

was presented by [8] in 2012, wherein they presented the

idea of Memristor resistance modulation for analog appli-

cations. It was shown that the linear resistance can be ran-

domly programmed with accuracy and reproducibility.

Analog circuits of tunable memristive low-pass and

high-pass ﬁlters demonstrated frequency tuning by resis-

tance modulation.

As the research progressed on Memristor to implement

analog ﬁlters, their application in the ﬁeld of biomedical

signal acquisition and conditioning came into existence.

A major step in this direction was in 2014 when [9] pre-

sented analytical and dynamical models for a

Memristor-based high-pass ﬁlter and ampliﬁer. In the same

year, the same authors also presented their work on fre-

quency and time domain characteristics of a Memristor-

based continuous-time low-pass and high-pass ﬁlters [10].

More recently, [11] put forward an ultra-low-voltage

ultra-low-power Memristor-based band-pass ﬁlter and its

application to EEG signal acquisition. Several analog

applications of Memristor, its SPICE macro-models and

`Memristor Emulators’with Memristor-like behavior were

presented. This paper was an extended version of the study

where the design of an ultra-low-voltage, ultra-low-power

DTMOS-based (emulated) Memristor was presented espe-

cially for the Memristor based low frequency biomedical and

chaotic applications, which was then used in a second-order

Sallen-Key band-pass ﬁlter for EEG data processing.

3 Memristor-Based Continuous-Time Analog

Filter

The band pass ﬁlter forms a basic building block of a

biomedical signal processing system as shown in Fig. 1.

This section includes: (i) a brief overview of the ﬁlter

topology used (Sallen-Key); (ii) a discussion on the previ-

ously published works on this topology, and how the

existing circuits offer limited advantage; and (iii) the pro-

posed band-pass ﬁlter circuit which can be employed to

select pertinent frequencies for different types of physio-

logical signals.

3.1 Traditional Sallen-Key Band-Pass Filter

A conventional Sallen-key band-pass ﬁlter is shown in

Fig. 2. The transfer function for such a second-order band-

pass ﬁlter can be expressed as

HðsÞ¼

R1C1ð1þR4

R5Þs

s2þsð1

R1C1þ1

R3C1þ1

R3C2R4

R2R5C1Þþ R1þR2

R1R2R3C1C2

ð1Þ

Further, the gain can be expressed as

H0¼K¼1þR4

ð2Þ

The center frequency (x

) and the quality factor (Q) are

given in (3) and (4) respectively.

x0¼2pf0¼ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ

R1þR2

R1R2R3C1C2

rð3Þ

Q¼ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ

R1þR2

R1R2R3C1C2

R1C1þ1

R3C1þ1

R3C2R4

R2R5C1

ð4Þ

From (2) through (4), it is evident that there is no tun-

ablity in the circuit of Fig. 2. To obtain electronic tuning of

one or more ﬁlter parameters, some modiﬁcations/additions

are required in the circuit.

3.2 An Existing Sallen-Key BPF with Gain

Tunablity

As discussed in the previous section, Yener et al. proposed a

Memristor-based BPF, wherein the gain was made tunable

by replacing the resistor R5 in Fig. 2with a Memristor as

shown in Fig. 3, and demonstrated that this resulted in an

Fig. 2 Traditional Sallen-Key band pass ﬁlter

Memristor-Based Tunable Analog Filter for Physiological Signal …239

electronic control over gain as becomes evident from (5)

[11].

H0¼K¼1þR4

MqðÞ ð5Þ

However as was also mentioned in the previous section,

having the gain controlled electronically by varying the

Memristance is not of signiﬁcance, as the signal level may

be ampliﬁed at several other points in the block diagram of

Fig. 1, if so required. The capability of tuning the center

frequency of the band-pass ﬁlter appears to be more

advantageous in the sense that the same ﬁlter circuit could

then be used for acquisition of different physiological

signals.

3.3 Proposed Memristor-Based Sallen-Key BPF

with Electronic Frequency Tuning

The proposed Memristor-based circuit for a continuous-time

analog band-pass ﬁlter with electronic frequency control is

presented in Fig. 4. A comparison between the circuits of

Figs. 2and 4leads to the fact that for the latter circuit, the

center frequency of the BPF would now be governed by the

Memristance M(q) instead of the resistance R3 [with the

dependence on all other passive components remaining the

same as in (3)]. Hence, the center frequency of the proposed

BPF can now be given by (6). The expression for the quality

factor for the proposed ﬁlter is now given by (7). The

expression for Ho remains the same as before i.e. as given by

(2).

x0¼2pf0¼ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ

R1þR2

R1R2MqðÞC1C2

sð6Þ

Q¼ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ

R1þR2

R1R2MqðÞC1C2

R1C1þ1

MqðÞC1þ1

MqðÞC2R4

R2R5C1

ð7Þ

It can be observed from (6) that in order to tune the center

frequency of the proposed ﬁlter, the Memristance M(q)

needs to be ﬁrst set to an appropriate value using the

so-called programming voltage signal. Thereafter, the input

signal (to be ﬁltered) may be applied at the input terminal of

the circuit of Fig. 4. It is assumed that the input signal

amplitude is several orders of magnitude smaller than the

programming voltage, and therefore the value of the Mem-

ristance M(q) remains unaltered on the application of the

input signal.

4 Simulation Results

HSPICE simulations have been performed to get a perfor-

mance evaluation of the proposed BPF of Fig. 4. 0.18 lm

TSMC models were utilized to implement the same

sub-threshold DTMOS operational ampliﬁer which was used

in [11]. Variable Memristance M(q) was obtained by varying

the amplitude of the programming voltage applied across the

Memristor. The values of expected and obtained ON resis-

tances after programming the Memristor are listed in

Table 1. The average percentage error in Memristance

variation was found to be 0.04%.

The values of resistances and capacitances used during

simulations were: R1 = 17:5 kX; R2 = 12.4 kX;

R5 = 7.2 kX; C1 = 2.2 lF; C2 = 2.2 lF. The Spice model

for Memristor put forward by [5] was used. Power supplies

were kept at 0.25 V.

The feature of electronic tuning of the center frequency of

the proposed BPF was further tested using the HSPICE

simulations. Table 2lists the pass-bands obtained for the

circuit of Fig. 4with the Memristance M(q) set to different

values as mentioned in the table. The results of center fre-

quency tuning simulations are also presented in Fig. 4. With

a judicious selection of the Memristance value, the center

frequency may be set as per the requirement of the physio-

logical signal to be acquired. The estimated power con-

sumption of the circuit as returned by HSPICE simulation

software was approximately 127 nW.

Fig. 3 Memristor based Sallen-Key band pass ﬁlter for gain control

Fig. 4 Proposed Memristor based Sallen-Key band-pass ﬁlter with

electronic frequency tuning

240 J. Faridi and Mohd. S. Ansari

Fig. 5 Simulation results for frequency tuning of the proposed ﬁlter

Memristor-Based Tunable Analog Filter for Physiological Signal …241

5 Conclusion

In this paper, we present a frequency tunable band-pass ﬁlter

capable of selecting the biomedical signals which are low

voltages and low frequency signals. The proposed ﬁlter

designed is simulated using HSPICE wherein 0.18 lm

CMOS TSMC models were used during simulations along

with the Biolek Spice model for Memristors. The designed

circuit is found to have a pass-band range of 6–16 Hz

(Fig. 5) which can be employed in the ﬁltering of EOG

signals. The total power consumed was found to be 127 nW.

Hence the designed circuit can efﬁciently be used in

biomedical signal ﬁltering due to low voltage low frequency

operation with low power consumption and small size.

References

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missing memristor found. Nature 453(7191), 80–83 (2008)

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designing memristor circuits. In: 2010 53rd IEEE International

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636 (2010)

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Table 1 Actual and measured

values of resistances for the

Memristor model

expected (kX)R

measured (kX) Percentage error (%)

3 3.046 1.53

4 4.010 0.25

5 5.072 1.44

6 6.029 0.48

7 7.013 0.18

8 8.002 0.02

9 9.000 0.00

10 9.990 −0.10

20 20.020 0.10

24 24.001 0.0004

Table 2 Frequency tuning for

different Memristance Memristance (kX) Pass band (Hz) Central frequency (Hz) Peak gain (dB)

24 3.4–8.6 6.02 8.9

14.6 5.8–8.2 7.00 17.4

10 10.4–6.8 8.07 12.5

9 6.5–12.1 9.03 8.9

8 6.5–13.6 10.07 6.4

7 6.3–15.8 11.08 3.4

6 6.1–19.2 12.09 0.9

242 J. Faridi and Mohd. S. Ansari

Migration from the Arab Spring Countries

to Europe: Causes and Consequences

Mohammed T. Bani Salameh

Abstract

This study aims to discuss the issues of migration from

the Arab Spring countries to the European countries in

terms of its causes and consequences. The study

concluded that migration from the Arab Spring countries

refers to what can be called as the factors of expulsion in

the countries of the Arab Spring and the factors of

attraction in the receiving countries of migrants, these

motives or factors can be classiﬁed as political, economic

and social factors. Furthermore, the revolutions of the

Arab Spring have created a disastrous situation for

migrants, both within their own countries and in the host

countries, especially in light of the increasing number of

migrants and the negative effects of their migration.

Migration has become a challenge faced by both export-

ing and receiving countries.

Keywords

Migration Arab Spring Europe

1 Introduction

The Arab Spring revolutions have brought about major

changes in the Arab world and its neighboring countries, and

more changes will occur in the coming years. The revolu-

tions have generally been followed by years, perhaps even

decades, of instability, resulting in deep and comprehensive

changes.

The changes taking place in the Arab world have sig-

niﬁcantly affected migration, asylum seekers, and people’s

movement, as well as the policies pursued by countries on

migration-related issues. If these revolutions succeed,

democratic political regimes that respond to the people’s

demands for freedom and restore citizens’conﬁdence in the

state on an economic level will be established. Poverty and

unemployment rates will decline, and there will be economic

growth rates reﬂected in the increase in citizens’quality of

life. These improvements will affect the emigration rates,

which are expected to decline in view of the stability of the

situation in the Arab Spring countries, and perhaps this will

lead to reverse migration; that is, if the situation stabilizes

and political freedoms and economic security prevail, the

migrants will return to their countries of origin.

The Arab Spring revolutions which raised European fears

of large waves of unwanted immigration have prompted

European countries to strengthen their border control efforts

to address the risks of illegal immigration.

In this study, we try to identify the causes and conse-

quences of immigration from Arab Spring countries.

2 Literature Review

A vast body of literature has been written on the Arab

migration to Europe. The task of exploring this tremendous

body of literature is further complicated by the different

arguments presented by the authors. However, to keep the

review to a compact size, the researcher reviewed some

exigent literature that shed light on the subject. Among the

major studies that address migration ﬂows to Europe and

Europe’s response are the following.

2.1 Mohamed Mutawea Study (2015), Entitled:

European Union and Migration Issues:

Major Problems, Strategies

and Developments [1]

This study aimed at identifying the characteristics and ori-

entations of European policy on issues of migration and

political asylum as they became a pressing issue on the

European agenda after the Arab Spring revolutions, which

M. T. Bani Salameh (&)

Yarmouk University, Irbid, 21163, Jordan

e-mail: mohammedtorki@yahoo.com

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_28

243

led to an increase in the number of immigrants to Europe

from the countries of the Middle East and Africa in an

unprecedented manner in European history, prompting most

EU leaders to consider a strategic move aimed at countering

this unprecedented wave of immigration.

One of the ﬁndings of the study is that European policies

in the ﬁeld of immigration and asylum are not uniform and

rely heavily on the national policies of each European

country in the ﬁrst place. It can be said that Europe is

divided into two camps: Central and North Europe, in

exchange for the camp countries in the South, as the camp of

the South states that it is on the front line directly with the

issues of migration and bear the greatest burden in dealing

with them, and calls for redistribution of the burden of this

issue on the rest of the EU as a European problem, not an

internal issue, while Central and Northern Europe countries

consider the issue of immigration essentially as an internal

issue and they receive a great deal of illegal immigration and

asylum applications.

The study concluded that the Arab youth did not reap the

fruits of their revolutions and aspirations, but broke the

barriers of fear not only from dictatorships, but also from the

sea, so that he crossed the sea in dilapidated boats in order to

realize his dreams on the other side of the sea, even if his

dreams led to drowning.

2.2 Ben Bouaziza Esté Study (2015), Entitled: EU

Policy in the Face of Illegal Migration [2]

The study aimed to identify the policy adopted by the EU to

deal with the problems of illegal immigration, which has

become a concern for the EU countries because of the

problems it poses from various types, especially the potential

relationship between terrorism and migrants.

The study examined the motives and mechanisms of the

EU in the ﬁght against illegal immigration. The study

reached a number of results, the most prominent of which is

the phenomenon of illegal immigration that has been linked

to European security by considering it a threat. European

countries are seeking to stop the increasing tide of illegal

immigrants. The security approach is the method adopted by

the EU countries in dealing with the issue of illegal immi-

gration. Security was and remains the subject that is included

every time in the policy of all the EU countries and seeks to

achieve it, but to no avail. This is due to several reasons

including most of the agreements relating to the regulation of

migration to the countries located on the two shores of the

Mediterranean, and did not move to all EU countries, and

that the support provided under these agreements is limited

and does not achieve the desired goals and that the majority

of projects that were launched to combat illegal migration

based on security solutions, were impractical.

2.3 James Hollifield Study (2014) Entitled,

Controlling Immigration: A Global

Perspective. Stanford University Press,

3 Edition [3]

This study aimed at providing a systematic, comparative

assessment of the efforts of a selection of major countries,

including the U.S., to deal with immigration and immigrant

issues—paying particular attention to the ever-widening gap

between their migration policy goals and outcomes.

Retaining its comprehensive coverage of nations built by

immigrants and those with a more recent history of immi-

gration, the study pays particular attention to the tensions

created by post-colonial immigration, and explores how

countries have attempted to control the entry and employ-

ment of legal and illegal Third World immigrants, how they

cope with the social and economic integration of these new

waves of immigrants, and how they deal with forced

migration. The core argument of this work is that immi-

gration policies are converging globally, but also failing to

achieve their goals.

2.4 Elena Ambrosetti and Angela Paparazzo

Study (2013) Entitled, Which Future

for Migration in Europe? A Brief Analysis

of the EU Migration Policies

in the Mediterranean [4]

The study aimed at identifying the EU policies on migration

before and after the events of the Arab Spring in order to

assess these policies and to determine their success in

reducing the issue of illegal migration. The study paid spe-

cial attention to Italy as one of the most receiving countries

of the migratory waves of the southern Mediterranean.

One of the main ﬁndings of the study was that the policies

of restricting or combating illegal migration were not

effective in preventing waves of migrants from the southern

Mediterranean towards Europe, and therefore, doubts are

raised about these policies, especially in light of the presence

of trans-boundary societies and the role of migrants who

succeed in reaching Europe in facilitating the arrival of more

migrants as well as networks of human trafﬁcking and in

effective EU sanctions against illegal immigrants.

Overall, the study considers that the sterile policies pur-

sued by the EU countries, especially Italy before and after

the Arab Spring revolutions have not stopped migration.

244 M. T. Bani Salameh

On the contrary, these measures seem to have had a positive

impact in the sense that they encouraged more immigrants to

board the sea and migrate to Europe.

2.5 Philippe Forges and Christine Fandrich

Study (2012) Entitled, Migration After

the Arab Spring [5]

This study aimed to provide a statistical analysis of migra-

tion before and after the Arab Spring revolutions in the

countries of the Southern Mediterranean, as well as review

and evaluate the Arab and European policies on the issue of

migration. The study relied on statistical information and

data collected directly from the specialized ofﬁces of the EU

Member States, based on surveys conducted in a number of

Arab countries such as Tunisia, Egypt, Libya and Morocco.

One of the fundamental discoveries of the study was that:

The revolution in Tunisia did not lead to a signiﬁcant

increase in the number of Tunisian immigrants to Europe,

but the rates of migration from Tunisia to Europe remained

at the same rates before the revolution. In contrast to Tunisia,

the Libyan revolution and the Syrian revolution led to a huge

increase in the number of immigrants from Libya and Syria

to Europe. The Libyan revolution and the Syrian revolution

led to the emergence of two of the largest refugee crises in

the European neighborhood. The European reaction to these

crises was the launching of a series of regional protectionist

programs to absorb the refugees and provide them with

protection in their home areas and in neighboring countries,

to prepare for their return home after the war and thus pre-

vent their migration to Europe, The countries of the world

and the international organizations have participated in these

efforts as well as the Arab countries hosting the refugees.

European countries also seek to ﬁnance projects and reform

initiatives in the southern Mediterranean countries to estab-

lish democratic political systems capable of managing the

state in a new way that prevents the conditions of conﬂict

and violence that ultimately lead to migration.

2.6 Michael Bommes, Heinz Fassman

and Wiebke Sieves Study (2012) Entitled,

Migration from the Middle East and North

Africa to Europe [6]

The study aimed to analyze the phenomenon of migration

from North Africa and the Middle East to Europe by reviewing

the history of migration, its models and its effects on European

countries, as well as the European policies on the issue of

immigration and the scenarios and future of immigration to

Europe in light of the available ﬁgures on this subject.

The main ﬁndings of the study was that, the main factors

driving for migration in the countries of North Africa and the

Middle East are the increase in the population of North

Africa and the Middle East, with limited employment

opportunities in the light of the slow economic growth.

Thereafter, the events of the Arab Spring and the resulting

violence and instability led to an increase in the pace of

migration to Europe.

And the effects of migration on the countries sending the

refugees as many of the countries of North Africa and the

Middle East lose as a result of the migration of this trained

manpower in economic terms. There are also the social

consequences of the high frequency of migration from these

countries to Europe, especially since the vast majority of

migrants are young males.

With regard to the European position on migration, the

study pointed out that EU countries see illegal immigration

from the Middle East and North Africa as a major threat to

European security. EU countries have therefore sought to

stop illegal migration ﬂows using political, economic and

security mechanisms.

2.7 Joel Peters Study (2012) Entitled,

the European Union and the Arab Spring:

Promoting Democracy and Human Rights

in the Middle East. Lexington Books [7]

The study aimed to analyze the response of the European

Union to recent uprisings in the Middle East. The past years

had witnessed a wave of popular uprisings across North

Africa and the Middle East which the Western media dubbed

“the Arab Spring.”Demanding greater freedoms, political

reform, and human rights, the protesters swept away many

of the region’s authoritarian autocratic regimes. The events

of the Arab Spring have been truly historic. They led to

profound changes in the domestic order of Middle Eastern

states and societies and impacted the international politics of

the region. Additionally, these events necessitate a com-

prehensive reappraisal by the United States and most notably

by the EU in their relations with the states and peoples of the

region.

This collection investigates three central questions: What

role did the European Union play in promoting democracy

and human rights in the countries of North Africa and the

Middle East? How did the EU respond to the uprisings of the

Arab street? What challenges is Europe now facing in its

relations with the region?

Migration from the Arab Spring Countries to Europe …245

2.8 Andrew Geddes Study (2008) Entitled,

Immigration and European Integration:

Towards Fortress Europe, Manchester

University Press [8]

This study aims at providing comprehensive analysis of the

EU’s free movement framework, of the development of

co-operation on immigration and asylum policy, of the

mobilisation by groups seeking to represent migrant’s

interests in EU decision-making, the interface between

migration, welfare and the EU’s social dimension, and the

impact of enlargement on migration and asylum.

Geddes addresses three key questions that underpin EU

responses to migration policy. First, what role does the EU

play in the regulation of migration? Second, how and why

have EU measures developed to promote the integration of

migrants and their descendants? Third, what impact do EU

measures on migration and asylum have on new member

states and non member states? Migration is at the heart of the

contemporary European Union.

The updated edition covers important recent develop-

ments, addressing new migration ﬂows and the external

dimension of EU action on migration and asylum and

placing in all these in the context of a ‘wider’Europe.

This paper build upon the previous literature in order to

better understand the Arab Spring migration to Europe as a

complex social fact which brings into play demographic,

economic, political, sociological, historical and other factors.

•Mohamed Mutawa, The European Union and Migration

Issues: Major Problems, Strategies and Developments,

(In Arabic). The Arab Future, Issue: 431, Center for Arab

Unity Studies, Beirut, Lebanon, 2015.

3 The Causes and Consequences of Arab

Spring Migration to Europe

Migration from the Arab Spring countries refers to what can

be called the factors of expulsion in the countries of the Arab

Spring and the factors of attraction in the receiving countries

of migrants, these motives or factors can be classiﬁed to be

political, economic and social factors as follows.

3.1 Political Factors

Tunisia, Egypt, Libya, Syria and Yemen have witnessed a

range of political conditions over the past few years as a

result of the accumulation of miserable situation of political

and civil rights, which led to a state of popular explosion that

began with peaceful protests and then developed into chaos,

persecution, civil war, instability and widespread violence.

These circumstances led to sudden large waves of migration,

including temporary displacement of citizens inside and

outside their countries. The effects of the conﬂicts and unrest

experienced by the Arab spring countries not only affected

the citizens of these countries but also affected the interna-

tional migrants who live and work in these countries at the

start of the unrest, especially Libya and Yemen [9].

The uprisings in Syria and Libya have had a profound

impact on migration patterns in the region. The conﬂict in

Libya has led to the displacement of large numbers of

migrant workers, Libyan citizens, and refugees to neigh-

boring countries. In late 2011, 422,000 Libyans left Libya,

most of them went to Tunisia, Algeria, Egypt and Chad [10].

As the violence escalates and public order collapses in 2014,

many migrants have left again, with some 400,000 displaced

within Libya.

In the midst of this chaos, the waves of mixed migration

to Europe increased through Libya, the Mediterranean, and

in 2014 there were about 140,000 refugees and immigrants

[11].

The conﬂict in Syria has had a signiﬁcant impact, and its

repercussions have spread to all neighboring countries

(Jordan, Lebanon, Turkey, Iraq), as well as to Arab coun-

tries, Europe, South America and the United States. About

one third of Syria’s citizens have lost their homes, and over

two million have found refuge in neighboring countries (of

these, half are under 18 years old). The rest of the displaced

population (estimated at six million) is still in Syria. It is

difﬁcult to verify the numbers, but the trend is clear.

Approximately 700,000 Syrian refugees are in Turkey, about

200,000 of them in refugee camps near the border, and it was

reported recently that the Turkish government has begun to

construct a fence along the border in order to prevent the

arrival of more refugees. A quarter of million Syrians,

mostly Kurds, have ﬂed to Iraq, a country that itself suffers

from chronic political and security instability. Egypt is host

to about 125,000 Syrian refugees, in addition to tens of

thousands of refugees from Libya and Sudan. Some dis-

placed Iraqi and Palestinian refugees in Syria had been

displaced again [12].

