ITJEMAST 10(13) 2019 by TuEngr.com

Volume 10 Issue 13 (2019) (Special Issue) ISSN 2228-9860 eISSN 1906-9642

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Revitalisation an Urban Centre: Reviving Klang Bus Terminal as a Centrifugal Force in Central Klang Financial Model of a Regional Social Sphere Development Data Augmentation and Neural Network Models Construction for Hand-Written Character Recognition in Biometric Authentication Systems Colonial Influence on Indian Muslim Religious Monuments in Penang Rural and Remote Broadband Development in Thailand: Enabled by Last-Mile Infrastructures and Services Impacts of Gender on Job Satisfaction And Work Motivation Relationship: A Case of Teachers in Balochistan, Pakistan Effects of Digital Marketing on International Market Growth A Game Theoretic Approach for Energy Optimization In Clustered Wireless Ad Hoc Sensor Networks The Preliminary Investigation Bodies in The 19171930s, Xx Century in Soviet Russia: Directions of Modernization Interaction Effect of Social Support: The Effect Of Workload on Job Burnout Among Universities Academicians: Case of Pakistan Impacts of Livelihood Assets on Wellbeing of Rural Households in Northern Nigeria

Cover photo is character distortion analysis from an article in this issue entitled Data Augmentation and Neural Network Models Construction for Hand-Written Character Recognition in Biometric Authentication Systems.

Performance Evaluation Using Network Data Envelopment Analysis Approach With Game Theory Under Mixed Grey-Fuzzy Uncertainty in Iran Khodro Company Media in The Conflict Between International Diplomacy And Public Opinion: Case Study of Ban of Visas for Seven Muslim Countries Gas Condensate Desulfurization by Oxidation Method in the Presence of Nanoclay And Chitosan Adsorbent: An Experimental Study

2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies.

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

International Editorial Board

Editor-in-Chief Ahmad Sanusi Hassan, PhD Professor Universiti Sains Malaysia, MALAYSIA

Executive Editor Boonsap Witchayangkoon, PhD Associate Professor Thammasat University, THAILAND

Editorial Board:

Assoc. Prof. Dr. Mohamed Gadi (University of Nottingham, UNITED KINGDOM) Professor Dr.Hitoshi YAMADA (Yokohama National University, JAPAN) Professor Dr. Chuen-Sheng Cheng (Yuan Ze University, TAIWAN ) Professor Dr.Mikio SATOMURA (Shizuoka University, JAPAN) Professor Dr.Chuen-Sheng Cheng (Yuan Ze University, TAIWAN) Emeritus Professor Dr.Mike Jenks (Oxford Brookes University, UNITED KINGDOM ) Professor Dr.I Nyoman Pujawan (Sepuluh Nopember Institute of Technology, INDONESIA) Professor Dr.Toshio YOSHII (EHIME University, JAPAN) Professor Dr.Neven Duić (University of Zagreb, CROATIA) Professor Dr.Dewan Muhammad Nuruzzaman (University Malaysia Pahang MALAYSIA) Professor Dr.Masato SAITOH (Saitama University, JAPAN)

Scientific and Technical Committee & Editorial Review Board on Engineering, Technologies and Applied Sciences:

Associate Prof. Dr. Paulo Cesar Lima Segantine (University of São Paulo, BRASIL) Associate Prof. Dr. Kurt B. Wurm (New Mexico State University, USA ) Associate Prof. Dr. Truong V.B.Giang (Vietnam National University, Hanoi, VIETNAM) Associate Prof. Dr. Fatemeh Khozaei (Islamic Azad University Kerman Branch, IRAN) Assistant Prof.Dr. Zoe D. Ziaka (International Hellenic University, GREECE) Associate Prof.Dr. Junji SHIKATA (Yokohama National University, JAPAN) Assistant Prof.Dr. Akeel Noori Abdul Hameed (University of Sharjah, UAE) Assistant Prof.Dr. Rohit Srivastava (Indian Institute of Technology Bombay, INDIA) Assistant Prof. Dr.Muhammad Yar Khan (COMSATS University, Pakistan) Assistant Prof. Dr. David Kuria (Kimathi University College of Technology, KENYA ) Dr. Mazran bin Ismail (Universiti Sains Malaysia, MALAYSIA ) Dr. Salahaddin Yasin Baper (Salahaddin University - Hawler, IRAQ ) Dr. Foong Swee Yeok (Universiti Sains Malaysia, MALAYSIA) Dr.Azusa FUKUSHIMA (Kobe Gakuin University, JAPAN) Dr.Yasser Arab (Ittihad Private University, SYRIA).

:: International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies Volume 10 Issue 13 (2019) http://TuEngr.com

ISSN 2228-9860 eISSN 1906-9642

FEATURE PEER-REVIEWED ARTICLES

REVITALISATION OF AN URBAN CENTRE: REVIVING KLANG BUS TERMINAL AS A CENTRIFUGAL FORCE IN CENTRAL KLANG

10A13A

FINANCIAL MODEL OF A REGIONAL SOCIAL SPHERE DEVELOPMENT

10A13B

DATA AUGMENTATION AND NEURAL NETWORK MODELS CONSTRUCTION FOR HAND-WRITTEN CHARACTER RECOGNITION IN BIOMETRIC AUTHENTICATION SYSTEMS

10A13C

COLONIAL INFLUENCE ON INDIAN MUSLIM RELIGIOUS MONUMENTS IN PENANG

10A13D

RURAL AND REMOTE BROADBAND DEVELOPMENT IN THAILAND: ENABLED BY LAST-MILE INFRASTRUCTURES AND SERVICES

10A13E

IMPACTS OF GENDER ON JOB SATISFACTION AND WORK MOTIVATION RELATIONSHIP: A CASE OF TEACHERS IN BALOCHISTAN, PAKISTAN

10A13F

EFFECTS OF DIGITAL MARKETING ON INTERNATIONAL MARKET GROWTH

10A13G

A GAME THEORETIC APPROACH FOR ENERGY OPTIMIZATION IN CLUSTERED WIRELESS AD HOC SENSOR NETWORKS

10A13H

THE PRELIMINARY INVESTIGATION BODIES IN THE 1917-1930S, XX CENTURY IN SOVIET RUSSIA: DIRECTIONS OF MODERNIZATION

10A13I

INTERACTION EFFECT OF SOCIAL SUPPORT: THE EFFECT OF WORKLOAD ON JOB BURNOUT AMONG UNIVERSITIES ACADEMICIANS: CASE OF PAKISTAN

10A13J

IMPACTS OF LIVELIHOOD ASSETS ON WELLBEING OF RURAL HOUSEHOLDS IN NORTHERN NIGERIA

10A13K

PERFORMANCE EVALUATION USING NETWORK DATA ENVELOPMENT ANALYSIS APPROACH WITH GAME THEORY UNDER MIXED GREY-FUZZY UNCERTAINTY IN IRAN KHODRO COMPANY

10A13L

MEDIA IN THE CONFLICT BETWEEN INTERNATIONAL DIPLOMACY AND PUBLIC OPINION: CASE STUDY OF BAN OF VISAS FOR SEVEN MUSLIM COUNTRIES

10A13M

GAS CONDENSATE DESULFURIZATION BY OXIDATION METHOD IN THE PRESENCE OF NANOCLAY AND CHITOSAN ADSORBENT: AN EXPERIMENTAL STUDY

10A13N

Contacts: Professor Dr.Ahmad Sanusi Hassan (Editor-in-Chief), School of Housing, Building and Planning, UNIVERSITI SAINS MALAYSIA, 11800 Minden, Penang, MALAYSIA. Tel: +60-4653-2835 Fax: +60-4-657 6523, Sanusi @ usm.my, Editor @ TuEngr.com Associate Professor Dr.Boonsap Witchayangkoon (Executive Editor), Faculty of Engineering, THAMMASAT UNIVERSITY, Klong-Luang, Pathumtani, 12120, THAILAND. Tel: +66-2-5643005 Ext 3101. Fax: +66-2-5643022 DrBoonsap @ gmail.com Managing Office TUENGR Group 88/244 Moo 3, Moo Baan Saransiri, Klong#2, KlongLuang, Pathumtani, 12120, THAILAND. Tel/WhatsApp: +66-995535450 (text message only). Postal Paid in MALAYSIA/THAILAND.