Yemen was before the Arab spring revolutions and con-

tinued as a sending, receiving and transit country. It is

sometimes difﬁcult to distinguish between migrants and

refugees who take Yemen as a ﬁnal destination or transit

point to continue their journey to Saudi Arabia. The con-

tinued civil war in Yemen has caused the displacement of

millions, and the continuation and complexity of the conﬂict,

has made it difﬁcult to obtain accurate and comprehensive

statistics on the Yemeni situation [13].

Although, the Tunisian and Egyptian revolutions were

less violent and bloody than the rest of the Arab Spring, the

stumbling of the democratic process, especially in Egypt

246 M. T. Bani Salameh

after the military coup, led to the migration of a large pro-

portion of Egyptian and Tunisians citizens to neighboring

countries that are most democratic, secure and stable.

3.2 Economic Factors

The economic conditions in the countries of the Arab Spring

are disappointing. The levels of poverty and unemployment

are high. The per capita income of the gross national product

has not increased during the past years; most economic

planning programs have failed, the problem of external

indebtedness has worsened, corruption has increased, all

economic structural adjustment programs which were fol-

lowed by debtor countries in cooperation with the World

Bank and the International Monetary Fund had failed. On

the contrary, these programs had increased poverty and

unemployment rates and have increased the gap between the

rich and the poor.

If the waves of migration in Tunisia, Egypt, Libya, Syria

and Yemen are the primary motive for escaping from con-

ﬂict, widespread violence and persecution, escape from

economic hardship and seeking better livelihoods and

opportunities for life abroad is one of the main reasons why

many people ﬂee or emigrate [14].

If the economic expulsion factors in the Arab Spring

countries are a cause of migration, in addition, we ﬁnd

economic attractors in the receiving countries, in which their

economy helps to receive immigrants, especially European

countries where immigrants engage in certain occupations

such as agriculture, construction, cleaning and other pro-

fessions or sectors that domestic workers refuse and migrant

workers accept. These employers often warn that without

access to cheap foreign labor, the costs of producing their

products will rise and they may be forced to close their

businesses. Foreign labor is part of the economics of

industrial democracies, and this explains the continued ﬂow

of migrants to Europe, despite stringent restrictions and high

unemployment rates in the receiving countries [15].

Economic factors are linked to the unbalanced population

growth factor in developing countries, including the Arab

Spring and the developed countries. The population in

developing countries is growing faster than in developed

countries. In Germany, for example, the program of

importing migrant workers began in the mid-1960s to

expand the industry. When it decided to stop importing labor

in 1973, the migration stream was supposed to stop, but that

did not happen because many years of attractions have

increased the importance of foreign labor, and German

businessmen are accustomed to the presence of foreign

labor, continued to use these labor and thus emigration to

Germany had continued [16].

With regard to migration from the Arab Spring countries,

statistics indicate that large numbers of Egyptians, Tuni-

sians, Libyans and Syrians have been able to get employ-

ment in the countries they went to. Several sectors such as

agriculture, construction, restaurants, hotel service and home

care for the sick and the elderly are beneﬁting from the

activity of these immigrants and led employers to tolerate

their informal residence. Furthermore, they do not pay taxes,

do not receive their civil rights, face difﬁcult working con-

ditions due to the nature of their illegal residence, and are

subjected to many violations, pressures and exploitation

[17].

3.3 Social Factor

Social factors are closely linked to economic factors. Pov-

erty, hunger, unemployment and low standards of living,

despite being an economic factor, have social and psycho-

logical repercussions in the society in which they arise.

In the countries of the Arab Spring in general, the citizen

suffers from an unprecedented level of deterioration of social,

economic life, social exclusion, alienation and social

inequality, poverty is one of the secretions of chaos and civil

war experienced by these countries, and the resulted in mal-

nutrition and other problems. These factors are repulsive

especially with the presence of other political and economic

factors. These social conditions have led many Syrians,

Egyptians, Libyans, Tunisians and Yemenis to emigrate [18].

Among the social factors that have led many immigrants

from the Arab Spring countries to migrate, is the possibility

to live with relatives in the Diaspora large numbers of

immigrants from Arab Spring countries have decided to stay

rather than return to their countries with deteriorating

economies and unjust governments. Those who were able to

legalize themselves or get the right to asylum did their best

to obtain entry permits for their wives and children [19].

A signiﬁcant number of migrants from Tunisia, Egypt,

Libya, Yemen and Syria have been able to use family

reuniﬁcation laws in European countries to bring in more

migrants despite the obstacles faced by these communities in

previous countries.

4 The Consequences of Migration

The Arab Spring revolutions in Tunisia, Egypt, Libya,

Yemen and Syria have brought about the largest displace-

ment in the Middle East in recent times. Millions of people

have been compelled to ﬂee their homes as a result of the

armed conﬂict, violence and chaos that followed the Arab

Spring protests.

Migration from the Arab Spring Countries to Europe …247

These migrations have had their effects and repercussions

both on the level of exporting countries and receiving

countries or of migrants themselves, as will be address in the

following section.

4.1 Implications for Arab Spring Countries

The waves of large-scale migration pose great challenges to

the countries of the Arab Spring, especially Egypt, Libya,

Yemen, Syria, and to a lesser extent Tunisia, especially since

these countries have limited capabilities to meet their needs

and ﬁll the shortage due to migration. The situation is

exacerbated by the continuation and complexity of the

conﬂict, especially in Yemen, Syria and Libya and the

prospects for a peaceful solution and the return of the situ-

ation to what it was before the outbreak of revolutions have

diminished [20].

The negative repercussions are intensiﬁed by the lack of

funding especially for the internally displaced, especially in

Syria, Libya and Yemen, where the majority of assistance

goes to those who have refugee status, and the responsibility

for assisting the internally displaced in their own countries.

The migration of millions of Syrians, Yemenis, Libyans and,

to a lesser extent, Egyptians and Tunisians, have created

great implications for their countries especially when spe-

cialists, capitalists and business owners leave in large

numbers whose departure will have serious consequences for

the economy [21].

Even after the return of refugees and migrants, after years

of conﬂict, war and destruction of infrastructure, these

conditions have a signiﬁcant impact. This is evidence in

Libya, Syria and Yemen, where social amenities have

deteriorated and in many cases displaced persons and

migrants were unable to return to their original homes and

found themselves compelled to live in temporary camps or

alleged irregular camps or public buildings, without access

to justice, security, and development.

The sudden return of migrants from crisis-prone countries

may pose major challenges, especially for countries with

large waves of returnees, whose economy relies on remit-

tances from abroad, and when returning migrants require

ﬁnancial, emergency or other humanitarian assistance.

In Egypt, which is the largest recipient of remittances in the

Arab region, hundreds of thousands of migrants working in

Libya have been forced to return to their home countries in

recent years due to violence, prompting the Egyptian gov-

ernment to take the necessary measures to facilitate their

return, despite the economic and social difﬁculties Egypt

faces.

4.2 Effects on Migrants

Migration has many effects on migrants, especially those

forced to leave their homes and internally displaced persons

from the Arab Spring countries that are forced to live in

camps.

Refugees are often characterized by residing in remote

areas with limited natural resources, lack of basic infras-

tructure, poor planning and sometimes even restrictions on

the rights and freedoms of persons.

These conditions can lead to overcrowding and insecurity

within the camps, especially for women and boys, as well as

malnutrition and outbreaks of communicable diseases. In the

months following the establishment of the Za’tari camp in

Jordan, measles, scabies, diarrhea, hepatitis (A) and other

diseases were recorded due to overcrowding and lack of

sanitation facilities. Incidents of harassment and sexual

violence have led to high levels of insecurity, however, the

conditions have improved since then.

The camps may contribute to social tensions, adversely

affecting the local environment through deforestation that

leads to soil erosion, loss of habitats and wildlife, in addi-

tion, it leads to air pollution, water depletion and pollution,

and other energy and transportation problems. The needs and

capacities of refugees and displaced persons are linked to

their vulnerability and their ability to withstand. At the

height of some crises, everyone living close to the scene of

the crisis may face a lot of risk due to the spread of the

repercussions of resource scarcity and chaos. This was the

case in the 2011 famine that unfolds in Somalia and left 3.7

million people in need of humanitarian assistance and in

other cases, the case of internally displaced persons in

Sudan, and Yemen. The extension of the periods of dis-

placement or replication may lead to undermining the ability

of individuals to withstand the repeated risk. The ability to

withstand the repeated risks affected by demographic, social,

and economic characteristics. Some groups are vulnerable

because of their health or age, such as children, the elderly

and persons with disabilities. Some groups have special

needs because of the lack of support systems, such as

women heads of household, ethnic and religious minorities,

the poor and victims of trafﬁcking and, in some cases, the

population is at risk of their legal status, especially those

residing in a particular country as non-regular refugees, such

as those from sub-Saharan Africa in Libya, and other factors

affecting vulnerability are sex abuse and sexual orientation.

Women and girls in conﬂict situations may be at greater risk

of sexual violence, while men and boys are at greater risk of

forced recruitment and joining armed groups, although they

are not immune to sexual violence, and the conditions

248 M. T. Bani Salameh

surrounding crises and displacement, with the collapse of

traditional support structures, the lack of the rule of law and

the resorting of populations to riskier coping strategies and

the use of irregular transport to ensure cross-border and

remittance migration will increases the vulnerability of

refugees, displaced persons and other migrants [22].

As for the effects of immigration on immigrants from the

Arab Spring countries in the countries where they are settled,

especially the European countries, the former countries are

considered by the immigrants from the Arab Spring coun-

tries to be the Promised Land. They are politically and

security ally stable countries and their economic conditions

are excellent compared to their countries of origin. Their

return to their country of origin is very unlikely. However,

this survival has its price as these immigrants suffer ﬁrst

from the so-called cultural shock due to the difference of

language, environment, customs and traditions, and even

many customs and traditions of those immigrants are com-

pletely contradictory to what prevails in the new commu-

nities, especially within the social and family issues, and the

role of women and women’s rights. Western societies less

interaction and less cohesiveness makes immigrants dealings

with new communities difﬁcult, and they become trauma-

tized as a result of these differences [23].

The other problem of migrants from the Arab Spring

countries to the European countries is the problem of social

integration. The cultural and historical speciﬁcities of

immigrants from the Arab Spring countries to the new

societies hamper their integration and exacerbate the prob-

lem. These immigrants, even in the case of getting foreign

citizenship, does not change a thing, as they are continue to

be seen as second-class citizens.

When migrants attempt to adhere to their customs and

cultural identities, they face many problems, especially in

raising children and trying to raise them in a way that reﬂects

their culture and identity. Finally, immigrants from Arab

Spring countries face the problem of marrying foreigners

which entails the impossibility of raising children resulting

from this marriage in line with the culture and identity of

migrants [22].

5 Effects on European Countries

The European countries face great challenges as a result of

the inﬂux of large numbers of immigrants from the Arab

Spring countries. These challenges have political, security,

economic, cultural and social repercussions. These reper-

cussions vary according to a range of factors, including the

number of migrants to the population, the wealth of the host

country, the demographic, economic, and social character-

istics of migrants, and measures taken by both ofﬁcial

institutions and civil society organizations to address the

problem of migration from the Arab Spring countries. The

burdens borne by European countries vary according to the

Geographical location of these countries, nations of the

South, such as Italy, Spain, Greece and France. Dealing with

the issue of immigration varies from northern countries such

as Germany, the Netherlands, Denmark, Norway, Sweden

and others, and Britain, which has become outside the

European Union has a totally different position [24]. The

following is a presentation of the main effects of migration

from the Arab Spring countries to Europe.

5.1 Political Impacts

The mass exodus from the Arab Spring countries, whether

those suffering from civil wars such as Libya, Syria and

Yemen, or those suffering from political crises and deterio-

rating economic conditions such as Tunisia and Egypt, has

become a major political challenge to European countries,

resulting in enormous pressures, political divisions, disputes

and disagreements among European countries, on how best

to deal with the problem of migration and work to resolve or

mitigate its consequences, especially the way that some

European countries deal with the problem of migration

considered by other European countries as a means to

stimulate and encourage immigrants to migrate to Europe

[25].

For example, human trafﬁcking gangs are hauling

migrants from Libyan shores by dingy wooden and rubber

boats to trade them towards the Italian shores, where Italian

relief ships are rescuing them and allowing them to enter the

country.

As in the case of Germany, where some European

countries take a lot of drawbacks to Germany in that, it is

more caring and more welcoming to immigrants. Many

European countries considered Italian and German policies

as a sort of behaving recklessly and could seriously damage

the cohesion and unity among European countries.

Europe has been under the pressure of immigration to

forcedly build physical barriers on its national borders now

than during the Cold War. Many European countries are

planning to build border walls and security fences across the

continent after the Berlin Wall was removed and made

tremendous progress on the path of economic and political

integration. The pace of integration has declined, and the

voices calling for withdrawal from the Union have

increased. If Britain is the ﬁrst of these countries, it is

unlikely to be the latter [26].

If the reasons for secession are multiple, security con-

cerns and migration are at the highest priority for secession.

The mass migration of hundreds of thousands of desperate

Migration from the Arab Spring Countries to Europe …249

people ﬂeeing the Arab and Islamic countries, which have

been spared by civil wars, is a continuous migration and

there are no indications of stopping them.

European anti-immigration attitudes, whether or not from

the Arab Spring or the Middle East in general, have revealed

the falsity of the European claims of openness and global-

ization, the opening of borders, the transfer of funds, infor-

mation, ideas and commodities, and human rights and

fundamental freedoms. The advocates of globalization,

freedom and democracy, they themselves are calling for the

ﬁght against immigration on the grounds of national sover-

eignty and national interest. If each State has the right to

protect its national borders and to maintain its security,

stability and interests, sovereignty cannot be divided so that

there is sovereignty against migration, and other sovereignty

with freedom of movement, information, ideas, capital,

goods and others [27].

Among the political implications of migration from the

Arab Spring countries to Europe is the escalation of the

extreme right in European countries, especially in Belgium,

the Netherlands, Spain, France, Italy and Britain, where

there were terrorist attacks in the scene that claimed the lives

of many innocent people. The results of these terrorist acts

was the growing hostility towards Arab and Muslim immi-

grants, linking immigration to extremism, distorting the

image of Arabs and Muslims and portraying them as a threat

to Europe’s security and stability [28].

The anti-immigration process has become a popular

European demand, as it is clear that many Europeans are

turning to anti-immigration political parties or extremist

slogans against foreigners. If these demands may not be met

by moderate political parties and decision-makers in Europe,

so that the process of immigration is adjusted and its

repercussions reduced, the extremist force and racism will

adopt the demands of stopping migration, increasing its

popularity in raising society, and if these parties arrive into

power, it will exercise racist policies that bring to mind the

arrival of Nazi and fascist parties into power before the

Second World War [29].

There is no doubt that the growth of the repercussions of

anti foreigners in general and the Arabs and Muslims

especially in Europe, and the increase in the proportion of

extremist right currents in the decision-making centers and

hence the tightening of migrants exacerbates the serious

political repercussions of the migration problem. The

approach of security in dealing with the problem of migra-

tion, and the justiﬁcation of aggression and racism practiced

against immigrants could lead to more chaos and disruption

of daily life, undermining stability in Europe [30].

5.2 Economic Impacts

There are many negative economic effects of the inﬂux of

immigrants from the Arab Spring countries to Europe. With

the inﬂux of immigrants, the economic burden is increasing

due to increased pressures on housing, education, social

services and employment opportunities, which affects the

political stability and economic situation of European

countries.

The arrival and sheltering of immigrants from the Arab

Spring countries has had enormous ﬁnancial burdens. These

countries have been obliged to secure such basic expenses as

shelter, food, school costs, language learning, etc., as well as

increased security spending to combat migration [31].

European countries suffer not only from migrants who

come from conﬂict zones and who deserve to be granted

asylum but from other types of migrants who come from

safe areas and are called economic migrants seeking greater

wealth and a better standard of living through asylum or

migration. European countries are tougher in dealing with

this segment; however, the issue of return to their countries

of origin is a thorny issue and cost European countries a lot

of effort and expenditures for legal and political reasons [32].

One of the economic implications of the crisis of immi-

grants from the Arab Spring countries to Europe is how the

EU can deal with the fundamental problems in the countries

of migrants, which started the migration crisis in the ﬁrst

place. The handling of the migration crisis requires the EU

countries to provide ﬁnancial, economic and military assis-

tance to these countries. The relationship between migration,

economic conditions are closely linked, so migration has

become a factor of pressure on European countries and push

them to work to ﬁnd economic alternatives to migration such

as easing restrictions on trade and the creation of partner-

ships and assistance for economically distressed countries to

help these countries raise living standards and create job

opportunities in countries exporting migrants. The freedom

of trading of goods and capital is an approved recipe for

limiting migration. Economic development in countries

exporting migrants, including the Arab Spring countries, is

one of the best recipes to reduce the phenomenon of

migration [33].

Among the economic impacts of migration from the Arab

Spring countries to Europe, has been that European countries

have in the past preferred to channel their ﬁnancial and

economic assistance to the countries of Eastern Europe for

cultural reasons at the expense of the countries in the

southern Mediterranean such as Egypt, Tunisia, Algeria,

sub-Saharan countries and others. As the conﬂict in Libya

250 M. T. Bani Salameh

escalates and the deterioration of economic conditions in

Egypt and Tunisia increased, the rates of migration from

former countries to Europe, which forced the European

countries to change their vision so that these countries will

not, directed a large part of their economic assistance to the

southern Mediterranean countries.

Many EU countries have been forced to transfer a large

part of their economic assistance to the southern Mediter-

ranean countries and the Arab Spring countries. These

countries urgently need huge and urgent economic assis-

tance to respond to the needs of citizens, displaced persons

and migrants. This humanitarian assistance requires the joint

efforts of the international community in general, not only

European countries, but the support of rich and remote

countries that are not affected by migration such as Japan,

China and the United States of America whose contribution

is well below the required level. In Lebanon, for example,

the World Food Program (WFP) announced in 2012 that

food vouchers for Syrian refugees would be reduced by half.

In general, the countries hosting refugees as a result of the

Arab Spring revolutions from Turkey, Lebanon and Jordan

to Egypt, Tunisia and Algeria were underfunded, weakening

their ability to withstand the crisis and mitigate its conse-

quences [34].

Despite the various adverse economic impacts of migra-

tion from the Arab Spring countries to Europe, there are

positive impacts on migration. The age structure of the EU

population is changing rapidly. In 2015, one out of every

three Europeans in the labor market is more than 50 years

old, while the number of people between the ages of 20–29

is 20% lower. This means that Europe’s labor force is aging.

Migration is 70% of the population growth in Europe.

However, every retired European person needs the support

of three workers, and if population trends in Europe continue

to be like that, then migration becomes the solution due to

population requirements, and shrinking population and the

aging workforce in Europe solved through migratory ﬂows

that address demographic problems [35].

5.3 Cultural and Social Impacts

The large and unexpected migration from the Arab Spring

countries to Europe has many social and cultural effects.

Most of the immigrants from the Arab Spring countries to

Europe are Arabs and most of them are Muslims. The entry

of hundreds of thousands into European societies will have

many social and cultural repercussions. These immigrants

need along period of time so that they can overcome the

cultural and social trauma and to assimilate new conditions

and coexistence or integrate with them [36].

There is no doubt that the inﬂux of immigrants from the

countries of the Arab Spring to Europe, with the values and

cultural values they carry, is totally different from what is

happening within the receiving countries of the European

Union, which leads to the question of the possibility of

coexistence or clash between the two civilizations: the Arab

Islamic civilization and the European civilization. Many

immigrants from Arab Spring countries try to preserve their

cultural and religious identity. This is evident in their dress,

eating, customs, traditions, practices, and other cultural and

social activities. Political systems in the European Union

countries in many European cities have many features of

Arab cities in terms of markets, shops, restaurants, places of

worship and others, which impede the integration of immi-

grants in new societies, while at the same time promoting

racist discourse towards them, especially linking migration

to extremism and terrorism, This is common in many

European media and literature, especially after the involve-

ment of Muslim immigrants in a series of bloody events in

Europe.

The feeling of division and confrontation is reinforced by

Europe’s expectation that after the demise of the Soviet

Union and the end of the Cold War, conservative danger are

its southern border overlooking the Mediterranean Sea

through the inﬂux of illegal immigration and radical Islamic

movements, especially the Islamic State Organization(ISIS),

which has succeeded in penetrating security and European

barriers, thus recruiting many Muslims living in Europe and

carrying out terrorist operations in a number of European

countries [37].

The Europeans also link migration to the threat of their

identity, culture and civilization, in view of the migrants who

are adhering to their customs, traditions and identity, and

refusing to adopt the customs, traditions and identity of

European host countries. Some explain the anti-immigration

attitude of many Europeans, regardless of whether they are

ofﬁcials or ordinary citizens, the European countries fears

that this space will become a Muslim Arab, especially since

Islam is the fastest spreading religion in the world including

Europe, which fuel incitement against Arab and Muslim

immigrants to Europe, and translates its attacks on these

migrants.

Among the cultural and social effects associated with the

issue of Islamic civilization is that the European Union, in its

current form, is a club of Christian countries. With hundreds

of thousands of immigrants ﬂowing into Europe through

Turkey, many European countries have become more rigid

in Turkey’s accession to the Union. This position is rein-

forced by the fact that Turkey is an Islamic state, it has

borders with Syria, Iraq and Iran and they are among the

most unstable countries in the world and the most exporting

of migrants.

Among the cultural and social effects of migration from

the Arab Spring countries to Europe is the change in the

patterns of production and consumption of food. Many of the

Migration from the Arab Spring Countries to Europe …251

immigrants from the Arab Spring countries who settled in a

number of European countries have had an impact on

changing many of the habits of Europeans in the food and

other changes in theater and even sports [38].

There are also large-scale effects of immigrants on the

media by broadcasting programs dedicated to immigrants

and minorities dealing with issues of concern to them. The

spread of the Internet and the means of social media have led

to the fact that Arab immigrants in Europe have their own

websites and discussion forums that are managed, monitor

and analyze by them to relate their issues and interests, etc.

Here, it must be stressed that there is no justiﬁcation for

European countries to adopt a policy of hostility towards

Arab and Muslim migrants, rather cooperation, partnership,

coexistence, social and political upbringing based on toler-

ance, dialogue, citizenship and pluralism, are the best means

of achieving stability in the society and facilitates the inte-

gration of migrants. In addition, after some time, cultural and

social norms weaken among the children and grandchildren

of immigrants and the Arab countries from which they

originate.

5.4 Security Implications

European countries have faced signiﬁcant security chal-

lenges as a result of hosting large numbers of migrants from

the Arab Spring countries. Many European countries have

taken border measures dominated by security concerns such

as the use of sanctions, occupation and security control, and

despite all these measures, as is common in various countries

of the world, concerned with the issue of migration, which

integrate the conclusion that it is physically impossible to

exercise effective border control in open countries, as in

industrialized countries, that explains large numbers of

clandestine immigrants in European countries. The closure

of borders and standing order against the movement of the

transition to European countries put at stake the reality of

Western democracies and their enrichment by the slogans of

democracy, freedom and human rights.

In addition, maintaining the freedom of movement of

European citizens among the various EU countries under the

Schengen Agreement requires that the borders be open and

that the European borders are safe and controlled. If these

limits can not be secured, the ﬂows of migrants will continue

which would threaten the political stability of the European

Union and could lead to the strengthening of separatist

tendencies in it, leading to the weakening and dismember-

ment of the Unions [39].

The security concerns in the European countries have

been reinforced by the outbreak of the Arab Spring revolu-

tions and its consequences, for example, the emergence of

the extremist terrorist organization ISIS, which has claimed

responsibility for many terrorist operations in a number of

European countries such as France, Germany and Britain,

despite ISIS geographically distant from Europe, it suc-

ceeded in penetrating the European barriers and the

recruitment of many European immigrants who joined the

ranks of the organization in Syria and Iraq, or who remained

in Europe and carried out many of the terrorist acts [40].

Thus ISIS has become a serious threat to European

countries.

What increased the European fears is that, the threat of

Arab and Muslim immigrants to Europe is no longer asso-

ciated with an increase in their numbers, but they are even

more linked to smuggling of arms, drugs and human beings,

the recruitment of terrorists, the practice of robberies, loot-

ing, theft and assault on public property. A report prepared

by the European Police Agency (EPA) noted that human

trafﬁcking and illegal migration are run by gangs using the

usual drug smuggling routes to enter the countries of the

continent. Women, children and illegal immigrants are

trafﬁcked. Security reports conﬁrm that trafﬁckers and

organized crime play a major role in this lucrative trade. In

2015, more than one million people reached the European

Union illegally and with the continuation of the conﬂict in

the Arab Spring countries, especially Syria, Libya and

Yemen, the ﬂood of migrants to Europe will continue.

Thousands of migrants from the Arab Spring countries

have tried to reach Europe through Turkey and Greece, but

the construction of the iron fence between these two coun-

tries has closed the door on this road and boat trips have

become a refuge for migrants on the Mediterranean, hoping

to reach Italy or Greece as transit countries to the rest of the

European Union.

There is no doubt that most of the immigrants from the

Arab Spring countries to Europe are looking for hope for life

and stability, but the fears are caused by some Muslim

immigrants who carry extremist ideas or some terrorists who

disguise themselves as immigrants and commit terrorist acts

thereby causing a great burden on the Europe.

6 Conclusions

The primary objective of this paper was to document and

explain the massive population displacement of Arabs as the

most manifestation of the crisis in the Arab Spring countries.

Since the beginning of the so-called Arab Spring, the Arab

Spring countries witnessed a signiﬁcant increase in the

number of immigrants and displaced persons and their pro-

portion of the total population. The years 2010–2020 might

well go down in history as the “decade of Arab refugees”.

The beginning of the 21st century will be remembered for

the large numbers of Arab people evicted from their homes

and communities and forced to ﬁnd a living elsewhere.

252 M. T. Bani Salameh

The magnitude of this displacement serves as a poignant

example of the importance of the phenomenon in the Middle

East as well as of its complexity. There are several reasons

behind the migration from and through the Arab Spring

countries, and although the economic factor is always the

most important motive for migration, under the Arab Spring,

there are political, social, security and religious factors no

less important than the economic factor. The study reached

several results, the most prominent of which are:

1. The Arab spring revolutions have had a signiﬁcant

impact on migration from the Arab Spring countries,

especially in Syria, Libya and Yemen. In 2014, the

Syrian refugees constituted the largest group of refugees

in the world. The violence in Libya led to the displace-

ment of nearly 1 million people of migrant workers,

refugees and asylum seekers, while the number of

internally displaced persons in Yemen reached more than

11% of the total population.

2. The question is not of which the main causes of dis-

placement (war or underdevelopment) is more important

or prevalent. Nor is it always the number of people dis-

placed that determines the signiﬁcance of the event.

Rather, the important point to draw is that displacement

needs to be seen as an outcome of a combination of

causes involving a multiple set of factors.

3. There are many negative effects of the phenomenon of

migration from the countries of the Arab Spring, and

these effects are not limited to the host countries, but

extends to the countries of origin, and these effects are

economic, cultural, social, political and security.

4. Forced migration in the countries of the Arab Spring has

placed great burdens on countries of destination, asylum,

transit and origin, as well as migrants themselves. For

countries of origin, large-scale internal displacement

poses major challenges to these countries, while the

negative impact on host countries is exacerbated. Refu-

gees and displaced persons are suffering from extremely

difﬁcult and tragic conditions, especially those relying on

networks of organized crime.

5. As the EU countries removed their internal boundaries,

they became increasingly concerned about strengthening

external boundaries, to prevent an inﬂux from Middle

East and North Africa. The successful mobilization of

extreme right groups over immigration and supposed

threats to national identity helped bring these issues to

the centre of the political stage.

6. It is certain that immigrants from the Arab Spring countries

have an urgent reason to emigrate a lot, and if the European

countries are right to combat this phenomenon in order to

preserve its security and stability and interests, they must

take into account as much as possible the balance between

combating immigration and considerations to human

rights and human dignity.

7. Migration is a global problem and not a national or

regional problem of a particular country or continent,

efforts to combat or control immigration is a global issue.

The globalisation of migration provides grounds for

optimism, because it does give some hope of increased

unity in dealing with the pressing problems which beset

our small planet.

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254 M. T. Bani Salameh

Multi-channel Buffer Enabled Technique

for Video Streaming in IEEE 802.15.4

Razi Iqbal

Abstract

Increase in the use of wireless technologies has opened

doors for development of various wireless applications to

provide solutions to different problems in domains like,

security and surveillance, entertainment, transportation,

communication and education. To reduce the overall cost

and power consumption of the systems to be deployed in

developing countries, short range wireless technologies

like ZigBee (IEEE 802.15.4) are gaining popularity.

However, due to limitation of data rate, some applications

that involve transmission of heavy data are still consid-

ered far-fetched. This paper presents a technique that

enables ZigBee to be utilized for heavy data transmission

such as video streaming. For this purpose, a technique

based on the concept of multi-channel and buffer is

introduced in this article. In order to illustrate the

efﬁciency and reliability of the proposed technique, it is

compared with currently available video streaming tech-

niques like, single channel buffer less, single channel

buffered and multi-channel buffer less. Several simula-

tions are performed on these available techniques to

gauge the efﬁciency of these techniques at low data rate of

around 250 kbps. The results of the simulations are then

compared with the simulation results of the proposed

technique to ensure its efﬁcacy.

Keywords

ZigBee Video streaming Short range wireless

technologies

1 Introduction

Video streaming is a concept of sending images in a com-

pressed form over the Internet and displaying this data to a

user in real time. In video streaming the user does not need

to download the ﬁle as data is unceasingly transferred from

sender to receiver in continuous stream. Videos are large

amount of data which needs to be compressed before

sending over a small data rate. At the receiver compressed

data is decompressed and displayed to the user. Most

modern browsers use compressing and decompressing

techniques for video streaming. Streaming media has many

types like videos, images, sounds and animations. There are

many applications of video streaming on the Internet like

online television, YouTube and Skype etc. There are two

main types of video streaming, live streaming and archived

streaming.

Live streaming is the type of video streaming that refers

to the data delivered over the Internet from source media

(like digital camera or audio interface). In this method, an

encoder is used to encode the signals and a media publisher

and a network is used to send data to a receiver. Live

streaming also enables the users to interact with each other

using video chats in real time. A popular example of live

streaming for chats is Skype video chat.

The second type is archived streaming that is referred to

the data stored on server. In this system videos are stored on

a server that is connected to the Internet and the client can

access the video by connecting to the Internet. The main

examples of this type of streaming are video streaming

websites like YouTube and Dailymotion. In video stream-

ing, bandwidth of the network is very important. If the

bandwidth of the network is good, the quality of streaming

would be decent but if the bandwidth is low the quality of

the streaming would be below par.

There are several short range wireless technologies

available now a days. For instance, ZigBee is gaining pop-

ularity due to its low cost and low power consumption. It is a

R. Iqbal (&)

American University in the Emirates, Dubai,

United Arab Emirates

e-mail: razi.iqbal@aue.ae

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_29

255

sister technology of Bluetooth and IrDA. In this technology

signals travel in zig zag style that is why it is called ZigBee.

It works on 868 MHs/915 MHs/2.4 GHz frequencies. It has

very low data rate of 250 Kbps but has very low complexity.

In developing countries where providing energy is a key

challenge, a low power technology is required. However,

some applications need heavy data transfer to operate, e.g.,

video streaming. An efﬁcient technique is required to enable

the use of low data rate for communication in such appli-

cations. Currently, there is a gap in literature that provides a

reliable technique to enable short range and low data rate

technologies to transmit videos. This paper provides an

efﬁcient technique that enables short range wireless tech-

nologies like ZigBee to transmit images and videos over

100 m distance.

Rest of the paper is organized as follows: Sect. 2provides

the review of literature, Sect. 3presents the available video

streaming techniques. Section 4highlights the proposed

model for transmitting videos over low data rate technolo-

gies using multi-channel and buffer. Section 5provides the

ﬂow of the proposed system, Sect. 6presents the simulation

results and Conclusion part concludes the article.

2 Literature Review

ZigBee technology is suitable for Wireless Sensor Networks

[1]. The WSN (Wireless Sensor Networks) is used for many

purposes like remote monitoring, sensor readings, vehicular

ad hoc network and many more. Wireless Sensors Networks

consist of many petite nodes. These networks face many

problems like energy usage, network lifetime and topology

maintenance. In this research study the author uses two new

schemes for lifetime maximization of a network. In these

schemes, physically powerful node arrangement based

method is used. This scheme is used to wrap the fast

preservation of node failure.

ZigBee technology and fundamentals about the network

have been described by the experts [2]. He also provides

details about the architecture of these standards and brieﬂy

enlightens the layer architecture. He also elucidates the RF

(Radio Frequency), Physical Layer and MAC (Media Access

Control) layer. He brieﬂy describes about how IEEE MAC

Layer works and how to establish a connection in a network.

ZigBee is a low cost and power efﬁcient PAN technology

[3]. It can be used to transmits diversity to transfer image

from one node to another. It is proved that it is possible to

save transmission time up to 40%. The proposed system

used multi-channel with multiple radio interface system to

maximize the throughput of a network.

Compression techniques are used to compress large

amount of data before sending. Authors explained that old

data compression techniques and encoding methods were

not sufﬁcient for this problem [4]. Because the bandwidth of

medium was low and range of communication was very

short. The receiving image was not clear. He used MPEG-4

standards for audio and video compression because it is a

new compression method that provides better compression

rate than the older version MPEG-2. He further explained

that MPEG-4 is a suitable standards for low bandwidth and

has better error detection and correction mechanism. In his

studies author tries to ﬁnd the best solution to the problem.

According to this study a better compression technique can

signiﬁcantly improve the quality of video. In this research

study Bluetooth technology is used for communication. But

the main drawback of Bluetooth is it not energy efﬁcient.

Compression techniques are used to compress large

amount of data before sending [4]. There is the need of

encoding and compression of the video data [5]. In this study

author tries to explain the basic concepts, algorithms and

systems of video streaming. They explained different types

of video streaming like point-to-point, multi cast and broad

cast. The authors further described key challenges in video

streaming by highlighting the transport and bit rate control

according to band width and error detection and correction

for overcoming channels.

A reliable application to transfer pictures of MPEG over

ZigBee Networks has been researched by authors [6].

MPEG VBR (Variable Bit Rate video) is data starving and

current undue time wait and data loss over wireless com-

munication. For this purpose a trafﬁc shaping buffer is used

to handle the transmission over ZigBee channel. The author

developed NF (Neural Fuzzy) scheme to alter the trafﬁc

shaping buffer output rate and RFB (Ruled Base Fuzzy)

scheme to regulate the input data rate of trafﬁc shaping

buffer.

ZigBee reliability and efﬁciency in multi hop wireless

standards is studied [7]. The core requirements of WSN is

low energy consumption and reliability of the network. The

authors evaluated the performance of ZigBee in multi-hop

WSNs where sleep/Wakeup scheduling protocols are used

for low energy consumption. The authors worked on med-

ium access control layer and tuned its parameters to improve

the reliability of the communication.

The review of literature provides a view of the gap in the

transmitting videos over the network using shot range and

low data rate wireless technologies like ZigBee. Some

studies use Wi-Fi technology for wireless communication. In

Wi-Fi Energy consumption is main issue. The main advan-

tage of Wi-Fi is bandwidth and the range of network is better

than then the Bluetooth and any other wireless technology.

However, it is not suitable to be used in areas where several

wireless modules are required, since it will increase the

overall cost and power consumption of the system. This

problem can be solved using ZigBee because of its low

power consumption and inexpensive hardware modules.

256 R. Iqbal

3 Video Streaming Techniques

Video streaming has been an attractive ﬁeld of research

throughout the world because of its potential for delivery of

services and type of applications. Growth of connected

devices has signiﬁcantly increased the demand of applica-

tions based on videos, e.g., video streaming for watching

online videos, transmitting surveillance videos to security

rooms and video conferencing for business purposes etc. The

key requirements for these applications are quality of

delivery, cost, efﬁciency and reliability. In order to fulﬁll

these requirements different techniques are used based on the

application [8]. Below are some of the current available

video streaming techniques for short range wireless

technologies.

3.1 Single Channel Buffer Less Video Streaming

A traditional way of streaming videos over the wireless radio

is to transmit the whole video through the available band-

width. This technique has been around for decades that

provides a simple and cost effective solution to video

streaming. However, one of the drawbacks of this technique

is the loss of packets while transmitting heavy data like

videos over a single channel due to packet collision [5]. In

case of low bandwidth, this technique is not suitable as the

packet collision is high and delivery is low. To evaluate this

technique, simulations are performed and the results are

presented in Fig. 1.

As illustrated in Fig. 1, although, the total bandwidth of

ZigBee is 250 kbps, however, the maximum throughput

using Single Channel and Buffer Less technique yields less

data rate (100 kbps) for video transmission because of high

packet loss. This technique is efﬁcient for use of small data;

however, the results show that this technique is not capable

of transmitting heavy data like videos.

3.2 Single Channel Buffered Video Streaming

In order to enhance the capabilities of Single Channel data

transmission techniques, a concept of using Buffer is intro-

duced. Buffer is a temporary storage that stores the data

before actually displaying it to the output device. Keeping

the data in the buffer allows the recipient devices to improve

the performance of the data before presenting the ﬁnal output

[5]. This technique of using buffer is extremely popular for

video streaming. However, one of the drawbacks of this

technique is although the buffer still has capacity to store

Fig. 1 Single channel buffer less video streaming simulations using ZigBee on NS2

Multi-channel Buffer Enabled Technique for Video …257

data but reception of the data at the recipient is very slow

due to low data rate transmission of the communication

technology like ZigBee. Simulations are performed to gauge

the efﬁciency of this technique for transmission of videos

through ZigBee. Figure 2presents the results of the

simulations.

As illustrated in Fig. 2, although, the total bandwidth of

ZigBee is 250 kbps, however, the maximum throughput

using Single Channel and Buffered technique yields less data

rate (150 kbps) for video transmission because of high

packet loss. This technique is efﬁcient for use of small low

quality images; however, the results show that this technique

is not capable of transmitting high quality images or

low-resolution videos.

3.3 Multi-channel Buffer Less Video Streaming

To further enhance the quality of delivery of data, a tech-

nique of using multi-channels for data delivery is used these

days. In this technique, data is sent through different chan-

nels that enables the avoidance of collision of packets and

hence results in better transmission. This technique is widely

used in current short and long range wireless technologies

for transmission of data, however, low data rate technologies

are still prone to delays in data transmission when it comes

to heavy data communication like videos [7]. Simulations

are performed to measure the efﬁciency of this technique for

delivering the videos over ZigBee by utilizing all 16 chan-

nels provided by ZigBee. Figure 3illustrates the results of

the simulations.

As illustrated in Fig. 3, although, the total bandwidth of

ZigBee is 250 kbps, however, the maximum throughput

using Multi Channel Buffer less technique yields less data

rate (190 kbps) for video transmission because of high

packet loss. This technique produces better results as com-

pared to Single Channel Buffered and Buffer less technique;

however, the results show that this technique is not capable

of transmitting high quality images or low-resolution videos.

4 Proposed System Model

The proposed model presents a technique of using

multi-channel with buffer integration to transmit heavy data

like videos over the network using ZigBee as a

Fig. 2 Single channel buffered video streaming simulations using ZigBee on NS2

258 R. Iqbal

communication medium. A ZigBee sender module is used to

send images by utilizing all 16 channels offered by ZigBee.

A buffer is used at the receiver to hold the data and ulti-

mately the data is decompressed to display the video.

Figure 4illustrates the proposed model.

In the proposed model, the image of the video is ﬁrst

compressed using MPEG-4 compression technique. These

compressed images are then handed over to the ZigBee

module (sender) which uses its multi-channel transfer tech-

nique to send this image to the destination. It is important to

note here that ZigBee has 16 channels, which makes it a

good choice for multi-channel transmission by avoiding

packet collision and trafﬁc congestion. When image is

received at the receiving end by another ZigBee module, it is

ﬁrst placed in the buffer. The buffer will keep the images till

its full. At the same time, the buffer will keep on sending this

information to ﬁnal destination where each image is

decompressed using same MP4 technique. One of the rea-

sons of keeping the images in the buffer is to make the

stream of images smooth for viewing by the user. If images

are sent as they arrive, sometimes user has to wait for the

images to arrive. This technique of having images in the

buffer before they are actually displayed to the user would

make user experience better.

5 Proposed System Flow

The process starts by compressing the image using MP4

compression technique. When the image is ready to be sent,

the channel is checked for congestion; if the channel is not

congested, the image is sent in the form of the packets over

the network. However, if the channel is congested, next

available channel is checked for availability. Similar process

is followed for each packet and each channel. As soon as the

data is received at the receiver side, it is checked for errors

and the data is placed in the buffer which is then ultimately

decompressed into the original image using the same com-

pression technique, e.g., MP4 in this case and ﬁnally the data

is displayed to the user. Figure 5illustrates the proposed

ﬂow of the system.

Fig. 3 Multi channel buffer less video streaming simulations using ZigBee on NS2

Multi-channel Buffer Enabled Technique for Video …259

6 Simulation Results

Several simulations were performed to measure the efﬁcient

and reliability of the proposed method. In the simulations per-

formed on NS2 simulator, packet loss and delivery of

transmission are measured to ensure that the proposed tech-

nique can be used for developing applications that involve

transmission of videos over low data rate of around 250 kbps.

In order to ensure the proper communication between the

nodes, communication range is kept to 30 m, however, with

typical ZigBee modules, the range can be increased up to

Fig. 4 Proposed system model based on multi-channel buffered technique

Fig. 5 Proposed system ﬂow

260 R. Iqbal

100 m. Similarly, to ensure reliable data delivery, packet size is

kept to 1024 bytes with burst time and idle time set to 2 ms.

Simulations are carried out based on the following criteria

(Table 1).

The proposed technique provides a robust approach of

transmitting videos over low data rate wireless technology,

e.g., ZigBee etc. Simulation results show that the bandwidth

is efﬁciently utilized by stipulating around 230 kbps out of

maximum 250 kbps. Packet losses are still occurring, how-

ever, the rate at which the data is delivered has improved as

compared to techniques like Single and Multi Channel

buffered and buffer less. Figure 6presents the simulation

results for the proposed technique.

This technique sets a foundation for further research

where improvements in reduction of packet losses can be

made to enhance the efﬁciency of the proposed technique.

Similarly, improvements in delivery time can be made by

increasing the packet size and ﬂuctuating the burst and idle

time. The range of the communication can also be increased

by introducing the concept of multi-hop communication for

Table 1 Simulation parameters

Parameter Values

Max. bandwidth 250 kbps

Max. distance between the nodes 30 m

Packet size 1024 bytes

Burst time 2 ms

Idle time 2 ms

Antenna type Omni antenna

Max. nodes in IFQ 50

No. of hopes 1

Fig. 6 Simulation results for proposed multi-channel buffered technique using ZigBee on NS2

Multi-channel Buffer Enabled Technique for Video …261

short range wireless technologies, however, it will have an

impact on the delivery time and reliability of the data

delivery which can be another research direction in this

regard.

7 Conclusion

The paper presents a technique for transmitting heavy data

trafﬁc over the short range and low data rate communication

technology ZigBee. The technique proposed the use of

multi-channels integrated with buffer to improve the video

streaming over the network. The use of multi-channels

provides smooth path for the packet without collisions to

reach the destination. Later at the destination, each packet is

stored in the buffer to ensure sleek operation for the user to

view the video. Simulations were performed to gauge the

efﬁciency, accuracy and reliability of the proposed tech-

nique. The simulation results of the proposed technique are

compared with the results of currently available techniques

for transmitting heavy data over low data rate. The results

showed that the proposed technique provides high data

delivery by consuming more than 90% of the bandwidth

through multi-channel technique. The delivered data still

requires some reﬁnement as packet losses are still occurring,

which will be a future work in this research.

References

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wireless sensor networks. Int. J. Comput. Sci. Inf. Secur. 11(9) (2013)

2. Jon Adams, T.: ZigBee wireless technology and 802.15.4

radio-enabling simple wireless: semiconductor. Retrieved from

http://s3.amazonaws.com/zanran_storage/www.utdallas.edu/

ContentPages/8133370.pdf

3. Pirak, C., Chantharat, W.: Image transmission over ZigBee network

with transmit diversity. In: 2011 International Conference on

Circuits, System and Simulation IPCSIT, vol. 7. IACSIT Press,

Singapore (2011)

4. Smith, B.: Video over Wireless Bluetooth Technology. Department

of Electronics and Computer Science, University of Southampton

5. Apostolopoulos, J.G., Tan, W., Wee, S.J.: Mobile and Media

Systems Laboratory. HP Laboratories, Palo Alto, HPL-2002-260,

18 Sept 2002

6. Kazemian, H.B.: An Intelligent Video Streaming Technique in

ZigBee Wireless. FUZZIEEE, Korea, 20–24 Aug 2009

7. Anastasi, G., et al.: Reliability and energy efﬁciency in multi-hop

IEEE 802.15.4 wireless sensor networks. In: 2010 IEEE Sympo-

sium on Computers and Communications (ISCC) (2010)

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Effects of frame jitter in data acquisition systems. IEEE Trans.