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 10A13A

REVITALISATION AN URBAN CENTRE: REVIVING KLANG BUS TERMINAL AS A CENTRIFUGAL FORCE IN CENTRAL KLANG Bryan E.T. Yeoh a, Robert Powell a, and Camelia Kusumo a* a

School of Architecture, Building & Design, Faculty of Innovation and Technology, Taylor’s University, Lakeside Campus, 47500, MALAYSIA. ARTICLEINFO

A B S TRA C T

Article history: Received 14 May 2019 Received in revised form 15 July 2019 Accepted 01 August 2019 Available online 09 August 2019

The public transport system in Malaysia has been declining over the years. Bus stations which were once the hubs of networks since the development of roads and highways are now slowly being marginalised. The reduction of buses on the road is the result of a staggering increase in registered private cars by 32% since 2012 (SPAD, 2015). The role of bus stations as nodal points that influence pedestrian pathways and liveability of an urban context is not taken into account. This research aims to explore the former Central Klang bus terminal, proposing ways to improve the overall transportation network system surrounding the bus terminal and reveal the importance of the bus terminal in its built environment. A case study method was used to analyse the relation between a bus terminal and its urban context. The findings show that due to its well-connected location in the city, the Klang bus terminal can act as a catalyst for the urban rejuvenation of Klang town. If the terminal is designed well, with an efficient spatial layout and convenient user experience, the terminal will not only function as a transportation hub, but also as a community hub for the Klang residents.

Keywords: Public transport system; Bus terminal design; Transportation hub; Urban connectivity; Urban revitalization; Transit Oriented Design.

1. INTRODUCTION Klang town has been going through a transformation for years now, yet the issues are not resolved. The traffic congestion has been an issue for at least a decade. A new flyover above a congested round-a-bout; widening of main roads and relocation of the Central Klang bus station are a few of the measures implemented. As described in The Star newspaper on 10 February 2009, “Klang folk are still upset over the relocation of the bus station away from the town”. The relocation of the bus station situated along Jalan Pos Baharu to Jalan Meru has been a failure which was initially seen as a solution to solve traffic congestion in Central Klang. Demonstrations by public transport drivers were made due to low *Corresponding author (Camelia Kusumo). E-mail: kakar.stats.uob@gmail.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13A http://TUENGR.COM/V10A/10A13A.pdf DOI: 10.14456/ITJEMAST.2019.165

income generated at the near-empty Klang Sentral which has subsequently been forced to shut down, while bus and taxi services are now back at former Central Klang bus terminal.

Figure 1: Timeline of incidents – old Central Klang bus terminal (Source: The Star Online Article, 2003-2011) The present Klang bus station has been left to decay, but buses and taxis are now parking along the road at the side of the bus station. Important spaces which made up the transportation hub have been neglected, leaving uninhabited areas which nevertheless have potential to be a perfect public centre. This paper explores how the revitalisation of Central Klang bus terminal can contribute to be an urban catalyst for Klang town.

2. EVOLVING AN INTEGRATED BUS TERMINAL TYPOLOGY (PRESENT CENTRAL KLANG BUS TERMINAL) Ever since a fire broke out at the bus terminal (Great Wall), the former Central Klang bus terminal has been operating at ground floor only right in front of the post office building (The Star Newspaper, 2003). Driveways are too small for both waiting areas and bus drop-off/pick-up areas, but it has enough entry points and visibility for users. The surrounding commercial lots are not integrated with the bus terminal which is key in activating the usage of the buses. The result of this was traffic congestions in central Klang which escalated to a proposal to shift the entire bus terminal north to Jalan Meru/Setia Alam naming it Klang Sentral. Unofficial Government Proposal (2009): After the bus terminal was removed, Klang local

Bryan E.T. Yeoh, Robert Powell, and Camelia Kusumo

authorities unofficially revealed that the site was to be commercial development. An interview with the Klang authorities states their intent to sell the existing land to a private developer, but there was no official news announced. The intention was to transform central Klang into a more vibrant city centre without traffic congestions. However, this was proved wrong, and a strike was held by local bus and taxi drivers. The result caused a major downturn in commercial activities in central Klang, and the public realm was lost due to a shift of an important centrifugal force.

Figure 2: On-Site Bus Terminal Design Intent (illustration by authors).

Figure 3: Present Day Bus Terminal Design (illustration by authors). On-Site Implementation (Present Day): Buses and taxis are seen around its perimeter of the former bus station but not in the site (Figure 3). The perimeter is hoarded, making the site a vacant dysfunctional piece of land. Bus and taxi drivers have returned to operate at the site after the strike in the year 2009. As a result, traffic congestions has escalated in central Klang due to the scattered parking spots of buses blocking the main circulation (see photos in Figure 4).