Instrum. Meas. 54(6), 2177–2183 (2005)

262 R. Iqbal

Multimedia Applications in Education

Smilen Antonov Savov, Rumiana Antonova, and Kamen Spassov

Abstract

The aim of this paper is to focus on some of the

multimedia applications used in educational process. This

paper offers several deﬁnitions of multimedia, identiﬁes a

sample of the most popular multimedia technologies, the

most important tools and provides a discussion of their

content and sources for further information. The paper

stresses on ﬁve major multimedia components such as:

text, sound, video, graphics design, and animation. The

paper illustrates how the students learn, improve, update

their knowledge and test themselves through multimedia

technologies. The paper shows the pros and cons of

multimedia education technologies, using some tradi-

tional and experimental techniques. In the various stages

of the application of multimedia in education, the

importance is described in the visualization of industry

4.0 and in the software tools of digital transformation.

Keywords

Multimedia Digital transformation Education and

social innovation Oral cultures Creative industries

1 Introduction

The cultures are diversiﬁed in accordance of their informa-

tion channels. In the oral culture exist an equality of infor-

mation channels. That is why the communication here is of

multimedia type. When we use the word “multimedia”in

today’s complicated informational highway world, we have

to say that this “new”type of communication is not new!

There is also a popular term of “NEW MEDIA”often used.

The german composer Wagner uses this type of communi-

cation in his gigantic opera show spectacles. “Wagner was

convinced that the separate branches of art—music, archi-

tecture, painting, poetry, and dance—would attain new

poetic heights when put to the service of the drama, which

he viewed as the ideal medium for achieving his vision. His

totalizing approach to music theatre also foreshadowed the

experience of virtual reality.”[1: p. 4]. He used in his

“virtual world”libretto (text), musical score and acoustical

design (sound), lighting effects (dramaturgy of light), “Deus

Ex Machina”stage technologies (special effects as anima-

tion), “Camera Obscura”(proscenium arch acted as the

interface, TV screen or video), and of course “graphics

design”presented as stage sets and props.

The result was a spectacular grandiose show that touched

all the human senses [1]. So to speak, the multimedia

experience and usage for entertainment and educational

purposes is not “new”. In our present world the Digital,

Cyber, WWW revolution, sets the framework and base of

“Multimedia Digital Renaissance”. With the help of new

hardware and software we experience a revival of multi-

media world that can be used largely for better communi-

cation, education, and for artistic purposes. The focus of this

paper is the usage of present multimedia applications in

educational processes. In today’s world of multimedia we

understand a harmonious simultaneous existence of ﬁve arts

such as text, graphics design, video, animation, and sound

(Fig. 1). We can also add one very important element:

Interactivity (Fig. 2). With the recent development of the

multimedia education technologies we must add the WWW

Internet and “Long Distance Learning”, Virtual Reality

training, “3D Mapping”, software assisting disabled indi-

viduals, artiﬁcial intelligence technical innovations, “retinal

implants”, and many others.

The multimedia education communication consists of

synchronized presentation and perception of its ﬁve ele-

ments, which are integral aspects of communication system.

S. A. Savov (&)R. Antonova K. Spassov

Soﬁa University, Soﬁa, Bulgaria

e-mail: smilen.savov@abv.bg

R. Antonova

e-mail: E-Mail-Family@web.de

K. Spassov

e-mail: kspassov@gmail.com

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_30

263

“The Medium is the Massage”, said Marshall McLuhan, and

he was right because the communication message is an

integral part connected with the verbally active individual

and that is why it acquires a performance character [2]. Here

the oral communication requires and produces presentation

which is visual and concrete, direct and local. According to

Mr. McLuhan, the stages of communication are: primary

oral culture,literal written culture,typographic (Gutten-

berg) galaxy, and present electronic era [3]. McLuhan

claims that all human created innovations represent additions

Fig. 1 Multimedia components

Fig. 2 Interactivity

264 S. A. Savov et al.

to his/her body, and more speciﬁcally the media technology

is enlargement of our senses. Oral cultures live in an “Ear

World”, and written societies live in an “Eye World”, which

is an Yin and Yang type of co-existence. In the present

postmodern electronic era (Digital World), the “Eye World”

is enriched by the “Sound sensitivity”component, creating

the New Media, so to speak Multimedia (Fig. 3).

The secondary oral communication is inﬂuenced by tech-

nical innovations that form the recent decades (Radio, Televi-

sion—Cable and Satellite, Cinema, Mobile Phone

Communication, and Internet). The “new media”technologies

allow immediate transfer of text, video and sound messages all

over the world. In teaching, the synchronicity of message

transfer-receiving, gives a possibility of simultaneous visual

dialogue communication, via Internet using Skype and Face-

book Phone or other messaging applications. The technical

innovations lead towards abandoning of dominating medium—

text. The education process now is enriched with Hyper Text,

Hot Spots,andText Translate when we use Internet. Using the

WWW-Internet offers various ways of showing and sharing

information via Web sites, Web blogs, Social Media, online

courses and interactive tutorials. We witness a new communi-

cation event called Staging, which is present in primary oral

communication as well as modern communication [3].

Staging is linked with arrangement of cultural predeter-

mined elements of communication process in a social

framework via communication channels perceived “in situ”.

Inﬂuenced by the Digital “New Media”, the communication

is again approaching the spoken word, it becomes immediate

and expressive, and distinguishes it from the traditional

written communication. The contemporary communication

is mandatory to be “Global”. Even “Reality TV Shows”are

boasting that they are happening right now, at the present

moment, and are staged and aired “LIVE On the Air”. The

reality phenomenon requires local characteristics to be

replaced by expressive forms of the global culture. The

present multimedia communication is heading towards the

diffuse space of the global society. This means to rediscover

of situational-gestural, additive method and to transform the

humanity through the electronic (digital) communication

into a Global Tribe, according to McLuhan: “We now live in

aglobal village…a simultaneous happening.”[2: p. 63].

The communication in education using Multimedia is

reaching all of us. There are four main styles of communi-

cation: oral (previously mentioned), written language,

audio-visual, multi (plural) medial [3]. In Multimedia type

exist a social succession of several ways of communication.

Important communication channel is the Internet Global

Network, seeming uncontrollable, giving access to anyone,

which is a possibility of social communication articulation of

geographically, ideologically and economically isolated

students to the universities’Internet Cyber Campuses [3].

The long-distance learning methods offer new possibilities

of reaching and a chance to spread out the information but

also to test the students with on-line test quizzes. Nowadays,

the online Universities and courses are widely used. The

courses are including text, video, audio tutorials, 3D ani-

mation presentations, e-books, tests, more interesting

WYSIWYG (What You See is What You Get) Interfaces

with “hot spots”, buttons and “drag and drop”options. With

Fig. 3 McLuhan’s communication

Multimedia Applications in Education 265

the help of E-Commerce web-based applications, the web

server databases store and retrieve important information

faster and secure.

2 Multimedia as an Intellectual Educational

Tool

2.1 Learning with Educational Multimedia

Applications

Starting always ﬁrst with text (script, scenario, copyright, or

storyboard) the ﬁrst art is a frame to our multimedia

applications used in education. The revolutionary “Hyper-

text”with its “Hyperlink”is a study aid that provides

multi-dimensional Cyber space note taking. The hypertext

leads the student to other links of valuable information. It

gives more information via accessing the large databases and

gives enormous knowledge references.

In such way is created a “new literature”form called

Softpoetry. Softpoetry transforms literature into visual art

where words become theatre. Here the communication and

interactivity with the reader is provided by the hypertext

technology [3: p. 121].

The collection of information does not guarantee that the

student learns effectively. The student learns only by creat-

ing hypertext (Adobe Dreamweaver [4]). The students create

their own nodes and links among them. The student can

explore the topic to be structured. He/she organizes and

restructures it and links the sub-structures all together.

Applications, which provide the user with the possibility to

create or construct objects by using graphic programs or

linking nodes together, are not only component objects but

also “cognitive concepts or models”, which are dependent on

the learners’current knowledge base.

Multimedia can be used to demonstrate complicated

processes such as the human body circulatory system or the

TV weather report system (cloud, rain developments). Fur-

thermore, the student can use the software to take many

more accurate measurements and explore creatively a phe-

nomenon and consider additional factors. With the help of

multimedia interactive features, the student controls the pace

and the content of what will be seen on the screen. The

student can understand complex interrelationships. They

control the learning process.

According to prof. Todorov, the Edutainment (combining

education and entertainment) multimedia titles are gaining

popularity. They include multimedia fairytales, games,

musical programs, and encyclopedias- dictionaries, with

virtual reality components. One example is Eyewitness Vir-

tual Reality Cat, an e-book with videos, photos, images, and

sound. The student becomes a cat-investigator, in a museum

virtual environment full of various artifacts, history, and

mythology information. “The edutainment titles are the

newest hit of present multimedia.”[3: p. 119].

2.2 Learning Through Computer-Supported

Problem Solving e-Games

When it comes to problem solving, is recommended the use

of computer-based tests and quizzes. In particular, using

problem sets in the context of so called ‘on-line adventure

games.’Multimedia adventure games can be seen as infor-

mation sets where possible pathways and the questions,

which can be asked, are predetermined. Normally, this type

of games varies in the number of possible pathways, in the

level of difﬁculty and sophistication, and in the complexity

of answers to predetermined questions or problems. The

following aspects support the use of adventure games for

problem-solving approaches.

(a) Help and support. Due to the interactive nature of this

type of games, the students get feedback, help and support

from the computer. It is likely that students in this learning

environment still needs an instructor for some guidance.

(b) Coping with a variety of acquired responses. The

range of responses is one of the key elements in determining

the level of cognitive demand within these games. Problems

can be solved in many different ways. One advantage is that

students are confronted with different response possibilities

in the sense of responding according to different perspec-

tives. From a more negative point of view, this prescribed

feature of giving possible solutions can limit students’

creativity.

and offer the possibility to save the data at any point and

return to this point at a later time.

(d) Trial and error e-learning. Computer games offer

opportunities for boundless experimentation in the ﬁeld of

problem solving. The students can experiment with the

different possibilities in a very short period of time. In

reality, it is difﬁcult to provide this type of trial/error learning

in an appropriate period of time and very often it is not

possible to test different possibilities in the ﬁelds of science.

(e) Interest and commitment. Students really like this

type of games because the games place everything in the

meaningful context of a compelling ﬁctional (virtual) world

that seems to be real and living. Problem solving is a

complex intellectual process involving the coordination of a

range of demanding and interrelated skills, which include:

•understanding and representing the problem and identi-

fying what type of information is relevant for the

solution;

266 S. A. Savov et al.

•gathering and organizing relevant interactive

information;

•constructing and managing a plan of action or an inter-

active strategy;

•reasoning, hypothesis-testing and decision-making

process;

•using various problem-solving tools, monitoring solu-

tions, and evaluating interactive results.

3 Interactive Learning with Multimedia

Materials

The computer can support different forms of collaborative

interaction depending on what form of collaborative activity

is desired. Airplane pilots, police ofﬁcers, doctors, race car

drivers are taught by computer-based multimedia Virtual

Reality game-type training and testing units (air-craft

trainers) to improve their knowledge and safety skills.

When trying to solve a problem while participating in

computer-based group work, the focus should be on a clear

task structure and the provision of feedback on solutions.

Multimedia offers unique opportunities for the production

and representation of shared classroom experience. The

interactive character of modern technology can support

reasoning by amplifying the nature and boundaries of sci-

entiﬁc models of objects and events. We can “control”the

video, sound, and game. We can stop, rewind the video,

choose an information channel, take notes, and test ourselves

using the interactive multimedia quiz applications. Via

interactivity, the students create knowledge which is essen-

tially a matter of learning to argue, ask questions, search

information, and be more curious. The technology replaces

the need for students to participate in ongoing conversations

with partners sharing interests and commitments. Technol-

ogy should not be seen as replacing such communication but

rather as providing a resource for supporting it. Students

need support from responsive and more competent others,

such as instructors and professors, to think through the many

problems and to achieve progress. Professors can support

students’interactions around digital technologies in different

ways. They can encourage and enable students to practice

critical thinking in the classroom by having an exploratory

talk (discourse talk).

The present Multimedia revolution in education merges a

high-tech unit with art. This endeavour is a collaborative

work of computer specialists from the Silicon Valley and the

ﬁlm producers of Hollywood. “It is possible the new hybrid

term of Siliwood to be synonymous with the new creative

potential”[3: p. 122].

3.1 Web-Based Multimedia Applications

in Education

Various web-based multimedia applications are “uploaded”

on servers to provide information, knowledge, tests, “know

how”helpful information to all students. Here are some of

them:

Podcasts and vodcasts [5]

Podcasts (or netcasts) are audio ﬁles and vodcasts are

audio-video ﬁles stored on a public or private domains or on

websites specialized on audio and audiovisual ﬁles (i.e.

iTunes, Podcast Alley, Podcast Directory). Podcasting is the

—private or public—creation and distribution of these ﬁles.

YouTube and YouTubeEdu [6]

YouTube is a video portal owned by Google. It provides the

possibility to watch, edit and comment videos. It has a simple

structure and is available in 15 different languages. Looking at

Youtube.com [6], a popular video and audio portal, we see the

fast development of podcasts within the last years that is due to

the fact that nowadays audio and video ﬁles are easy to create

(using students’“smart phones”), edit, download, and dis-

tribute. It is possible to subscribe to a podcast series which

enables the subscriber to be alert when a new podcast episode

is created. In comparison with traditional audio or video

media, podcasts are much easier to produce and make avail-

able to a global audience. Using their i-phones, students can

create and upload movies and animations to ﬁlm festival sites

and also get awarded.

The use of podcasts

One opportunity to use podcasts in class could be the cre-

ation of radio shows, or podcasts for language or science

lessons. Like in the case of blogs, there are practically no

limits here. By creating their own podcasts, students can

experience their own knowledge and learning processes,

present their opinions, their understanding of complex

topics. Furthermore, getting acquainted with storyboards (for

video or animation movies) make students plan carefully,

reﬂect on the order, prominence, and emphasis of the ele-

ments of the podcast [5].

3.2 Editing Graphics, Video, and Sound [7]

“Live television Shows”—Live streaming web TV

Student performances such as musicals, ballet, character or

(period) dances, drama pieces, school conferences, and

interviews can be easily broadcasted by student TV channels

“Live television”online. Prerequisites for a school’s own

Multimedia Applications in Education 267

television station are a fast and stable Internet connection, a

computer with a microphone, a HD (high deﬁnition) video

camera or webcam or built-in video camera and a free

account at an online video streaming site (ustream.tv)[8].

Another opportunity would be to follow up regular podcasts

by scientists because the students are involved in discussing

a similar topic. By subscribing to the podcast, the user will

be alerted when new podcasts are available.

Adobe TV [9]

The multimedia collection contains a number of websites with

content relevant to the subject of education in general. Others

provide information on topics related to particular pieces of

software. It is closely related to the portfolio of products

developed and sold by the company. The content, however, is

more general than the content of traditional user guides.

Software to turn photos into video

Students and teachers can use free software like Photo to

Movie. They can use the software, among other things, to

display photos, add titles, backgrounds, music, effects, and

zoom into speciﬁc parts of photos [10].

Video-editing software: Windows Movie Maker,

Adobe Premiere and Adobe After Effects

Software to select particular video clips and/or add cover

text. Students can also add speech, sounds and music [11].

Other professional editing tools are Adobe Creative Cloud

Premiere Pro [11] and Adobe Creative Cloud After Effects

[12]. Also iMovie,JayCut.com are often used for editing

video content.

Audio editors and recorders

Students can handle elements like speech, sounds and music.

Students can record audio ﬁles from microphone, edit and

convert existing sound ﬁles, change the speed of a recording,

and mix sounds together. Free software of this kind is

Audacity [13].

3.3 Multimedia Web Development Tools

Authoring freeware to assist teachers and students in the

publishing of web content and e-learning objects (without

the need to become proﬁcient in HTML) includes Exe

Learning [14]. Students and teachers can also apply com-

mercial tools like Adobe Captivate or Articulate [15]. Stu-

dents knowing HTML code, can use Adobe Creative Cloud

Dreamweaver for creating web sites with main HTML code,

JAVA Applications, JAVA Script applets [4].

Adobe Edge, a web motion and interaction design tool

that allows students and professors to bring animated content

to websites, using the web standards HTML5, JavaScript,

and CSS3 (Cascading Style Sheets) [16].

Asynchronous JavaScript and XML (AJAX), a group

of web development techniques that students and teachers

can use to create asynchronous web pages that send data to

and retrieve data from a server in the background without

interfering with the display and behavior of displayed con-

tent [17].

jQuery, a JavaScript Library that simpliﬁes HTML

document traversing, event handling, animating, and Ajax

interactions for rapid web development [18].

Dojo, a tool that enables rapid development of web

applications, including JavaScript and CSS features [19].

PHP, a scripting language that is suited for web devel-

opment and can be embedded into HTML code [20].

Java, a programming language, which the students and

teachers can use to build client-server web applications. It is

a complicated language and requires many hours of pro-

gramming experience [21].

Flash, a development tool for animations and a

browser-based ‘player’produced by Adobe Creative Cloud.

The software provides viewing of 2D or 3D animation

applications, content, and videos [22].

Silverlight, a development tool and browser-based plug-in

produced by Microsoft. It can be used for creating web

applications with a relatively high level of interactivity [23].

3.4 Collection of Multimedia Education

Applications on the Web

Wikimedia [24]

It is operated by the Wikimedia Foundation, distributes free,

multilingual content, and provides the full content of various

wiki-based projects to the public free of charge. The Foun-

dation operates the world’s largest collaboratively edited

reference projects. These projects include:

Wikipedia, an encyclopedia applying the latest database

search engines for more and quality information;

WikiBooks, open-content e-books in different languages;

WikiSource, an online library of rare historical publications,

collected and maintained by various users. Applying one or

more of these sites into an educational setting, the students

can be assigned the role of end users as well as the role of

producers. Due to the limited amount of time in practice,

educators may want to focus on the ﬁrst role, i.e. on pre-

senting and retrieving linear and non-linear information

about a given subject matter. The information is usually

considered valid, since it is provided and edited by many

users, but learners can criticize the content based on com-

parisons with similar content from another updated source.

268 S. A. Savov et al.

WDL [25]

The objectives of the WDL (The World Digital Library) are,

among other things, to expand the volume and variety of

cultural content on the Internet and to provide resources for

educators, scholars, and general audiences. Their mission is

to make available on the Internet cultural treasures around

the world. These resources include manuscripts, maps, rare

books, musical scores, recordings, ﬁlms, prints, pho-

tographs, and architectural drawings. The learners can be

assigned the role of end users of WDL. Since the multimedia

resources are categorized, the learners can look for resources

regarding a particular topic, place, time, or institution.

Moreover, they can browse for speciﬁc types of items. They

can enter their own search words.

MERLOT [26]

(Multimedia Educational Resource for Learning and Online

Teaching) is a website, which gathers free and open online

resources. The aim is to share high quality learning materials

and pedagogy. The content is assembled from various

sources worldwide. The activities of the MERLOT website

are based on the collaboration and support of its individual

members, institutional and corporate partners, as well as the

editorial board. Key services include building and sustaining

online academic communities, online teaching and learning

initiatives, and building, organizing, reviewing and devel-

oping applications of online teaching-learning materials.

Input comes from an ongoing communication with its

worldwide supporters and contributors. The users can

browse a collection of subject categories in order to search

for learning materials (arts, business, education, humanities,

mathematics and statistics, science and technology, and

social sciences). Students can ﬁnd submitted materials,

authored materials, commented, learning exercises or pro-

vided personal collections.

OCW Consortium [27]

The OCW (Open CourseWare) Consortium is a worldwide

community of education institutions and associated organiza-

tions committed to advancing open courseware, i.e. free and

open digital publication of educational materials for colleges

and universities. Educators can search courses using a spe-

cialized search engine, browse courses by the language in

which they are published. Educators can also explore courses

from a particular source or publishing institution. This unit

introduces the challenges for disabled students who may use

computers in different ways when taking part in e-Learning. It

covers the technology and techniques used by disabled stu-

dents, the adjustments to teaching methods that might be rea-

sonable, design decisions which affect the accessibility of

e-Learning tools and strategies for evaluation.

Open educational resources portal [28]

The title of this website, ‘temoa’, represents the words ‘to

seek, investigate, inquire’. It is proposed by Tecnológico de

Monterrey. The website is a multilingual catalogue of open

educational resources described and evaluated by an aca-

demic community. The resources are categorized by area of

knowledge, educational level and language. Moreover, the

website provides a search engine with ‘intuitive ﬁlters.’The

educational materials are, among others, provided by:

Massachusetts Institute of Technology; Exeter Research and

Institutional Content archive (ERIC); Access to Research

Resources for Teachers (ARRT); Rice University; The Open

University; HowStuff Works (A Discovery Company).

FREE (Federal Resources for Educational Excellence)isa

website hosted by the federal government of the United

States and maintained by the U.S. Department of Education.

The aim of this site is providing high quality educational

resources for free [29].

ERIC (Educational Resource Information Centre)isan

online digital database of education research and information

resources [30].

World Lecture Project [31]

The website is hosted by the World Lecture Project associ-

ation. It contains video lectures on a variety of topics from

all over the world.

MIT World (Massachusetts Institute of Technology)

hosts a website called MIT World, which is a free and open

site that provides on-demand video of signiﬁcant public

events at MIT [32].

BioDigital Human [33]

Multimedia web site with video, text, sound, graphics and

animation about human body and its anatomical functions.

Google Earth [34]

Various maps and areal views of the Planet Earth.

3.5 Multimedia Applications for Graphics

and 3D Authoring

Software to view and edit images

Software to view and edit images. Students and teachers

can pick ﬁgures, crop images or produce a variety of effects.

Moreover, they can change the format of images. Since size

matters on the Internet, editors can also be used to compress

images. Most often, the ofﬁce software mentioned above

includes software for image processing. An example of

freeware for this purpose is IrfanView [35].

Multimedia Applications in Education 269

Adobe Photoshop Creative Cloud, Adobe Creative

Lab, Adobe Illustrator [36]

These are the best professional images, photos, graphics, and

special effects software used by all, such as: photographers,

artists, moviemakers, editors, PR specialists, and graphics

artists. Photoshop creates raster image ﬁles, compared to

Illustrator, specialized in a vector graphics with Alpha

channel. The created graphics after manipulation can be used

in a various multimedia applications and presentations.

Professional 3D Animation and software to produce

3D presentations

Students and teachers can use Poser, and Blender software

to create interactive 3D content [37]. Professional software

includes 3D Studio Max for 3D modeling and animation

[38], AutoCad, and Mudbox produced by Autodesk, and

Adobe Creative Cloud—Character Animator. The most

advanced 3D software applications are Pixologic ZBrush-

Core (for sculpting and modeling) and Autodesk MAYA (for

computer animation) [39].

3.6 Software to Produce e-Learning Objects, VR

Objects, and Presentations

KNOT-Mac (Knowledge Network Organizing Tool for

Macintosh)

These are tools that introduce many online applications,

supporting higher order thinking strategies and creativity for

students [40].

QuickTime VR engine Can help create a Virtual Reality

area in a web site, showing an interior of buildings, for

examples VR 3D Models of ancient fortresses, castles, hotel

interiors etc. The students can create their VR ﬁles and

embed them into HTML code [41].

Multimedia Education Presentations

And ﬁnally all the students can create their own Multimedia

presentations, using Microsoft Ofﬁce Power Point and Prezi

[42]. These modern multimedia applications can incorporate

graphics, sound, video, animation, text, and interactivity.

4 Conclusion

Effective teaching and learning is impossible nowadays

without the use of various Multimedia applications tech-

niques and innovations of the so-called ‘digital’pedagogy.

Within a high-tech information-educational environment,

multimedia components (sound, graphics, video, animation,

and text) are most powerful tools, when creatively

combined, to assists teachers to enhance their professional

capacity and helps students to enrich their knowledge

potential and to achieve their educational goals. Moreover,

modern multimedia in combination with Internet, social

media and open educational resources contribute to the

Global Student network where quality education is more

accessible for all no matter time and distance.

References

1. Packer, R., Jordan, K.: Multimedia from Wagner to Virtual

Reality. Norton & Company, USA (2001)

2. McLuhan, M.: The Medium is the Massage. Bantam Book, USA

(1967)

3. Todorov, J.: Audiovisual & IT in education. Veda Slovena (2009)

4. Adobe creative cloud dreamweaver. http://www.adobe.com/

products/dreamweaver.html

5. Podcasts for students. http://www.bookwink.com;http://www.

storynory.com

6. Video and audio portals. http://www.youtube.com;http://www.

iTunes.com;http://www.youtube.com/education

7. Editing movie. http://www.JayCut.com;http://www.iMovie.com

8. Ustream TV application. http://www.ustream.tv

9. Adobe TV. http://tv.adobe.com

10. Photo to movie. http://www.lqgraphics.com/software/phototomovie.

php

11. Professional video editing: windows movie maker. http://explore.

live.com/windows-live-movie-maker; Adobe creative cloud pre-

miere. http://www.adobe.com/products/premiere.html

12. Professional video special effects: adobe creative cloud after

effects. http://www.adobe.com/products/aftereffects.html

13. Audacity. http://audacity.sourceforge.net

14. Exe learning. http://exelearning.org/wiki

15. Adobe captivate & articulate. http://www.adobe.com/dk/products/

captivate.html;http://www.articulate.com

16. Adobe creative cloud and adobe edge. http://www.adobe.com/

creativecloud.html;http://labs.adobe.com/technologies/edge

17. AJAX. http://en.wikipedia.org/wiki/Ajax_(programming)

18. jQuery. http://jquery.com

19. Dojo. http://dojotoolkit.org

20. PHP. http://www.php.net

21. JAVA. http://en.wikipedia.org/wiki/Java_(programming_language)

22. FLASH. http://www.adobe.com/products/ﬂashplayer.html

23. Silverlight. http://www.microsoft.com/silverlight

24. Wikimedia. http://Wikimedia.org

25. WDL. http://www.wdl.org

26. MERLOT. http://www.merlot.org

27. OCW consortium. http://www.ocwconsortium.org

28. Open sources. http://www.temoa.info

29. FREE. http://www.free.ed.gov

30. ERIC. http://www.eric.ed.gov

31. World lecture project. http://world-lecture-project.org

32. MIT world. http://www.mitworld.mit.edu

33. Biodigital human. http://www.biodigitalhuman.com

34. Google earth. http://www.google.com/intl/en/earth/index.html

35. Irfan view. http://www.irfanview.com

36. Adobe photoshop creative cloud and adobe creative lab. http://www.

photoshop.com/;http://labs.adobe.com/technologies/photoshop/

37. Poser and blender. http://my.smithmicro.com/;http://www.

blender.org

270 S. A. Savov et al.

38. 3D studio max. http://usa.autodesk.com/3ds-max

39. Pixologic Zbrush and Autodesk MAYA. http://pixologic.com;

https://www.autodesk.com/products/maya/overview

40. KNOT-Mac (Knowledge network organizing tool for macintosh).

http://ictmindtools.net

41. QuickTime VR. http://www.easypano.com/panorama-software.

html;http://sky.easypano.com/panoramic-images/Panoramic%

20Image-160.html

42. Microsoft ofﬁce power point and Prezi. https://products.ofﬁce.com/

powerpoint;https://prezi.com/

Multimedia Applications in Education 271

Non-invasive Extremist Identification

and Asset Maintenance

Vladimir Tomaševićand Stanko Bulajić

Abstract

Reactivity plagues academics and ﬁeld operatives alike

and generates false data that invariably lead to inappro-

priate resource allocation and ultimately failure to attain

the desired operational and strategic goals. The only ﬁeld

tried and proved method of asset management, in terms of

extremism control and successful prevention and/or

damage control, is to maintain non-invasive identiﬁcation

and tagging methods that are the prerequisite for later

intelligence gathering. Migratory crisis generated by the

conﬂicts in Syria has opened a new gateway in interna-

tional ﬂow of extremism and increased migrant ﬂow has

given cover for transnational communication from

Afghanistan, via Iran, Syria, and the Balkans into the

EU and onwards. Furthermore it has given an opportunity

for known and identiﬁed elements to disappear of the

radar and become reintroduced in extremist activities

back from where they have originated. Three main

non-invasive methods of identiﬁcation have been devel-

oped and tested; all of which are grounded in inter-group

social interactions within the migrant “community”.

Despite being publicly debated; they for the time being

are insurmountable for extremists as they rely on two

main causalities which they cannot control: behaviour of

children and numbers of migrants.

Keywords

Extremist identiﬁcation Anti-terrorism 

Balkans

1 Reactivity and Relating Issues

1.1 Theoretical Implications of Reactivity

Researchers in the ﬁeld of social sciences are well

acquainted with the so called “Hawthorne effect”, the

quintessential example of the reactivity in observation.

Reactivity means that the subjects of observation change

their behaviour when/if they are aware that their behaviours

are being observed [1]. This important aspect of qualitative

studies, including security studies, has a contamination effect

of the natural social environment and thus on the ﬁnal

ﬁndings [2]. Reactivity presents the most important threat of

the validity of scientiﬁc research ﬁndings when the research

is focused on human behaviours or characteristics [3]. Thus,

the scientists have to take great efforts in reducing the par-

ticipants’reactivity [2].

Obtrusive observation exists when a participant is com-

pletely aware that is being observed and changes the beha-

viour in a way that he or she believes it would satisfy the

observer’s expectations [4]. Also, participants change their

behaviour when seeking positive impressions of themselves

[5]. Unobtrusive observation exists when a participant is not

noticing the observation [4]. Researchers should unequivo-

cally address reactivity by training ﬁeld observers to be able

to be unobtrusive. Facial expressions, posture, movements

and reactions of the ﬁeld observers to the situations and

events can also change participants’behaviours, so training

of the ﬁeld observers to be unresponsive is extremely

important in any ﬁeld survey.

Different researchers point out the ﬁve factors that con-

tribute to reactivity that has to be taken into the account

when conducting research in security studies:

1. Social (non)acceptability of certain behaviours, so

socially undesirable behaviours are suppressed and

desirable behaviours expressed.

V. Tomašević(&)S. Bulajić

Belgrade School of Engineering Management,

Union “Nikola-Tesla”University, Belgrade, Serbia

e-mail: vladimir.tomasevic@ﬁm.rs

S. Bulajić

e-mail: stanko.bulajic@ﬁm.rs

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_31

273

2. Personal characteristics and age may inﬂuence if a sub-

ject or subjects (e.g. children) react less to the direct

behaviours than the other participants.

3. The closeness of an observer and visibility of observation

instruments may cause conspicuousness of subjects.

4. Some characteristics of observers (age, gender, etc.) can

inﬂuence the participants’responses.

5. The rationale of observation can inﬂuence participants’

involvement [6].

It is clear that the scientists have to determine if they

observed natural activities of the subject and not their

reaction to the observers. In theory, reactivity is not a

problem when participants are unaware of the research

context so that they can behave naturally [6].

Many researchers agree that the most valid results are

obtained from observations when reactivity is scaled down.

Scaling down of reactivity is achieved through so called

participant observation, when the real role of the observer is

not known to the participants [7]. To accomplish that, the

observer must be able to completely take the “participant”

role, but even in those situations, the observers’behaviour

might change the course of the observation study. Even in

the cases of observing someone’s behaviour through one

way mirror, the participant’s behaviour might be changed if

he or she is aware of the situation. In many cases, in security

studies it is impossible to organize participant observations

due to problems with the concealing the observers true

identity (ethnical origin, language, culture, etc.). In many

cases the data collected might be tainted because the

observations were not being recorded (or were poorly

recorded) and the observer’s relying only on memory [8].

Some of the researchers, while observing family inter-

actions through audio taping, found out that participants

followed the same behavioural patterns when they didn’t and

did know if the tape recorder was on or off [9]. Also, some

market research (e.g. the research done for Kimberly Clark

and their brand Huggies) in 1980s suggested that using the

video to tape the observed behaviour, changed the partici-

pant’s behaviours only at the beginning of the study. After a

while, the participants were behaving like the cameras were

not recording their behaviours [10].

1.2 Practical Field Implications of Reactivity

One of the largest challenges of security studies research is

that in the last two decades, even in situations where the

observers are not visible, people change their behaviours in

circumstances when they believe they are under the obser-

vation of security cameras (in the major streets, airports,

train stations, government buildings, etc.). Airport security

practices include observations of speciﬁc emotions and

behaviours and proﬁling [11], thus airport security proce-

dures being the most obvious example.

In security studies, it is also necessary not to forget, in

terms of research design, the issue of the validity of the data

collected through interviews and questionnaires when the

participants (e.g. refugees) may try to give socially desirable

answers in order to reach certain personal goals.

Taking all of the aforementioned into account it is clear

that subjects of observations and those that may perceive to

be so, exhibit behaviour that both invalidates scientiﬁc data

collection, and more importantly annuls all efforts of

extremist identiﬁcation and latter tagging methods that are to

follow. Therefore this article focuses on unobtrusive iden-

tiﬁcation methods of potential extremists and thus enables

security services to maintain a secure channel of tagging and

personal following that this article refers to as “asset

management”.

2 Refugee and Migrant Movement

as Extremists’Opportunities

2.1 Conditions for Migrant and/or Refugee

Generation

International survey of international crises has yielded a

summary of events that generate a steady ﬂow of migrants

into Serbia through its’southern border with the FYR of

Macedonia: unresolved status and stressful situation of

refugees and displaced persons from Syria, Afghanistan,

Iraq, Eritrea, Pakistan, Nigeria, Somalia, Sudan, Gambia

and Mali; organized crime, robbery, rioting and the

expression of dissatisfaction with the authorities and indi-

vidual incidents; human; illegal migration and border

breaches; disputes with neighbouring countries; the inability

of the EU to resolve the issue of migrant crisis and indi-

vidual decisions of neighbouring countries in the long run;

import of terrorism; illegal trafﬁcking and smuggling of

weapons; the rise of right-wing extremism; problems with

economic development; endangering energy security

activities [12]. Complexity and the seriousness of threats to

the security to the EU and other nations is partially generated

by the migratory crisis as it creates a window for extremists

to perpetrate borders under false auspices as genuine

refugees.

The aforementioned current international affairs have

created conditions under which refugees and or migrants are

now a force that needs to be taken into account when ana-

lysing security aspects of developed nations.

274 V. Tomaševićand S. Bulajić

2.2 Migrant and/or Refugee Defining

Deﬁnitions state that an economic migrant is a person whose

primary motivation for leaving is economic gain. Lately, the

term ‘migrant’is seen as an umbrella term for three groups

of individuals seeking a new location for settlement [13],

although according to the UNHCR this is not justiﬁable [14].

According to the UNHCR “So, at UNHCR we say ‘refugees

and migrants’when referring to movements of people by sea

or in other circumstances where we think both groups may

be present—e.g. boat movements in Southeast Asia”.

This article takes the position that a ‘refugee’is a person

or persons ﬂeeing war or persecution across an international

border. This article takes the position that ‘migrants’are

people moving for reasons not included in the legal deﬁni-

tion of a refugee. This is the current position of UNCHR

[14].

2.3 Current Migrant and/or Refugee Situation

in Serbia

The migrant crisis that is shaking Europe is the result of

long-standing conﬂicts in the Middle East, Afghanistan and

North Africa, which arose due to the political and economic

instability of states in the region and the deep social and

cultural contradictions of societies within them, followed by

physical violence against the population, war crimes,

ﬂagrant violation of human rights, the destruction of material

and cultural goods. These factors have caused mass migra-

tions of the population from the conﬂict-affected area ﬁrst to

neighbouring countries, and then to Europe as their ﬁnal

destination. In 2015, Europe faced the biggest humanitarian

catastrophe since the end of the Second World War. The

massive and uncontrolled ﬂow of migrants was a great

surprise for the European Union, as well as other countries

on the European continent. “According to the UN refugee

agency [14], in 2015 more than 820,000 illegal migrants

arrived in the EU by sea, mostly in Greece (673,000) and

Italy (142,000). Most of these migrants arrived from Syria

(52%), Afghanistan (19%), Iraq (6%) and 145 Eritrea (5%),

but this wave also includes people from Pakistan, Somalia,

Nigeria, Sudan, Gambia and Mali”[15].

The migrant crisis, created in Syria, has expanded to the

Balkan region, which has become the main area for the

transit of migrants to the countries of Western Europe. Due

to the increased number of migrants, and based on the

decision of the Government of the Republic of Serbia, all

elements of the security and defence system have been

engaged, who have taken appropriate measures within their

jurisdiction.

The goal of the response is to efﬁciently manage the

migrant crisis through the establishment of security,

ﬁnancial, social and humanitarian mechanisms and proce-

dures for a comprehensive and efﬁcient analysis, monitoring,

forecasting and managing the migrant crisis, while ensuring

a stable state of security on the territory of the Republic of

Serbia and respecting and applying international and

national legal norms and standards, in cooperation with

neighbouring countries, the EU and other relevant interna-

tional actors and organizations. This is achieved through the

deﬁnition and implementation of speciﬁc tasks related to

military security, political, legal and diplomatic, as well as

socio-humanitarian activities [16].

Since May 2015, as well as other candidate countries in

the Western Balkans, Serbia has faced a massive inﬂux of

refugees and migrants in transit from Greece to Hungary or

Croatia. Most of them are displaced from Syria, Iraq and

Afghanistan. In 2015, the government registered more than

815,000 refugees who went through Serbia. After the closure

of the so-called Western Balkan migration route in March

2016 and implementing the EU and Turkey agreements, the

number of entries reduced drastically.

2.4 Refugees and Migrants as Cover

for Extremists

The constant ﬂow of refugees and migrants has proven to be

a window of opportunity of transferring extremists across

borders into their intended destination countries under cover

and pretence of refugee status.

This article does not seek to analyse migrants which may

be a result of economic or social (including politically,

sexually or otherwise deﬁned) backgrounds or refugees

(weather genuine or not) but only extremists which use these

covers in order to achieve their goal of reaching their ﬁnal

destination. Current ﬁeld intelligence indicates that about 3%

of all migrants or refugees could potentially be extremists

(terrorists, common criminals, and/or those escaping justice

from their countries of origin). This would imply that

approximately 50–75 extremists’transit through Serbia daily

into Western Europe constantly for the past 3 years [17].

2.5 Need for Unobtrusive Extremist

Identification

Taking into account how the theory indicates that the best

method of observation is unobtrusive and agent ﬁeld expe-

rience which conﬁrms that once subjects are publicly iden-

tiﬁed or “compromised”; a clear need for unobtrusive

extremist identiﬁcation arises.

The following text clearly identiﬁes how tested scientiﬁc

methods have been used to identify extremists amongst

migrants and refugees, three models of how this is done and

Non-invasive Extremist Identification and Asset Maintenance 275

evidence is given to how the results have been tested and

validated.

The authors need to point out that signiﬁcant elements

have been edited in order to protect secondary inferences on

how valid models of identiﬁcation are still in use. The

models described are now termed as “un-stared”which

denotes that their classiﬁed status has been removed and

they are now readily available for academia to use, study and

share publicly. Elements which pertain to this and related

studies that are still deemed as classiﬁed may and can be

accessed once appropriate clearance is granted.

3 Extremist Identification

3.1 The Need of the Observed to Become

Unobservable

Extremists and those that have been identiﬁed as those with

reasonably close family and/or organisational ties to those

that have proven terrorist track records continuously main-

tain the need for subversive, under the radar, and unob-

servable behaviour [18]. By the nature of this behaviour,

individuals that have an aim of reaching their ﬁnal destina-

tion in Western Europe exhibit this primary trait: they

remain low-key even when presented with credible chances

of advancing their passage from the main legal channels

available such as the Red Cross/Crescent, UNCHR, Caritas

or other similar organisations [19].

Using this observed trend, ﬁeld tests, in vivo, in the

period 2015–2017 have been conducted. Field testing has

been conducted in Belgrade Refugee Centre with aid of

professional social and intelligence workers as well as

impartial volunteers. The results have show that out of a

sample of 1000 individuals accompanying adolescents that

have clearly and visibly remained passive when offered

organised and ofﬁcially sanctioned help; secondary security

screening of the 1000 individuals has shown that 91% of

examined individuals have claimed to have lost their per-

sonal identiﬁcation papers, whilst 71% of the sample have

after secondary search and extensive interviewing been

discovered to have been giving a false country of origin, and

84.5% of those giving false information of point of origin

have a criminal record of some form in their native countries

(note deﬁnition of criminal record is taken as a crime in the

country of origin) whilst through undisclosed genetic

matching; 97% of the tested individuals did not have a

genetic match with those that claim to be their dependants.

The results point out that clearly, those who avoid contact in

terms of assistance from ofﬁcials and are accompanied by

children that they claim as their own, once in Serbia, have

something to hide, which is the precursor to potential sub-

versive behaviour.

Although it is appreciated that there may be research

limitations due to the fact that only migrants and refugees

have been examined in this particular Centre, however, this

Centre itself is responsible for processing all of the migrants

and refugees before they either legally leave the country or

disappear once they fail to report i.e. illegally leave the

country and enter the EU.

3.2 Identified Incongruence of the Expected

and Unexpected

Assadi et al. [20] have demonstrated that parents (originating

from some of the countries from where refugees or migrants

appear) that have higher formal educational backgrounds

maintain a more authoritarian stance towards their children.

However, certain individuals of clearly lower formal edu-

cational levels have demonstrated same behaviour with

children in their surroundings, while the children in their

immediate environment do not seem to respond to traditional

parental stimuli [21] from the same individuals. In other

words, there is incongruence both on the side of parental and

child behaviour to what should be observed in the ﬁeld.

Furthermore, once these individuals realise that they are

in the focus of attention of local authorities, or those that

they perceive as persons of decision making capabilities,

they exhibit in-ordinarily high levels of interaction and care

with their children or adolescents that they present as such,

or present themselves as victims on behalf of their

dependants.

3.3 Modes of Identification

Three main modes of identiﬁcation have been derived from

the study of 1000 individuals in Belgrade Refugee Centre:

1. Individuals that are accompanied by adolescents and

those that pose as their family members exhibit beha-

viour that is not congruent with widely deﬁned family

values: children although obedient are note completely

familiar with one member of the group (it does not have

to necessarily be a male member; in 25% of the cases it

was the false mother that was the perpetrator). Within

96 h of intensive observation, children in 100% of the

cases where extremists were identiﬁed, gave away the

real nature of the relationship between the perpetrator and

other members of the group (family, friends from the

neighbourhood, or other associates).

2. Certain individuals are inaccessible by those that pose as

Security services. Whenever ﬁeld operatives, or even

false probes, that are identiﬁed amongst the migrant

community as those that work for the Police, Military or

276 V. Tomaševićand S. Bulajić

Immigration approach or attempt to approach a speciﬁc

individual; some form of incident or commotion appears

and that individual disappears. They are generally

shielded by 2–3 aids that are those that divert attention

and who’s task it is to divert attention to themselves.

These individuals are those that are not accompanied by

adolescents and appear very low key. However, they are

easily identiﬁed by clearly being avoided by what would

be perceived as middle-income and/or educated migrants

that are clearly not refugees but economic migrants.

3. Social migrants, those travelling for economic beneﬁt,

those that are being smuggled for the illegal sex industry

in Europe, common petty criminals, those perceived as

sexual deviants in their countries, or all those that stand

to gain from reaching their ﬁnal destination as a means to

an end in terms of ﬁnancial prosperity rather than simple

avoidance of war-devastated countries avoid any contact

with potential extremists. They are generally afraid of

being seen with then publicly, they avoid any contact

with them in order to avoid conﬂict or being recruited to

help. Thus, economic and social migrants may some-

times share common spaces with genuine refugees, but

will avoid those they perceive as criminals; and in return

for safe passage to their country of choice: in a controlled

test of 100 individuals that were selected, as social and

ﬁnancial migrants rather than genuine refugees, 100%

were willing to participate, while 76% of those tested

have successfully identiﬁed potential extremists (those

that were later conﬁrmed as individuals with connections

to organised crime).

3.4 Testing of Results

One of the fundamental tests is repeatability under controlled

circumstances. Unfortunately, in social sciences, experi-

ments are difﬁcult to repeat, especially from the aspect of

reactivity and repeatability in security studies once original

postulates and methods are publicly announced.

However, a large sample of studied subjects that accounts

for 0.1% of the entire refugee and migrant population that

has passed through Serbia and the fact that up to date, 1 year

after to completion of this research, no change in behaviour

in the ﬁeld has been noticed even though these methods have

been abandoned for more advanced ones indicate validity of

the data. Furthermore, once identiﬁed, subjects are through

certain nanotechnologies tagged, followed, maintained and

managed. Over the past year, once having left Serbia and

having reached their destination in the EU, over 80% have

been proven, in terms of successful arrests and conviction

rates, to be clearly connected to extremist elements and

criminal organisations, further conﬁrming the validity of the

obtained data.