3. LITERATURE REVIEW Today, travelling is an everyday practice and connectivity of distant places has become a *Corresponding author (Camelia Kusumo). E-mail: kakar.stats.uob@gmail.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13A http://TUENGR.COM/V10A/10A13A.pdf DOI: 10.14456/ITJEMAST.2019.165

profound urban condition changing the perception of places and evolving the urban realm. Traffic arteries, along with parking lots, petrol stations and drive-ins, are powerful and insistent instruments of city destruction (Jacobs, 1993). Jacobs explains that good transportation and communication are not only among the most difficult things to achieve, and they have become a basic necessity in shaping the public realm involving human interactions and behaviour.

a) Taxis and buses parked around the bus terminal

b) Vacant bus terminal

c) Inactive Plaza MPK and surrounding shop-lots next to the Central Klang bus terminal

d) Underused pedestrian walkway to KTM (railway) station

Figure 4: Activities around the present-day bus terminal (photoed by authors). Interchanges act as a linkage between one particular destination and another; an interconnection of different places and provide convenient access between them (Benfield & Gehl, 2010). Thus, the connection of such interchanges have a direct impact on a pedestrian network in a city, and an interchange has to be connected with the surrounding pedestrian street life (Alexander & Quinan, 1981; Mulders-kusumo, 2005). In terms of human interaction, interchanges create meaning for the city by providing gathering places, transitions between the public and private domains, moreover an arena for discourse and interaction (Trancik, 1986). With economic growth, many cities in developing countries have begun to follow the trajectory

Bryan E.T. Yeoh, Robert Powell, and Camelia Kusumo

of motorisation, following in the footsteps of developed countries but at a faster rate (Cervero, 2013). Due to this, middle-income populations are shifting from public or non-motorised transportation to private automobiles. Although private cars give people more freedom and increase their opportunities, they also destroy the environment; to an extent, they kill all social interaction in the name of development (Alexander & Quinan, 1981). The concept of development has got out of hand; massive built-forms, proportionately imbalanced buildings about human scale and lack of human articulation have lost the sense of intimacy (Alexander & Quinan, 1981). When approached on foot, these things overwhelm the senses, causing disorientation (Ewing, 2013). It is important that a city should be designed for the human scale creating great pedestrian environments as well as allowing for transit operation services (Benfield & Gehl, 2010). Interchanges play a central role in public transportation and should be treated as primary and transportation lines as secondary (Alexander & Quinan, 1981). In urban planning, interchanges are to be mapped and given priority as a central connector which anchors the pedestrian street life. Acting as a node to a certain radius of a township, it is simpler to indicate transportation lines within the city as a connector in effect “connecting the dots” (Cervero & Bernick, 1998). Interchange as the centre of city life has to be site driven; people and activities have to be mixed, and amenities provided categorised by necessity, optional, stationary and moving ones (Benfield & Gehl, 2010). Amenities as such defines a collective, centralised concept of public spaces that serve as a focus for group meeting and interaction (Trancik, 1986). Cervero gives examples of the assortment of activities combined with musings and conversations of residents sitting in a public square which adds colour and brings life into the community (Cervero, 2013). Transit-oriented development (TOD) is both an old and new concept with roots in the streetcar suburbs and satellite rail towns that were developed throughout the Western world influenced by market trends and needs (Cervero, 2013). According to Cervero, the original purpose of TOD was to elevate transit to a “respectable means of travel outside the village”, in this case, cities or towns (Cervero & Bernick, 1998). He further states that the nodal designs of TOD can be traced back to the earliest of rail suburbs of New York, where they form “string of beads” on a regional scale and communities that circulate the transit station on the neighbourhood scale (Cervero & Bernick, 1998). For decades, trains have been regarded as a primary mode of transportation in many regional cities, linking one another via a linear line; and stationary points. The growth of communities has further dispersed homes into distant parts of cities where trains would be irrelevant as the main source of public transportation. At present, land development and public transportation infrastructure should occur hand-in-hand (Cervero & Bernick, 1998). Transportation lines are to be planned, gradually with many different lines that will meet at every interchange (Cervero & Bernick, 1998). With the numbers of privatised cars rising, the park and ride concept has been adapted in many urban development concepts today, as a trend favouring all user groups. Currie has identified that the park and ride concept limits TOD opportunities, more so the usage of buses (Currie, 2006). Parking restraint policies would bring a reduction to road congestions in the city thus encouraging the use of public transports rather than private vehicles in the city of Amsterdam where the costs of public *Corresponding author (Camelia Kusumo). E-mail: kakar.stats.uob@gmail.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13A http://TUENGR.COM/V10A/10A13A.pdf DOI: 10.14456/ITJEMAST.2019.165