4 Asset Management

Once the potential perpetrator has been identiﬁed, they are

located and tagged. Tagging/marking is done using latest

advancements in nanotechnology (further information only

upon security clearances have been granted). These indi-

viduals are then treated as assets to ﬁeld operatives even

though they themselves are not aware that their position has

been compromised.

From the point of view of the experimentation and

research conducted, asset management is important only for

up to 20 weeks from identiﬁcation at the Refugee Centre.

Their management once leaving Serbia is passed on to the

relevant authorities in their respective countries.

4.1 Asset Confirmation

Conﬁrmation of the successful identiﬁcation comes in the

form of continued interest in the subjects on the part of the

host nations’intelligence services. The fact that so far, our

cooperation has not ceased but in fact increased indicates

further conﬁrmation of this model and validates the results.

4.2 Time of Asset Transition

Assets are managed in three distinct phases:

1. Phase 1 is the time from the moment they are identiﬁed

as potential perpetrators or as those that may belong to an

extremist or criminal organisation until they leave the

territory of the Republic of Serbia. This phase has

traditionally proven to be between 4 and 10 weeks.

2. Phase 2 is the time from when they enter EU and their

journey within the EU where they settle (their trail and

traces of communication may serve as vital intelligence

to those that are already operating within the boundaries

of the EU but have not been identiﬁed yet). This phase

has traditionally proven to be between 8 and 10 weeks.

3. Phase 3 begins from the moment they are deemed to have

reached the destination from where they may commit

certain illegal activities or plan to leave the EU or other

countries such as the US or Russian Federation. This

phase has traditionally proven to be between 16 weeks

and several years.

Non-invasive Extremist Identification and Asset Maintenance 277

Further information only upon security clearances has

been granted.

5 Conclusions

Identiﬁcation of extremist or individuals afﬁliated to known

criminal organisations is prone to reactivity and this paper

has tried to address this issue by showing that it is possible to

take known academic approaches and known parameters of

social experiments and research and gain valid and valuable

data. This research including 1000 refugees/migrants in the

Refugee Centre in Belgrade over a period of two years and

has shown that there are three main models in observation in

social interaction that enable intelligence ofﬁcers in the ﬁeld

to gather data. Three main models are social interaction

incongruence’s between grown individuals and adolescents

which appear to be solely staged for the beneﬁts of what they

think social workers need to see in order to grant safe pas-

sage. In this model, the key to identiﬁcation are children

which even with years of training or being fed false infor-

mation give away the fact that they are not related to their

guardians. Any suspicion can be eliminated by simple

readily available genetic testing whereby the subjects need

not be aware of this. The second method is grounded in the

inability of getting in touch of those that are perceived as

security services through sequences of staged events on the

part of the migrant refugee community. The third method

again arises from social interaction and is grounded in the

fact that social and economic migrants are happy to identify

suspicious individuals in exchange for safe passage and as a

rule of thumb always avoid any contact with extremists and

criminals.

Once threats have been identiﬁed, they are given the

status of an involuntary or subconscious ﬁeld asset that is

managed in three speciﬁc phases. These phases are geo-

graphically a timer restrained and deﬁned. Further infor-

mation only upon security clearances has been granted.

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278 V. Tomaševićand S. Bulajić

Open Platform for Network Functions

Virtualization in the Digital Era

Stela Ruseva, Rumyana Antonova, and Nikola Naidenov

Abstract

Network Functions Virtualization (NFV) is a network

architecture philosophy, which offers a new way to

design, deploy and manage networking services. NFV

enables a new level of service agility and manageability,

while also allowing better asset utilization. To achieve

these and other goals NFV can be used in combination

with Software Deﬁned Networking, another technology

that uses network abstraction. This article analyses Open

Platform for NFV (OPNFV), an open source project, and

its signiﬁcance in providing for an open source reference

platform to validate multivendor, interoperable NFV

solutions. The OPNFV platform architecture and some

of the components, integrated into OPNFV from

upstream projects to build the NFV Infrastructure are

also covered in the article. OPNFV is a carrier-grade

platform, aimed at accelerating the deployment of new

NFV products and services that meets the industry’s

needs by introducing speciﬁc technology components,

based on their use cases and deployment architectures. To

ensure consistency, performance and interoperability

among virtualized network infrastructures, OPNFV

encourages an open ecosystem of participants and enables

broad industry collaboration.

Keywords

Open platform for NFV (OPNFV) Network

functions virtualization (NFV) VNF Cloud

computing OpenStack Software-Deﬁned

networking (SDN)

1 Introduction

The industry’s attention is presently focused on software

conﬁgurable SDN networks as well as virtualization tech-

nologies with NFV functions. Some topics, connected to this

matter, are discussed in this article [1]: How the operator and

its business as a whole transform; What can be offered to the

telecom operators by Operations Support Systems manu-

facturers; How today’s IT industry players can adequately

meet the revolution in networking technologies with proper

management systems in telecommunications.

According to the article [2], the basic necessities in

industry are:

•Increased ﬂexibility of services;

•Increased operative effectiveness;

•Cloud-based models of offered services;

•Dynamic allocation of services to provide necessary

ﬂexibility;

•Possibility to equip the hardware for general use with

new functionalities;

•Integration of the existing open-source NFV systems;

•Complete collaboration, coordination and testing of the

interacting systems;

•Proved, guaranteed quality of network services.

NFV picks out network functions (such as NAT, ﬁre-

walling, intrusion detection, DNS and cashing) from the

patented hardware devices so that they are able to work on

software. NFV has been designed to provide network com-

ponents necessary for the maintenance of the completely

virtualized infrastructure—virtual servers, storage and even

whole networks. It uses conventional IT virtualization

technologies which operate with large amounts of data,

switches and storage hardware in order to virtualize network

functions. NFV can be applied to any functions related to

data transfer or to control functions in cable or wireless

network infrastructure [1,3].

S. Ruseva R. Antonova (&)N. Naidenov

Faculty of Mathematics and Informatics, Soﬁa University

“St. Kliment Ohridski”,Soﬁa, Bulgaria

e-mail: Dr.Antonova@t-online.de

S. Ruseva

e-mail: stela@fmi.uni-soﬁa.bg

N. Naidenov

e-mail: niknn@ucc.uni-soﬁa.bg

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_32

279

A glimpse back in time sheds light and conﬁrms the

beneﬁts from NFV, respectively the development of the

OPNFV project in the context of these problems. It is

obvious that the idea of NFV comes from the network

providers who have looked for a way to accelerate the

introduction of new network services in order to achieve

their own aims at increasing their income. The constraints of

hardware have compelled them to apply conventional

technologies for IT virtualization in their networks. A few

suppliers have united and established The European

Telecommunications Standards Institute (ETSI). ETSI

Industry Speciﬁcation Group for Network Functions Virtu-

alization (ETSI ISG NFV) is a group which has been

charged with the development of the virtualization speciﬁ-

cations and the architecture for various functions in the

telecom nets, for instance the NFV MANO standard. ETSI

also takes part in and supports the recently announced

OPNFV joint project [1].

As NFV uses virtualization technologies and practices,

known in cloud computing, it is reasonable to think of

including OpenFlow-based Software Deﬁned Networking in

the NFV infrastructure. Though NFV and SDN are not

dependent on each other, they are highly complementary.

The practical applications of NFV need dynamic, automated

control of ﬂow routing deployed by various providers. These

problems can be solved with OpenFlow.

SDN is a dynamic, manageable architecture for optimal

using of resources. It can reduce prices and it is adaptable to

the needs of modern applications like high-speed connec-

tion, dynamic changes in the network infrastructure, etc. Just

like NFV, SDN uses network abstraction, capitalizes from

virtualization and heavily depends on it.

SDN is an approach throughout the computer networks

which allows the network services to be managed by

abstraction of lower-level functions. The SDN architecture

helps direct programming of control functions, according to

various situations. This is done by separating the system

which makes decisions where to send the trafﬁc (control

plane) from the lower-level systems which forward the

packets (data plane). Thus the operating network infras-

tructure is separated from the applications and network

services. SDN requires methods by which these systems

(control pane and data plane) exchange information. Open-

Flow is used for this purpose.

OpenFlow [1] was the ﬁrst standard communication

interface deﬁned between the controls and forwarding layer

of the Software-Deﬁned Networking (SDN) architecture.

OpenFlow allows manipulation and direct access to the data

forwarding layer of network devices, such as routers and

switches—physical or virtual ones.

In the conventional router or switch the functions of the

data path and the control path are performed by the same

device. OpenFlow separates these two functions. The data

path section is still the switch, while the high-level router

functions are placed in another controller, usually a server.

The OpenFlow switch and the controller exchange infor-

mation through OpenFlow protocol which deﬁnes the format

of the messages, e.g. packet-received, send-packet-out,

modify-forwarding table, get-stats, etc.

The Data-path section of the OpenFlow switch is an

abstraction of a ﬂow table. Each ﬂow in the table contains

information about the packet heathers: they are scanned for

coincidence in the heather ﬁelds and if found any, operations

are carried out with the packets, for instance, sending a

packet through a certain port, modiﬁcation of a ﬁeld in the

heather of a packet or dropping of a packet. When the

OpenFlow switch receives a packet which does not corre-

spond to any of the lines in the table, the packet is sent to the

controller. Then the controller decides what to do with the

packet: to drop it or to add a record in the ﬂow table and

deﬁne how to proceed with such packets in the future.

OpenFlow allows the introduction of new innovative

protocols for routing or commutation in the existing net-

work. Its applications include mobility of virtual machines,

high-security networks and new generations of IP-based

mobile networks.

OpenFlow is an open standard which allows testing of

experimental protocols in common campus networks.

OpenFlow can be added as functionality to commercial

Ethernet switches, routers and wireless access points (AP).

Experiments can be carried out with no necessity for pro-

ducers to reveal information concerning the operation of

their network devices.

Figure 1shows a speciﬁc case of the NFV use: Managed

Router Service introduced by means of NFV [4]. NFV is

used to virtualize the router function, that way instead of

installing a number of expensive dedicated appliances: a

router in every customer site and a separate aggregation

router, the routing function runs on top of a virtual machine

on general-purpose server hardware. The purpose of SDN

(in this case an OpenFlow enabled switch) is to separate the

control and data planes. By combining NFV with SDN, we

can achieve even more optimization, as the control of the

data plane has been abstracted and standardized, allowing

for network and application development without the need to

upgrades the network devices involved and moving all the

control functions to a centralized location (for ex. a data

center).

2 OPNFV Project

The beneﬁt of source projects, which enable broad collab-

oration and testing, is ever more obvious in the IT industry.

OPNFV operates with organizations, which deﬁne standards

(including ETSI’s, NFV, ISG) in order to coordinate a

280 S. Ruseva et al.

long-lasting integration and test NFV solutions. This close

coordination of principally independent processes is crucial

to the creation of a NFV ecosystem. It can timely eradicate

contradictions, identify solutions and set actual standards. It

results in a faster and economical approach to introduction of

NFV. NFV platform performs functions like management

and observation of components as well as failure recovery. It

provides security mechanisms—anything that is needed for

data transfer to public networks.

Figure 2shows a general view of the platform and the

current activities which aim at achieving the desired inte-

gration, systemized in three ranges [5]. The speciﬁc idea is to

mainly use other “upstream”Open source projects as com-

ponents. The main efforts are concentrated on their inte-

gration. A lot of system tests of the so created platform

follow. Testing is based on speciﬁc cases of NFV use. In the

course of the process, the platform has to respond to new

requirements as well as to new functionalities.

All that being said, it is obvious that Network Functions

Virtualization needs to be managed properly from its early

stages. For that reason NFV MANO was created. It is a

working group of ETSI ISG NFV. NFV MANO is also the

framework appointed by ETSI for the management and

orchestration of all resources in the cloud data center. This

includes computing (processor power), network data storage

resources and virtual machines. NFV MANO is divided into

three functional blocks: NFV Orchestrator, VNF Manager

and Virtualized Infrastructure Manager (VIM) [6].

The initial aim and ﬁrst step of OPNFV is to provide

NFV Infrastructure (NFVI), Virtualized Infrastructure

Management (VIM) and APIs with other NFV elements,

which all form the basic infrastructure, needed for the Vir-

tualized Network Functions (VNFs) and Management and

Orchestration (MANO) components.

Figure 3shows the OPNFV architectural framework [7].

The OPNFV project focused initially on the so called

NFV infrastructure layer/plane. Both network functions—

virtualization infrastructure (NFVI) and virtualized infras-

tructure manager (VIM) are the two functional blocks

making up the base for the introduction of application

software which would be working in virtualized

environment.

Fig. 1 An example of NFV in

combination with OpenFlow

Fig. 2 A general view of the

platform, focusing on basic

activities and collaborations

Open Platform for Network Functions Virtualization …281

•NFVI allows access to basic resources for computing,

data storing and network services by means of hypervi-

sors and SDN functions.

•VIM controls NFVI and has the managing functions

necessary for the introduction of applications working in

a virtualized environment. The term “virtual network

functions”(VNFs) usually refer to these applications.

OPNFV is working on creating of a reference platform

and is not trying to re-invent these already existing com-

ponents. The project focuses mainly on concordance

between the interfaces of the components and aims at

establishing a standard of a functional platform.

In the computer industry, there are a lot of initiatives

about the mentioned above components and functionalities

discussed in private or public forums. The OPNFV project is

trying to join these components in a modular, widely known

model for introduction of NFV technologies accessible to all

partners in industry.

To achieve this goal OPNFV focuses on the interfaces

throughout the components and the way these components

interact. These interfaces can be brought to four basic ﬁelds.

The purpose of the Virtual Network Function interfaces,

referring to the VL-Ha, is to create common interfaces

between the platform and the operating hardware underneath

or to separate the software from the hardware. In this way,

the software will not be dependent on the hardware it is

operating with. One can expect the appearance of numerous

standard implementations which enable the operators to:

•Share infrastructure resources for different purposes.

•Redistribute resources for different purposes.

•Improve simultaneously software in hardware.

•Use software and hardware components from different

producers.

The interfaces whose applications are used to operate

with the virtual infra-structure (Vn-Nf) are OPNFV inter-

faces belonging to the applications. They are a cut-point

between the software of a platform and hosted services.

Application developers directly develop them for virtualized

media or migrate their applications towards a virtualized

infrastructure. In both cases they need guaranteed capacity

and reliability of the platform they work on as well as its

ability to operate on different scale.

These basic principles and the ability of the platform to

operate on/with a common/mutual packet of APIs (interfaces

for application programming) provide a long lifespan and

compatibility of these applications.

The interfaces between the Virtual Infrastructure and the

VIM (Nf-Vi) are internal to the OPNFV interfaces which

control the NFVI virtualized resources and set coordinated

Fig. 3 OPNFV architectural framework focusing on the infrastructure layer

282 S. Ruseva et al.

and comprehensible behavior of the processes within the

platform. These interfaces generate critical functions for

maintenance and for the system operations like:

•Organized management of the NFVI virtual systems for

calculations, data storage and network services.

•Distribution and connectivity of the virtual infrastructure

resources.

•Monitoring of the system—the already used part of the

resources, capacity, failures etc.

The interfaces from the VIM to the VNF manager and the

organizing system (Or-Vi and Vi-Vnfm) are interfaces which

enable the application control systems and the organizing

systems to interact with the virtual infrastructure manager.

These interfaces realize visibility of the operations and the

virtual system itself. Thus, the application control systems

can accomplish management and optimization of the virtu-

alized network functions operating in NFVI. The organizing

systems can co-ordinate various elements at end-to-end

communication among particular services.

3 OPNFV Components Analysis

Ceph is the chosen data storage technology. Ceph provides

object, block and ﬁle storage with access to a uniﬁed system.

Ceph also provides distributed object storage. Its libraries are

accessible to clients’applications and to the RADOS (reli-

able automatic distributed object store) storage system.

Ceph’s software libraries give the applications written C, C+

+, Java, Python and PHP access to the object storage system

by using their intrinsic APIs. Moreover, REST interface,

which is compatible with applications written for Amazon

S3 and OpenStack Swift, is accessible through the RADOS

Gateway. Ceph RADOS Block Device (RBD) also gives

access to the images of the block devices which are frag-

mented and are replicated all over the storage cluster [8].

The ﬁle system CephFS is operating with the same object

storage system which furnishes object storage and interfaces

to the block devices. The server cluster for Ceph metadata

provides a service which creates a map of the ﬁle names and

the ﬁle system directories corresponding to objects stored in

RADO Store clusters. The metadata server cluster can

expand or shrink, which makes it possible for it to rebalance

dynamically the ﬁle system, so that data can be spread

evenly among the cluster hosts. Ceph provides unlimited

storage of ﬁle systems and better data security in the crucial

to businesses applications. Customers can mount or attach a

POSIX-compatible CephFS ﬁle system by using a client

software from the LINUX core. The Ceph client was added

to the Linux core in 2010. The servers operate like standard

Linux daemons.

ETSI NFV architecture contains a platform for cloud

orchestration as a component. This platform makes use of

general (widely used) functionality which is being built in

various solutions, for instance, to create infrastructure as a

service (IaaS) clouds. Although the developers of OPNFV

project do not display bias towards a particular platform, it is

a fact that the creation of a reference implementation needs

the use of a particular platform for cloud orchestration, not a

generalized class of such solutions. For the time being,

OPNFV society has chosen OpenStack—another open

source platform for cloud orchestration. This does not dis-

count the possibility that some developers who want to

contribute to the project could rewrite the code using an

alternative platform for the purpose.

OpenStack was chosen because of its basic beneﬁtto

acquire the necessary ﬂexible cloud infrastructure which

gives the users computation power [9]. OpenStack is a cloud

operational system which can control great aggregates of

resources making computations (for example various

hypervisors), data storage and network resources. They are

all controlled by a single operating panel. Thus the operators

can control and monitor the whole infrastructure in a cen-

tralized way and the users can request resources through web

interface [10].

OpenStack is referred to as an Infrastructure as a Service

(IaaS) cloud technology. This means that OpenStack sup-

ports the infrastructure by enabling/and enables the users to

quickly add new units, for instance, virtual machines. Other

components of the cloud can operate on these virtual

machines as well. Various tasks connected to the manage-

ment of the cloud media can be accomplished even during its

operation. Applications can easily be adjusted to the number

of users on the move by simply including more or less

communicating among themselves units for doing a certain

task (horizontal scaling) [10].

It is also important that OpenStack itself is open software.

It is being developed by a whole society, not by a single

producer, which makes it ideal for a heterogeneous infras-

tructure. Since its source code is an open one, it could be

modiﬁed for the OPNFV needs. It is obvious that on the one

hand OpenStack is necessary for OPNFV and on the other

hand it is not enough for it [10].

Another current problem is the fact that a lot of middle

box devices which are to be virtualized have almost

unachievable output requirements. It is known that middle

box is a device which checks, ﬁlters or manipulates the

trafﬁc not only to transfer packets. Examples of such middle

box devices are Firewall, Network Address Translator,

Intrusion Detection System, Load Balancer, WAN Opti-

mizer. These interstitial/intermediate/medial/median devices

have to manipulate and forward numerous packets without

delay at the speed which the physical network allows

through networks that have capacity of terabits and even

Open Platform for Network Functions Virtualization …283

larger. As a result, OPNFV needs improved technology to

accelerate the operation of virtual machines on data carried

through the network. Techniques optimizing hypervisors,

net drivers, etc. should be embodied in OPNFV [9].

In order to optimize NFV, in addition to the need of high

productive platforms working with virtual machines, virtual

machines should be positioned on particular hosts, based on

expected communication models. OpenStack can take into

account other factors except for the efﬁcient use of com-

puting resources and plan where to start a virtual machine so

that this machine can perform certain tasks [9].

Improved, large-scale, distributed platforms and tech-

nologies for data storage have to be supported because of the

scale of service providers’networks, precise measurement of

the used services by the customer, determining of prices as

well as agreements for servicing, etc. The good thing is that

OpenStack requirements exist for quite a long time, so

OPNFV can use some already ready solutions [9].

Another prerequisite for acquiring maximum beneﬁt from

NFV is that network trafﬁc is handled by virtual functions

(VNFs) in a deﬁnite order depending on various conditions.

Virtual machines are in the role of middle boxes. Agile,

programmable networks which use automated software

system to deliver services, ﬂexibility and rescaling according

to the necessities are needed. The realizations of these

requirements will substantially reduce working expenditures.

The network sub-system plays a vital role in the cloud

organization which good solution to the outlined problems is

SDN [9].

There are two key questions when speaking about NFV

network with OpenStack.

•Making network functions in the virtualized media

high-productive.

•Using/deploying ﬂexible and powerful technology for

automated creation of rules for the network devices

needed for the implementation of service function chains

(SFCs) [9].

Some useful explanations are necessary referring to

SFCs: Service Function chaining can deﬁne classiﬁed list of

network services or service functions (for instance, ﬁrewall

load balancer, deep packet inspection) for the passing

packets. SFC is itself an arranged chain of service functions

through which the packets have to pass. It can be difﬁcult to

classify and process packets in a deﬁnite order in a network

topology, where a great number of remote devices perform a

certain function. For instance, a packet may have to be

inspected for viruses by DRI before entering the inner net-

work. This packet has to be distributed by a load balancer

beforehand and rerouted towards a certain DPI device. After

the inspection it has to pass through NAT, etc. The existing

models for delivering/deploying network functions have a

lot of problems like dependence on the network topology,

problems with the classiﬁcation of packets and the need of

certain constant order for packet processing. SFC solves the

problems by creating a frame which looks after the gathering

of deﬁnite instances which deploy a certain service in a

common “shell”. This “shell”is a service and it is inde-

pendent from the topology of the network. A controller can

easily manage the network in this way [11].

The SDN controller has to respond to the requirements of

SFCs and use NFV orchestrator’s interface. A program

interface (API) based on intentions (goals, desired results)

has to be used. There has to be determined what virtual

functions to be included, as far as the conﬁguration of the

network itself goes to the second place. This solution

requires furnishing of SDN controller with API. API enables

the NFV orchestrator to create convenient SF chains. In this

case they do not require details like speciﬁc protocols and

technologies necessary for the realization of the rules for

trafﬁc rerouting within a speciﬁc chain (SFC) [9].