carparks are menacingly expensive, encouraging mobility via public transportation. Local authority enforcement rules would then encourage public interaction, where walkability between transportation stops becomes safer in numbers (Alexander & Quinan, 1981). Recognising the ability of such enforcement, it is evident that neighbourhood scale communities are often dependent on micro-scale design that encouraged walking and land transportation which promotes community cohesion (Cervero, 1998). Bus transit-oriented development schemes are an option where communities do not want high densities, and also an interim step to building ridership, which makes rail transit more feasible (Currie, 2006). Buses and bus stops are flexible in adapting to the change of development in the market which is an advantage to urban planners compared to the rail system (Cervero, 2013). Transportation has become a necessity in our daily lives, but it is evident that the role of the public transportation system in the city should shape the public realm in terms of human behaviour. The hierarchy of transportation modes has to be well linked to one another from the largest being the aeroplane transporting people regionally to land transportation on a local scale. In a small town/city where local users are heavily dependent on land transportation, sources emphasise the importance of pedestrian-oriented planning in an urban context. The vast growth in numbers of vehicles and new highways in our nation have resulted in pedestrians as secondary to automobiles. Unfortunately, the cities in Malaysia hardly favour public interaction due to the lack of planning strategies empowering pedestrians into the development of the built environment. This results in a lack of public spaces which surround interchanges in the city thereby discouraging walkability from one transportation hub to another.

4. LESSONS LEARNT FROM OTHER TRANSPORTATION HUB SPACES The system of public transportation – the entire web of aeroplanes, trains, boats, ferries, buses, taxis, mini-trains, carts, ski lifts, moving sidewalks – can only work if all parts are well connected (Alexander & Quinan, 1981).

4.1 SPACE ORGANISATION Airports being the larger and serving a more important purpose in comparison to train and bus stations have a clearer transition from the entrance to the departure area. Airports segregate the checking area and amenities zone which is often shared with the waiting spaces. The departure lounge of the airport acts as a big waiting space which is accompanied by amenities, retail and entertainment for a longer period before heading to the gate lounge where they prepare to board their flights. Such space provides better comfort to the users, allowing flexibility in carrying out tasks while waiting for their flights. By comparison, waiting areas in local bus terminals are not emphasised and do not provide the same kind of experience to airports. The waiting time for regional buses can easily take hours, yet the waiting areas look like a typical bus stop. The difference of segregating an indoor and outdoor waiting area sets a different comfort level to users. Tackling the issue of unhygienic fumes and carbon monoxide from the buses, an indoor waiting area and proper platform demarcation is an ideal solution. The waiting time in a bus terminal can vary from a minute to several hours depending on schedule.

Bryan E.T. Yeoh, Robert Powell, and Camelia Kusumo

Therefore, activity pockets and pop-up booths can be implemented surrounding the waiting areas, giving comfort and convenience to the users when visiting the terminal.

4.2 USER EXPERIENCE AND FUNCTIONALITY Amenities provided in all terminals cater for passengers who are either waiting for their ride or for those who just arrived. Airport amenities to cater for those who need a longer waiting time and spaces where they can carry out private tasks upon arrival from a long flight. This results in more retail outlets, restaurants and cafes among the waiting lounges and entrances. The Kuala Lumpur International Airport 2 (KLIA2) was designed as an airport cum shopping mall which allows passengers to dine, shop, rest and cleaned up before and after their flights. In this case, KLIA2 successfully incorporated the shopping mall culture with an airport which Malaysians are fond of. On the other hand, train stations do not emphasise the amenities as compared to airports. Waiting areas at arrival and departure are lined along the linear track; amenities often provided at entrances accompanied by the ticketing areas and bathrooms. Waiting time for trains are usually quite consistent delays are rare unless there are occasional servicing and breakdowns. Bus terminals on the other hand, have the flexibility of creating multiple spaces for amenities as the waiting areas are more flexible and waiting time is not consistent. Terminal Bersepadu Selatan (TBS) of Kuala Lumpur is the perfect example where the bus terminal has very similar characteristics to the airport in terms of space planning and amenities allocation.