As a ﬁnal goal, the needs of communication virtual

machines should be transferred to the SDN controller in a

way that certain requirements could be fulﬁlled. The

requirements satisfy agreements on service level (SLAs) and

cover speciﬁed speed of the connection, maximum latency,

variations in packet delays (jitter), price of service, etc. This

is very important particularly for the delivery of cloud ser-

vices. The details concerning this realization have to be

concealed in the SDN controller, as if it is a black box.

A suitable description of communication needs has to be

provided for the purpose. Thus, very intrinsic technologies

become accessible to amateurs who are interested only in the

opportunity to satisfy certain necessities of their businesses

[9]. OPNFV also addresses the development of NFV solu-

tions across other open source environments.

Through system level integration, deployment and test-

ing, OPNFV creates a reference NFV platform, aimed at

accelerating the transformation of enterprise and service

provider networks towards NFV-based architecture.

Already, some of the biggest companies in the IT industry

are collaborating for the development of the OPNFV project.

Members of the project include: the largest telecommuni-

cations and company (AT&T), the largest mobile telecom-

munications company (China Mobile), CISCO, Hewlett

Packard, IBM, Intel, Ericsson, Nokia, Huawei Technologies,

Red Hat, VMWare—a major cloud computing and platform

virtualization software provider, etc. (for the full list of

companies, see [12]). This open industry collaboration

ensures that that the OPNFV standard will bring NFV

infrastructure, suitable for a broader range of practical use

cases for the business. Participation in the OPNFV project is

open to anyone interested.

284 S. Ruseva et al.

4 Conclusion

Open Platform for NFV (OPNFV) is an open source project,

which brings together the work of standards bodies, open

source communities, service providers and commercial

suppliers to deliver a standardized NFV platform for the IT

industry that combines multivendor, interoperable NFV

solutions. OPNFV has a key role in the evolution of NFV

components across different open source ecosystems.

References

1. The SDN, NFV & Network Virtualization Ecosystem. https://

globenewswire.com/news-release/2015/12/10/794548/0/en/The-

SDN-NFV-Network-Virtualization-Ecosystem-2015-2030-SDN-

and-NFV-Investments-will-Grow-at-a-CAGR-of-54-Between-

2015-and-2020-to-Account-for-over-20-Billion-in-Revenue-by-

the-End-.html/. Last accessed 10 Dec 2016

2. Introducing Open Platform for NFV. https://www.opnfv.org/sites/

opnfv/ﬁles/pages/ﬁles/opnfv_overview_deck_06042015.pdf/. Last

accessed 10 Dec 2016

3. Network Functions Virtualisation—Introductory White Paper.

https://portal.etsi.org/NFV/NFV_White_Paper.pdf,https://portal.

etsi.org/NFV/NFV_White_Paper2.pdf,https://portal.etsi.org/NFV/

NFV_White_Paper3.pdf/. Last accessed 16 Oct 2016

4. NFV and SDN: What’s the Difference? https://www.sdxcentral.

com/articles/contributed/nfv-and-sdn-whats-the-difference/2013/

03/. Last accessed 11 Feb 2016

5. OPNFV Platform Overview. http://artifacts.opnfv.org/opnfvdocs/

colorado/docs/overview/index.html/. Last accessed 31 Dec 2016

6. What is NFV MANO? https://www.sdxcentral.com/resources/nfv/

nfv-mano/. Last accessed 01 Mar 2017

7. Opnfv whitepaper 103014. http://www.slideshare.net/OPNFV/

opnfv-whitepaper-103014/. Last accessed 31 Oct 2016

8. Ceph: The Future of Storage. http://ceph.com/docs/,http://ceph.

com/ceph-storage/object-storage/,http://ceph.com/ceph-storage/

ﬁle-system/. Last accessed 12 Dec 2016

9. OpenStack’s Role in an OPNFV Reference Implementation.

https://www.sdxcentral.com/articles/contributed/openstacks-role-

opnfv-reference-implementation/2014/11/. Last accessed 19 Nov 2015

10. OpenStack. http://www.openstack.org/. Last accessed 04 Apr 2017

11. Service Function Chaining—Helium, Lithium and the Way

Forward. http://events.linuxfoundation.org/sites/events/ﬁles/slides/

SFC-Helium-Lithium-and-beyond.pdf/. Last accessed 28 Sept

2016

12. Members—OPNFV. https://www.opnfv.org/about/members/. Last

accessed 16 Oct 2016

Open Platform for Network Functions Virtualization …285

Optimizing Turbo Codes for Secret Key

Generation in Vehicular Ad Hoc Networks

Dhouha Kbaier Ben Ismail, Petros Karadimas, Gregory Epiphaniou,

and Haider Al-Khateeb

Abstract

We present an algorithm that allows two users to establish a

symmetric cryptographic key by incorporating the most

important features of the wireless channel in vehicle-to-

vehicle (V2V) communication. Non-reciprocity compen-

sation is combined with turbo codes (TCs) for error

reconciliation purposes. For fair comparisons, the indexing

technique is applied in conjunction with the non-recipro city

compensation technique. A series of simulations are run to

calculate key performance indicators (KPIs). High entropy

values are obtained throughout all rounds of simulation

during the key extraction process. Furthermore, simulation

results indicate a signiﬁcant improvement in bit mismatch

rate (BMR) and key generation rate (KGR) when TCs are

used. Increasing the number of iterations in the TC can

signiﬁcantly improve the Bit Error Rate (BER), thus

generating more symmetric keys. The key generation rate

was reported high ranging from 17 to 19 for the 256-bit

symmetric keys per minute with TCs, while it is ranging

from 2 to 5 when compared with a sample indexing

technique published in the public domain. Finally, simu-

lations proved also improvements for different key lengths

as part of the error reconciliation process when TCs are

used with an almost regular permutation (ARP) instead of a

random permutation.

Keywords

Almost regular permutation Bit mismatch rate 

Entropy Error reconciliation Key generation 

Quantization Scatterers’mobility Thresholding 

Turbo codes VANET

1 Introduction

Traditional wireless communications are vulnerable to

man-in-the-middle attacks where certain aspects of conﬁ-

dentiality, integrity, and availability are violated. Conven-

tional cryptographic solutions based predominantly

on-stream ciphers generate shared secrets using

pre-computational techniques or public key cryptography

[1]. Public key cryptography, in particular, has proved to

increase computational complexity during secret key gen-

eration, especially for low-end energy efﬁcient devices [2].

Channel-based key extraction approaches try to exploit the

physical properties of wireless channels such as reciprocity

and temporal/spatial variability in an attempt to provide the

necessary randomness for the symmetric key creation [3,4].

Vehicular ad hoc network (VANET) based applications

are expected to address challenges that current transportation

systems are facing, since they can provide solutions for a

safer, more efﬁcient and sustainable future intelligent trans-

portation systems (ITS). In a typical VANET environment

where access to infrastructure is given (see Fig. 1), the

wireless links between nodes and co-existent adversaries

experience uncorrelated channel attributes. Nodes are also

distributed and self-organized with the majority of wireless

communication carried out by on-board units (OBU) inte-

grated with additional services and processes running [5].

Therefore, these channels in vehicular networks can offer

some level of conﬁdentiality during the key generation

process between parties, which reduce the computational

complexity and relax certain barriers related to key man-

agement requirements.

In this paper, all the essential vehicle-to-vehicle (V2V)

communication characteristics are incorporated in the key

generation process such as three-dimensional (3D) multipath

propagation and surrounding scatterers’mobility (i.e. other

vehicles). We employ the comprehensive parametric

stochastic V2V channel model presented in [6] to syntheti-

cally generate the receiver’s channel response (Bob’s

D. K. B. Ismail (&)G. Epiphaniou H. Al-Khateeb

Faculty of Science and Engineering, University of

Wolverhampton, Wolverhampton, UK

e-mail: d.kbaier@wlv.ac.uk

P. Karadimas

School of Engineering, University of Glasgow,

Glasgow, Scotland, UK

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_33

287

channel), from which the transmitter’s response (Alice’s

channel) arises after applying the non-reciprocity compen-

sation technique presented in [7]. After the necessary

thresholding used to allocate bits according to designated

signal levels, we utilize turbo coding (TC) techniques for

information reconciliation. We focus on several parameters

that affect the performance of TCs such as number of

decoding iterations, generator polynomials, constraint

lengths of the component encoders and the interleaver type.

For fair comparisons, the indexing technique [8] was applied

in conjunction with the non-reciprocity compensation tech-

nique in [7]. Simulations are run, and performance analysis

is carried out. The key generation rate (KGR) and bit mis-

match rate (BMR) are computed in both scenarios.

This paper is organized as follows. Section 2presents an

overview of the most important error correction codes that

can be potentially used in the information reconciliation

stage. Then, the authors present their algorithm and the

adopted V2V channel model in Sect. 3. Furthermore, Sect. 4

deals with information reconciliation using TCs in VANET,

while Sect. 5focuses on the importance of privacy ampli-

ﬁcation. A Graphical User Interface (GUI) was designed to

run the developed algorithm. Thus, simulations are run, and

performance analysis is carried out in Sect. 6. Several key

performance indicators (KPIs) are employed. Finally, Sect. 7

draws some conclusions.

2 Error Reconciliation

Error reconciliation is the next step in the secret key gen-

eration process to correct miss-matched information due to

imperfect reciprocity and random noise in the channel. The

bit mismatch rate is deﬁned as the number of bits that do not

match between two devices divided by the total number of

bits extracted prior to error reconciliation and privacy

ampliﬁcation. Several error reconciliation algorithms have

been introduced with different tradeoffs between communi-

cation and computational complexity, throughput error cor-

rection capabilities (e.g. Cascade [9] and Winnow [10]).

Gallager’s Low Density Parity Check (LDPC) codes have

recently been shown to increase the rate of error reconcili-

ation with computational overhead added as part of their

operation. LDPC can be more efﬁcient than Cascade as they

can become rate adaptive leading to more efﬁcient interac-

tive reconciliation protocols [11,12].

The invention of turbo codes (TCs) [13] was a revival for

the channel coding research community. Historical turbo

Fig. 1 Vehicular networking

architecture

288 D. K. B. Ismail et al.

codes, also sometimes called Parallel Concatenated Convo-

lutional Codes (PCCCs), are based on a parallel concatena-

tion of two Recursive Systematic Convolutional

(RSC) codes separated by an interleaver. They are called

“turbo”in reference to the analogy of their decoding prin-

ciple with the turbo principle of a turbo compressed engine,

which reuses the exhaust gas in order to improve efﬁciency.

The turbo decoding principle calls for an iterative algorithm

involving two component decoders exchanging information

in order to improve the error correction performance with the

decoding iterations. This iterative decoding principle was

soon applied to other concatenations of codes separated by

interleavers, such as Serial Concatenated Convolutional

Codes (SCCCs) [14,15], sometimes called serial turbo

codes, or concatenation of block codes, also named block

turbo codes [16,17]. The near-capacity performance of turbo

codes and their suitability for practical implementation

explain their adoption in various communication standards.

In [18] the authors proposed utilizing Turbo codes for rec-

onciliation purposes. Further investigation in [19] show that

TCs are good candidates for reconciliation. The efﬁcacy of

TCs with regards to their error correction capabilities in

various wireless communication standards is also recorded

in [20]. Further work in [21] demonstrates the improved

performance of TCs over Reed Solomon and CCs which are

the de facto error correction codes used in 802.11p vehicular

networks. However, this work does not comprehensively

incorporate physical propagation characteristics such as 3D

scattering and scatterers’mobility which is addressed in this

work.

3 Detailed Architectural Design

Figure 2presents the algorithm’s strawman. Starting from

the ﬁrst step, synthetic data are generated for the purpose of

demonstration by employing the Monte Carlo simulation

method [22,23]. The input parameters of the algorithm are

provided by the inherent physical attributes of the dynamic

V2V propagation channel. Indeed, the comprehensive

parametric stochastic V2V channel model presented in [6]is

adopted. The vehicles are in motion and all are generally

equipped with both Tx and Rx.

Based on that channel model, the receiver’s samp les (Bob’s

channel estimates) are generated. From the received data, the

transmitted data (Alice’s channel estimates) are modeled by

considering the non-reciprocity compensation technique pre-

sented in [7]. At this phase, a lossy quantization process is

preferred due to its computational simplicity. The target is to

end up with a maximum secret bit extraction rate and entropy.

The number of bits that do not match between Alice and Bob to

the number of bits extracted by the quantization process

determines the bit mismatch rate. Turbo decoding is then

performed in order to generate a symmetric output, i.e. sym-

metric keys for Alice and Bob. Performance of the reconcili-

ation method can be evaluated by measuring the BMR and the

Bit Error Rate (BER). For fair comparisons, the indexing

technique was applied in conjunction with the non-reciprocity

compensation technique.

4 Information Reconciliation Using Turbo

Codes in VANET

The invention of turbo codes (TCs) [13] was a revival for the

channel coding research community. The near-capacity

performance of turbo codes and their suitability for practi-

cal implementation explain their adoption in various com-

munication standards as early as the late nineties: ﬁrstly, they

were chosen in the telemetry coding standard by the CCSDS

(Consultative Committee for Space Data Systems) [24], and

for the medium to high data rate transmissions in the third

generation mobile communication 3GPP (Third Generation

Partnership Project)/UMTS (Universal Mobile Telecommu-

nications System) standard [25]. They have further been

adopted as part of the Digital Video Broadcast—Return

Channel via Satellite and Terrestrial (DVB-RCS and

DVB-RCT) links [26,27], thus enabling broadband inter-

active satellite and terrestrial services. More recently, they

were also selected for the next generation of

Fig. 2 Detailed architectural design

Optimizing Turbo Codes for Secret Key Generation in Vehicular …289

3GPP2/cdma2000 wireless communication systems [28]as

well as for the IEEE 802.16 standard (WiMAX) [29]

intended for broadband connections over long distances. In

our approach, we use TCs for reconciliation purposes in

VANET environment. In Sect. 6, simulations are run, and

performance analysis is carried out.

5 Privacy Amplification

Masquerading or eliminating information exchanged during

this process is usually deﬁned as privacy ampliﬁcation [30,

31]. Privacy ampliﬁcation is used to transform a string which

is only partially secret to a highly secret string usually

shorter. This process is also used to account for any infor-

mation exposed during error reconciliation phase and ensure

that eavesdroppers do not gain signiﬁcant advantage to the

point where they are able to reconstruct a signiﬁcant part of

the key. The Winnow protocol discards certain bits during

error reconciliation (privacy maintenance) whereas Cascade,

LDPC, and TCs do not. In Cascade, the binary search must

rerun on previous blocks, whereas for LDPC and TCs only

one pass is necessary so there is no need to discard bits

before the error reconciliation is complete. The number of

bits is tracked and then subtracted from the ﬁnal key rec-

onciled. The last step in the key generation process assumes

that the information extraction about the shared key used

should be computationally expensive to adversaries. Most of

the existing approaches focus on different threat models and

assumptions around the level of access to the channel.

‘Trapdoor’functions are used as means to assure a certain

level of authentication and integrity in this process. These

functions are also used as a mean to reduce the size of the

ﬁnal key and amplify any errors if hashing a reasonable copy

of the key is attempted, to a degree that even exhaustive

search of the key space would be infeasible.

6 Simulations Results

The authors have designed a Graphical User Interface

(GUI) to run the developed algorithm. Figure 3illustrates

the main KeyGen simulation with a visualization of the

whole process towards the establishment of symmetric keys.

It also illustrates samples for both Bob and Alice based on

the parametric stochastic model introduced in this work

generating the synthetic data for different scenarios in V2V

communications. The algorithm currently avoids using sta-

tistical measures and it is solely based on the channel fading

process. The parameters are fully customizable from the

tools menu of the software demo. The GUI is not funda-

mental for the core algorithmic operation and can be omitted

in real-life implementations or fabricated products. The

thresholding scheme employed inﬂuences the number of

samples discarded from both Alice and Bob. The GUI output

also demonstrates the number of keys established during the

simulation and the total time required generating those keys.

6.1 Key Performance Indicators

First, the probing rate for both Alice and Bob fP¼fPA ¼fPB

are considered the same for the purpose of channel estimates

collection. The core Key Performance Indicators (KPIs) of

interest in our protocol up to this stage are the key generation

rate, the randomness of the generated bits for symmetric

keys and bit mismatch rate (BMR). The entropy is the de

facto metric which quantiﬁes the uncertainty of the gener-

ated bit string. The higher the entropy, the limited the ability

to deduce a secret key established by Eve is. Usually, BMR

is measured as a ratio of the number of bits that do not match

between Alice and Bob to the number of bits extracted at the

thresholding stage.

6.2 Our Methodology

Bob’s generated sequence after quantization is fed to the

input of a TC. During this process, a single threshold is

adopted as a lossless quantization scheme with the potential

to substantial increase the key generation rate [32]. Turbo

decoding is then performed in order to generate a symmetric

output, i.e. symmetric keys for Alice and Bob. Performance

of the reconciliation method can be evaluated by measuring

the BMR and the Bit Error Rate (BER). The comparison is

made against the sample indexing technique already applied

in our algorithm as discussed in Sect. 1. We calculated BMR

by considering the discarded indexes after Alice’s and Bob’s

channel probing. Thus, the BMR is measured as a ratio of

the number of bits that do not match between Alice and Bob

to the number of bits extracted by the adopted quantization

process after appropriate thresholding.

6.3 Simulation Results

In Table 1, we compute also the key generation rate for

different key lengths. TCs are ﬁrst run with a random per-

mutation and one decoding iteration. Compared to the

samples’indexing method in [8], there was a signiﬁcant

improvement on both BMR and key generation rate.

The BMR with single thresholding is only 0.02 whereas the

estimated BMR with the indexing technique is around 0.22.

Note that the BMR with the indexing technique is nearly the

same for different key lengths which is coherent with the

uniform method used by authors and algorithm presented in

290 D. K. B. Ismail et al.

[8]. The key generation rate was also reported high consid-

ering different key lengths requested. For instance, the secret

key rate to generate the 256-bit symmetric key is 17 good

keys per minute with TCs while it varies from 2 to 5 sym-

metric keys per minute with the indexing technique.

Then, in Table 2we compute the key generation rate

where TCs are run with an almost regular permutation

(ARP) permutation and several decoding iterations. Indeed,

increasing the number of iterations in the TC can signiﬁ-

cantly improve the BER, thus generating more symmetric

keys. However, a compromise should be found since this

operation is computationally expensive and adds a delay in

the process. We report the BER performance of the TC for

the block size 5000 bits, at coding rate in Fig. 4. Thus, the

total number of samples is 10,000 bits for both Alice and

Bob. For a signal to noise ratio SNR = 0.8 dB, the simulated

BER to generate a symmetric shared key between Alice and

Bob after error reconciliation is estimated to 4:9102for

the 1st iteration using TCs while the BER is 2:5103for

the 4th iteration and only 1:8103for the 8th iteration.

Note that the KGR reaches a limit and remains the same

beyond 4 decoding iterations. In the simulations of Table 2,

the maximum number of turbo decoding iterations is set to 4

iterations. As shown in Table 2, simulations proved also

improvements for different key lengths as part of the error

reconciliation process when TCs are used with an ARP

permutation instead of a random permutation. Finally, high

entropy values were obtained throughout all rounds of

simulation during the key extraction process. Note that the

higher the entropy, the limited the ability to deduce a secret

key established by an adversary such as Eve.

In future studies, we would like to further investigate TCs

for error conciliation purposes. We will focus on other

parameters that affect the performance of TCs such as

component decoding algorithms, generator polynomials and

constraint lengths of the component encoders.

Fig. 3 An implementation of alice’s and bob’s samples

Table 1 Simulation results in

secret key generation Indexing technique Turbo codes

Key length (bits) 128 256 512 128 256 512

BMR 0.22 0.02

Entropy (bits/sample) 0.85–0.97 0.94–0.99

KGR (keys/min) 3–72–51–235 17 8

Table 2 Key generation rate

with ARP permutation and

different decoding iterations

Turbo codes

Key length (bits) 128 256 512

Iteration 1 36 18 9

Iteration 439199

Optimizing Turbo Codes for Secret Key Generation in Vehicular …291

7 Conclusion

We proposed an algorithm considering the most important

features in V2V communication such as 3D multipath

propagation and surrounding scatterers’mobility. Synthetic

data were generated for the purpose of a demonstration by

employing the Monte Carlo simulation method. Simulations

were run successfully by combining non-reciprocity com-

pensation with turbo codes. Increasing the number of itera-

tions in the TC can signiﬁcantly improve the BER, thus

generating more symmetric keys. Moreover, simulations

proved improvements for different key lengths as part of the

error reconciliation process when TCs are used with an ARP

permutation instead of a random permutation. Compared

with a sample indexing technique in the public domain,

results have shown signiﬁcant improvements for key gen-

eration rate and bit mismatch rate with high entropy values

obtained throughout all rounds of simulation.

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Optimizing Turbo Codes for Secret Key Generation in Vehicular …293

PROBSOL: A Web-Based Application

to Develop Problem-Solving Skills

in Introductory Programming

Sohail I. Malik , Roy Mathew , and Maytham M. Hammood

Abstract

Problem-solving skills are considered as an important part

of learning to program for novice programmers. Different

techniques such as pseudocode and ﬂowchart are used to

develop these skills. In this study, a web-based applica-

tion ‘PROBSOL’was developed and offered to the

novices in an introductory programming course to acquire

problem-solving skills. The PROBSOL application is

based on pseudo-code technique. One of the advantages

of this application for novices is to focus on problem

domain without worrying about the syntax of the

programming language. Practice questions related to all

the topics included in the introductory programming

course were prepared and offered in the application. The

results show a positive impact on the students’learning

outcomes and attrition rate. Students (treatment group)

who used the PROBSOL application show better results

compared to the control group.

Keywords

Problem-solving skills Pseudo code Introductory

programming

1 Introduction

Programming is an important and fundamental skill that

needs to be developed to meet the requirements of an

information society. Programmers are considered to be

builders of the information society. They develop software

applications consumers’use every day, multimedia appli-

cations which provide constant streaming and entertainment

information, and complex systems which perform essential

tasks.

The Bureau of Labor Statistics [1] predicts high demand

for programmers in the employment market in coming years.

To meet the requirements of the market, computer science

(and related disciplines) degree programs emphasise the

programming ﬁeld by including programming studies in

the ﬁrst semester of the degree programs. To become a

programmer requires the development of multiple skills

including critical thinking, problem-solving, being detailed-

oriented, as well as learning the syntax and semantics of the

programming language. For novices, to acquire all these

skills is considered a challenging and difﬁcult task. They

have to focus on learning both problem-solving strategies

and the syntax and semantics of the programming language

to acquire these skills.

High failure and drop-out rates from introductory pro-

gramming (IP) courses continue to be of signiﬁcant concern

to computer science disciplines despite extensive research

attempting to address the issue [2–7]. Researchers have

identiﬁed that novice programmers spend more time trying

to understand programming language syntax and semantics

(programming knowledge) [8] rather than paying attention to

planning the problem (problem-solving strategies) [8–12].

Koulouriet [13] argued that ‘teaching problem solving

before programming yielded signiﬁcant improvements in

student performance’(p. 1).

In this study, a web-based application ‘PROBSOL’was

developed and offered to the novices in an introductory

programming course to acquire problem-solving skills.

The PROBSOL application is based on pseudo-code tech-

nique. One of the advantages of this application for novices

is to focus on problem domain without worrying about the

syntax of the programming language.

This paper is divided into a number of sections. It starts

with a review of the literature, followed by a brief intro-

duction to the PROBSOL application. The methodology

S. I. Malik (&)R. Mathew M. M. Hammood

Buraimi University College, Al-Buraimi, Oman

e-mail: Sohail@buc.edu.om

R. Mathew

e-mail: Roy@buc.edu.om

M. M. Hammood

Computer Science Department, Tikrit University, Tikrit, Iraq

e-mail: Maytham@buc.edu.om

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_34

295

used for this study is then described, and research results are

reported and discussed. The paper concludes with a sum-

mary of the outcomes.

2 Literature Review

De Raadt [8]deﬁnes problem-solving as ‘A mechanism for

achieving a solution to a programming problem’(p. ix). This

deﬁnition is also applicable in our context. It is commonly

accepted that teaching problem-solving techniques is not an

easy task [14]. Additionally, different researchers have

shown that students in IP courses do not concentrate on

developing problem-solving skills and instead spend more

time on coding the programming problems [15].

The ACM-IEEE Joint Task Force on Computing Cur-

ricula [16] provides guidelines for computing undergraduate

programs. The latest revision, Computer Science Curricula

2013 (CS2013), provides comprehensive guidance on cur-

ricular structure and development in a variety of educational

contexts [16]. The CS2013 body of knowledge is organised

into 18 knowledge areas (KA). The most important pro-

gramming related KAs include Programming Languages

(PL), Software Development Fundamentals (SDF), Algo-

rithms and Complexity (AL) and Software Engineering

(SE). Computer programming concepts and skills topics are

introduced in these KAs for introductory and advanced

computer science programming courses. Software Devel-

opment Fundamentals (SDF) is a newly introduced KA in

CS2013. It focuses on the entire software development

process in introductory programming. Due to its broad

spectrum, it includes KAs which could be included in other

software-oriented KAs [e.g. programming constructs and

problem-solving (PL), development methodologies (SE),

and algorithm analysis (AL)]. SDF provides basic concepts,

and those KAs cover advanced topics in the above-

mentioned areas. Computer programming knowledge (syn-

tax and semantics) and problem-solving strategies are given

equal attention in these KAs. Problem-solving skills are also

included as one of the characteristics of computer science

graduates which means that graduates should know how to

identify and design solutions to real world problems instead

of just writing code [16]. The Australian Computer Society

[17] also suggested emphasising both problem-solving

strategies and programming knowledge in the teaching and

learning of programming languages.

De Raadt [18] reviewed forty textbooks prescribed to

students in introductory programming. Problem-solving

topics were covered in varying degrees in the analysed

books. De Raadt [18] mention that only six books out of

forty investigated integrated problem-solving aspects

throughout, implying that most of the analysed books

focused only on language syntax. Some authors provide a

large number of examples and put less emphasis on

problem-solving instructions. Some books cover

problem-solving topics in early chapters, but they are not

integrated into the remainder of the book. There are a small

number of books where problem-solving is integrated

throughout the books using case studies and examples [18].

Winslow [19] discussed problem-solving learning pro-

cesses for students. He emphasised that, for novices,

understanding programming language syntax, semantics and

problem-solving skills are equally important. He divided

program problem solving into four steps:

(1) ‘Understand the problem

(2) Determine how to solve the problem:

(a) in some form, and

(b) in computer compatible form

Note that novices have trouble going from ‘a’to

‘b’

(3) Translate the solution into computer language program,

and

(4) Test and debug the program’(p. 19).

Soloway [20] suggested Goals and Plans as a

problem-solving strategy for analysing problems and con-

structing programs. ‘With a given problem, the process

begins with the instructor determining the goals that need to

be achieved to solve the problem. These goals are then

mapped to plan’(p. 26) [8].

Hyde [21] developed the Problem Solving Process

(PSP) for an introductory programming course which pro-

moted problem-solving skills in students. PSP consists of the

steps shown in Fig. 1. It is clear that PSP requires students to

ﬁnish four steps before typing the program on the computer.

The PSP promotes problem-solving skills in students.

Koulouriet [13] conducted a study in an introductory

programming course to determine the beneﬁts of problem-

solving training before programming. They compared the

performance of two groups of students with and without

problem-solving training. They revealed that students pro-

vided with problem-solving training performed better than

those without problem-solving training. They discussed a

possible explanation was that novice programmers start

working with syntax and semantics of the language without

considering or analysing the problem statement. The

problem-solving training helps students to understand and

interpret the problem in terms of devising a programming

solution, which they can then translate into lines of code.

This argument is also supported by [22].

Different tools have been developed to teach the

problem-solving skills to the novices in an introductory

programming course. Malik [23] developed the ADRI editor

296 S. I. Malik et al.

based on the four stages of the ADRI approach and offered

in an introductory programming course. The editor offers

pseudo-code and ﬂowchart techniques to develop the

problem-solving skills. Novices have to write the

pseudo-code for a given problem statement. The editor does

not support any feature to identify errors or provide the

correct solution for the given problem statement. Oda [24]

proposed a method to automatically generate a pseudo-code

from a source code by using the statistical machine trans-

lation (SMT) framework. Taheri [25] discussed that pro-

granimate is a web-based environment which uses

ﬂowcharts to ﬁnd solutions for basic programming problems

for novices.

3 Research Question

The study focuses on determining the impact of the

PROBSOL application on students learning process in the

introductory programming course.

The research question being addressed in this study is:

What is the impact of the PROBSOL application on the students

learning outcomes in the introductory programming course?

The research question is explored in Sect. 6.

4 Introduction to the PROBSOL Application

The PROBSOL is a web-based application based on the

pseudo-code technique. The application can be used to

develop problem-solving skills to the novice programmers in

introductory programming. Figure 2shows the main page of

the PROBSOL application.

Practice questions related to all the topics included in the

introductory programming course were prepared and offered

in the application. Figure 3depicts when a user selects a

question related to topic 1 in the IP course. A problem

statement is shown for each question.

The application uses three list boxes (Random steps,

Right Steps and Solution). The Random steps list box shows

all the pseudo-code steps solution for a given problem

statement in a random manner. The user selects the steps in

the Random steps list box one by one and moves it to the

Right Steps list box by clicking Right arrow button as shown

in Fig. 4. The solution list box (depicted in Fig. 5) shows the

correct pseudo-code solution for a given problem statement.

When the user clicks the ‘Check Solution Button’, and

the answer is incorrect, the lines or steps containing errors

are displayed in Right Steps list box with red colour, indi-

cating that those lines are there with mistakes (depicted in

Fig. 5). Those lines of codes with red colour are not placed

in its correct position, and the order is wrong in Right Steps

list box. The Solution list box shows the correct solution of

the question with its proper intended order. It also evaluates

your solution, and the number of lines with mistakes are

shown with its calculated number of Errors (e.g., Error

No. 3) under the Wrong Answer part which is displayed

between Right Steps and Solution list boxes.

Different warning and error messages are displayed in the

application for example when the user clicks Right Arrow

Button without selecting any option from the Random Step

list box, or the user clicks Right Arrow Button when the

Random Step list box is empty.

5 Methodology

The research question was explored by comparing the ﬁnal

grades of students over two semesters to determine the impact

of the PROBSOL application on the students’achievements.

The application was offered to the students of the IP course in

the semester 2, 2016–17. Students’grades were compared with

the previous semester (semester 1, 2016–17) to determine the

impact of the application if any of the students’achievements.

The grades were compared based on the criteria described in

Table 1. Students were divided into three categories, high,

medium and low achievers based on their marks. More infor-

mation about the three categories is provided in Sect. 6.

Gather Data for Program

Final Document

Problem Analysis

Algorithm Development

Translate to Computer Program

Type in Program on computer

Verify Program

Solve the program

Problem Formulation

Fig. 1 Problem solving process (PSP) Hyde [21]

PROBSOL: A Web-Based Application to Develop Problem-Solving …297

Fig. 2 Main page of the PROBSOL application

Fig. 3 The PROBSOL application with selected question

298 S. I. Malik et al.

Data collection was performed after obtaining ethical

approval from Buraimi University College. Students’grades

were collected after the de-identiﬁcation process performed by

the Registration department at Buraimi University College.

6 Results and Discussion

The grades of students who ﬁnished the IP course after

introducing the PROBSOL application were compared with

the previous semester grades. The purpose is to determine

the impact of the application on the students’achievements.

Students’grades were analysed following the three cat-

egories proposed by [26]. Table 1depicts the three

categories.

Malik et al. [26] allocated students into three categories

(high, medium and low achievers) based on their marks.

Students who obtain marks in between 50 and 64 are con-

sidered a slow achievers; those in between 65 and 84 are

medium achievers, where students in between 85 to 100 are

considered as high achievers.

Figure 6shows the comparison of students’grades in the

IP course.

The PROBSOL application provides a small, but positive

improvement in the high achiever category, with 12% of the

students who passed the course with the PROBSOL appli-

cation in this category compared with 11% for the traditional

approach. The medium achiever category shows an increase

of 3%; 49% of the students reached the medium achiever

category compared with 52% for the PROBSOL application.

There is a small positive improvement in the low achiever

category of 1%; 23% of students with the PROBSOL

application compared with 22% for the traditional approach.

The failure rate with the PROBSOL application semester is

6% compared with the 8% for the traditional approach

semester, a reduction of 2%. Likewise, the dropout rate (those

students who do not complete the course) with the PROB-

SOL application semester is 7% compared with the 10% for

the traditional approach semester, and it is reduced by 3%.

This result is consistent with previous ﬁndings of [27].

Overall, the PROBSOL application provides a positive

impact on the teaching and learning process of the IP course.

It emphasises students to avoid programming shortcut

(Problem Statement !Codes) and follows proper pro-

gramming process (Problem Statement !Solution plans

Codes). It also provides an opportunity to the students to

focus only on the solution for the given problem statement

without much worry about the syntax of the programming

language. Moreover, it emphasizes students to pay equal

attention to the problem solving strategies besides the syntax

and semantics of the programming language. This argument

is supported by [28–31].

The design of the PROBSOL application is simple and

user-friendly which also facilitates the learning process.

Fig. 4 The PROBSOL application with intermediated solution

PROBSOL: A Web-Based Application to Develop Problem-Solving …299

Students only need to select appropriate steps in the given

solution and click the appropriate button to move the step

from one list box to another. This simple process helps the

students to focus more on the solution of the given problem

statement instead of commands. Moreover, the PROBSOL

application is web-based which also facilitates student atti-

tudes towards learning. Paramasivam [32] concluded that

computers in instruction process improve student attitude

towards learning. Moreover, female students in computer

science department perceived web as the easiest area of

study [33]. Eldow [34] also suggested to use E-learning

methods in the teaching process.

Practice questions related to all the topics in the IP course

are embedded in the application which facilitates the learn-

ing process. The questions are categorised based on the

teaching topics of the course. Students can choose questions

by topic.

The result demonstrates that the PROBSOL application

engages students in understanding the programming con-

cepts. Students performed better in all the high, medium and

low achievers categories. The application also promotes

deep-learning among students while solving the given

problem statement. Moreover, the application provides the

more detail-oriented experience of the programming domain.

The failure rate was reduced for the semester offered with

the PROBSOL application compared to the semester offered

with the traditional approach. The application develops

students’interest in the course by providing them a clear

picture of the programming domain. Ultimately, this trend

will help students’enrolment and retention in the computer

Fig. 5 The PROBSOL application with three list boxes

Table 1 Three categories of

students Category Mark range

High achiever 85–100

Medium achiever 65–84

Low achiever 50–64

Adapted from Malik and Coldwell-Neilson [26]

300 S. I. Malik et al.

science ﬁeld. This result is consistent with previous ﬁndings

of [31].

The dropout rate was reduced also for the semester

offered with the PROBSOL application compared with the

previous semester offered without the PROBSOL applica-

tion. The PROBSOL application helps students to develop

their programming logic from the beginning of the semester

which ultimately develop their conﬁdence and interest in the

learning process.

7 Conclusion

The PROBSOL application was introduced in the introduc-

tory programming course for students to acquire

problem-solving skills. The application is based on

pseudo-code technique. The application is web-based, easy

to access and use. The application includes a number of

questions related to all the topics in the course.

The PROBSOL application provides a positive impact on

the teaching and learning process of the IP course. The

students performed better in the high, medium and low

achievers categories. Moreover, the attrition rates (failure

and dropout) were improved in the semester which was

offered with the PROBSOL application compared with the

previous semester which was offered with the traditional

approach.

The PROBSOL application engages students in under-

standing the programming concepts. It promotes deep-

learning and discourages programming shortcut (Problem

Statement !Codes). It also encourages students to follow

proper programming process (Problem Statement !Solu-

tion plans !Codes).

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Process Mining of Event Logs from Horde

Helpdesk

Radim Dolak and Josef Botlik

Abstract

One of the most important goals of process mining is the

ability to extract information from event logs. The main

purpose of this paper is to describe the possibility of using

process mining in helpdesk systems. We can use process

mining for example for performance managing and

optimize of the most important helpdesk processes from

existing event logs that are stored in helpdesk systems.

The case study deals with using Disco software tool for

process mining of helpdesk event logs in Horde. There

will be described processes such as acquisition, preparing,

importing and process mining of data from the event log

in Horde helpdesk system. Disco software tool will be

used for automatic discovery of process model map with

detailed information about events, activities, cases, and

resources in helpdesk system.

Keywords

Process mining Event logs Helpdesk 

Horde Disco

1 Introduction

There are many helpdesk systems that store the information

about events in the log ﬁles. Basic process mining tech-

niques are used for extracting event logs from data sources

such as information systems databases, transaction logs, web

pages, excel ﬁles, results of information process audits etc.

We will discuss the issue of analyzing event logs from

Horde helpdesk system. Horde helpdesk system is imple-

mented at our Institute of Information Technology at School

of Business Administration in Karvina.

The structure of this paper is divided into the following

chapters: Process mining, Process mining software, Help-

desk systems, Case study: Process mining of event logs from

Horde helpdesk system and ﬁnally Conclusion.

2 Process Mining

We can read much information about process mining in

books and scientiﬁc articles written by professor van der

Aalst and his research team. Process mining should be

deﬁned as a relatively young research discipline that sits

between computational intelligence and data mining on the

one hand, and process modeling and analysis on the other

hand [1]. The process mining spectrum is quite broad and

extends far beyond process discovery and conformance

checking. Process mining objectives are overlapping with

those of other approaches, methodologies, principles,

methods, tools, and paradigms [2]. The main idea of process

mining is to discover, monitor and improve real processes

by extracting knowledge from event logs [3].

The starting point for process mining is an event log and

all process mining techniques assume that it is possible to

sequentially record events such that each event refers to an

activity and is related to a particular case [4]. Process Mining

Manifesto [5] deals with very important aspects such as

process discovery, conformance checking, social network or

organizational mining, construction of simulation models

with the possibility of model extension and repair. Process

mining is very useful for its ability to ﬁnd out how proce-

dures in real situations work and for comparing the actual

process with some predeﬁned process [6].

R. Dolak (&)J. Botlik

Department of Informatics and Mathematics, School of Business

Administration in Karvina, Silesian University in Opava, Karvina,

Czech Republic

e-mail: dolak@opf.slu.cz

J. Botlik

e-mail: botlik@opf.slu.cz

©Springer Nature Switzerland AG 2019

A. Al-Masri and K. Curran (eds.), Smart Technologies and Innovation for a Sustainable Future,

Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-030-01659-3_35

303

3 Process Mining Software

We can ﬁnd some process mining software tools in both

categories: open source or commercial. There is best known

and famous open source framework called ProM. ProM has

been developed at the Eindhoven University of Technology

by a team of professor van der Aalst. The biggest beneﬁtof

ProM is its extensible framework that supports a wide

variety of process mining techniques in the form of plugins.

We can use plugins for mining, export plugins, import,

analysis or conversion. It is possible to download ProM

software together with many different plugins both free of

charge. ProM platform is independent of the operating sys-

tem and it is implemented in Java [7]. The most downloaded

and interesting plugins are mining and analysis plugins [8].

The functionality of ProM is according to Aalst [1]

unprecedented and there is no product offering a comparable

set of process mining algorithms. It is possible to use in

ProM 6, for example, these process mining algorithms such

as alpha miner, heuristic miner, genetic miner, fuzzy miner,

social network miner etc.

There are also commercial process mining tools such as

Disco by Fluxicon, ARIS Process Performance Manager,

Interstage Automated Process Discovery by Fujitsu etc. The

best known commercial process mining tools are Disco

mining software developed by Fluxicon. Disco by Fluxicon

is a very user-friendly tool which is characterized by very

fast process mining algorithms, tools for efﬁcient log man-

agement and also a ﬁltering framework. Disco process

mining tool simply works and it is able to works with large

event logs and complex models. Disco provides according to

ofﬁcial website [9] useful functionality for optimizing per-

formance, control deviations, or explore variations such as

automated process discovery, process map animation,

detailed statistics, cases, ﬁlters, import, and export. The core

functionality of process mining tools is the automated dis-

covery of process maps from the imported event logs. It is a

big advantage for beginners that Disco provides an intu-

itively understandable way of process map visualization in

the discovering the main paths of the process ﬂows in the

form of coloring and thickness of paths [10].

4 Helpdesk Systems

We can consider helpdesk systems as a comprehensive system

for users that offers the opportunity to create a technical task to

IT department specialist, to ask questions or to communicate

ICT problems and achieve timely, relevant and accurate

advice and guidelines from IT department. Tasks are also

called tickets and are usually divided into ques/modules. Each

module has usually its own controller, which is responsible for

forwarding the query to the person who will solve it. Simply

stated, the goal of most help desk operations is to provide

clients with a single point of contact for the information

request, IT services, and a problem resolution [11]. Helpdesk

is a single point of contact within a company for

technology-related questions and incidents [12]. Proactivity is

very important in helpdesk processes for many years. Proac-

tivity in a user support department takes many forms. One of

the most common of these is a regular study of user problems

encountered with a view to preventing them in future. Another

is the creation of an inventory of user equipment to help with

diagnosing and solving problems the user may have [13].

Horde Helpdesk System

Institute of Information Technology at School of Business

Administration in Karvina has implemented Horde helpdesk

system a few years ago. Horde Groupware is a free, enter-

prise ready, browser based collaboration suite. Users can

manage and share calendars, contacts, tasks, notes, ﬁles, and

bookmarks with the standards compliant components from

the Horde Project [14]. There is implemented inside Horde

system ticket-tracking application called Whups. It is very

ﬂexible in design and can be used for help-desk requests,

tracking software development, and anything else that needs

to track a set of requests and their status [15]. Currently,

Whups supports the following features [16]:

•Support for multiple “Queues”(aka Projects)

•Custom ticket types, states, priorities, attributes per

Queue

•Create, update, assign, close tickets

•Search for tickets matching speciﬁc criteria

•A complex query building for building and

saving/storing custom searches

•Guest access (in addition to login access)

•E-mail notiﬁcation of changes to tickets

•Ticket creation and updating through e-mail messages

•Permissions support.

Help Desk service for users at School of Business

Administration in Karvina is a part of university email sys-

tem [17]. The tasks are created in the section called “tickets”

in the main menu. Tasks are divided into modules provides

routing query and faster processing. Users are informed by

e-mail about the state of a solution of their tasks. There are

the following task ques:

•opf_HW

•opf_blocking classrooms

•opf_administration staff

•opf_others

304 R. Dolak and J. Botlik

•opf_IS stag

•opf_eLearning

•opf_WWW and thesis topics

•opf_IS iskam.

5 Case Study: Process Mining of Event Logs

from Horde Helpdesk System

We will discuss the issue of process mining of event logs

from Horde helpdesk system using Disco software tool in

this case study. The basic information about Horde helpdesk

system at Institute of Information Technology at School of

Business Administration in Karvina was mentioned in the

previous chapter.

5.1 Preparing Data from Events Log

We have obtained events log from Horde helpdesk system.

This ticketing system is implemented at our faculty IT

department. There is the ﬁnal statistics about events log from

Horde helpdesk ticketing system during all year 2015: 1734

events, 523 cases, 12 different activities, 8 different ques for

tickets, 110 different users of helpdesk system and 6 IT

specialist solving users tickets.

We can see an example of events log from Horde help-

desk which is available in a module called “Tickets”and the

option “Search”as standard displayed the web page. We can

select multiple items of displayed tickets such as no

assigned, assigned, solved, canceled. It is possible to save

results as HTML or CSV ﬁle (Table 1).

It is possible to click on “id”and we will see more details

about the ticket in the form of a web page with timestamps,

comments, actual states etc. It was necessary to match

according to ID both data sources. There is following

structure of columns for transformed events log:

•ID

•State

•Type

•Priority

•Queue

•User

•Owners

•Activity

•Timestamp

•Summary.

We can see an example of events log after data trans-

formation for one helpdesk user solving eLearning problem

with error copying, non-existent courses in the following

Table 2called Transformed events log.

There are the following basic activities (processes) in help

desk system:

•created

•add the requirement

•change queue

•assigned

•reassigning

•removed assignment

•question

•answer

•comment

•solved

•unresolved

•cancelled.

We can see the minimum requirements for importing

events log to Disco tool for example in Disco User’s Guide

[18]. There are necessary at least three elements in events log

for providing process mining analysis in Disco: Timestamp,

Case ID, and Activity. We can also use other elements such

as for example resources, costs, state, priority etc. We can

see columns of transformed events log for importing process

into Disco process mining tool on the left side of bullet item

list and the right side is representing columns in Disco.

•ID = Case ID in Disco

•Owners = Resource in Disco

Table 1 Default events log

Id Summary State Type Priority Queue Requester Owners Created Updated Assigned Due Resolved

51 Error copying,

non-existent courses

Solved Standard Basic opf_eLearning user xy Robert 13.2.2015

10:27

13.2.2015

11:05

13.2.2015

10:46

N/A 13.2.2015

11:05

…… … … … … … … … … … … …

64 Blocking Solved Standard Basic opf_blocking

classrooms

user xy John 19.2.2015