Figure 5: Research Methodology.

5. METHODOLOGY The research used case study method (Groat & Wang, 2013) to analyse three existing bus terminals in Klang Valley: Pudu Sentral, Terminal Bersepadu Selatan and Putrajaya. The case studies were analysed and compared using three key variables from the findings of the literature review: terminal network linkage (how strategic is the bus terminal in relation to its urban context), spatial layout (space organisation inside the terminal) and user experience/functionality (environmental *Corresponding author (Camelia Kusumo). E-mail: kakar.stats.uob@gmail.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13A http://TUENGR.COM/V10A/10A13A.pdf DOI: 10.14456/ITJEMAST.2019.165

comfort, safety, providing relevant experience to the community). Figure 5 provides the research framework.

6. RESULT Table 1 shows the comparison of 3 bus terminals. The terminals were first analysed in terms of distributing the arrival/departure platforms, ticketing areas, waiting areas, carparks and amenities provided. Then these spaces in the bus terminals are examined in detail by analysing the functionality and user experience. Table 1: Case studies analysis of bus terminals Variables

Pudu Sentral -

Terminal network linkage (surrounding context)

Terminal Bersepadu Selatan

Pros : Located in the middle of a transport web (between Masjid Jamek & Pasar Seni) and central urban area of Kuala Lumpur; Kuala Lumpur link bridge leads to the terminal. Cons : No direct pedestrian connectivity from nearest LRT stop (Plaza Rakyat); No shaded walk paths at ground floor leading to bus terminal.

Pros : - Many numbers of government agencies and amenities; - Indoor waiting areas. o

Cons : - Unhygienic basement bus pick- up and drop-off area; - Mosquito breeding ground due to poor drainage maintenance.

Spatial layout

Pros : - Users able to run errands and make use of amenities; - Community-driven and serves surrounding’s needs (Muslim prayer room).

User experience & functionality Cons : - Low ceiling causing congestion and appear stuffy; - Overcrowding of retails, causing lack of waiting areas – overcrowding of non-bus users causing carpark congestion.

Bryan E.T. Yeoh, Robert Powell, and Camelia Kusumo

Putrajaya Sentral

Pros : Pros : - Built in between two main Direct train connectivity (KTM-LRT-ERL) which is cities, acting as the main walking distance; terminal. Built along the main Sungai - Direct link to main highway Besi highway for easy to Kuala Lumpur (NKVE). vehicular access. Cons : Cons : Temporarily serves all - Only linked to one train regional buses which connect station (ERL railway line); the Kuala Lumpur users to - Very much dependant on entire Peninsular Malaysia automobile vehicles and no pedestrian connectivity. (over populated bus parking area). Pros : Pros : Clear demarcation of space - Easier navigation around division in floors; terminal (horizontal space Indoor waiting areas; arrangement – ground floor). All pedestrian movements (drop-off, link bridge, ticketing) located at one floor Cons : Cons : More security needed to - Lack of amenities and monitor safety due to all retails although act as the spaces are on different floors. main hub; - Encourage more vehicular usage, - causing more fumes and heat from car engines. - Unsafe to walk around, no proper blockade from platforms to waiting areas. Pros : Pros : - As main terminal No human traffic congestion on every floor; interchanging to KLIA and KLIA 2; No fumes and noise pollution from buses to - Ample carpark for park and waiting areas (outdoor and ride users; indoor). - A starting point for electric vehicles (electric buses introduced). Cons : Cons : Larger terminal space and - Warm and stuffy waiting area individual floor character due to open platform concept; which requires more - Large open carparks with no shade provided. navigation moving around.

6.1 KEY POINTS FOR BUS TERMINAL DESIGN Learning from these case studies, a summarised comparison reveals some do’s and do not’s to inform the revitalisation strategy for the Central Klang Bus Terminal: 1. Strategic location is crucial in ensuring transportation connectivity of a terminal hub. This includes; - Placing bus terminal in a web of transportation in the city. - Direct access to the nearest highway access. 2. Pedestrian connection between terminal hub to nearest train stations encourages usage of a bus terminal, therefore; - Link bridges and shaded paths allow pedestrians to travel comfortably via walking. 3. Bus terminals equipped with proper facilities and amenities alongside waiting areas. - Local bus terminals – government agencies and local facilities; - Regional bus terminals – retail, cafes and restaurants (longer waiting areas). 4. Airport spatial layouts prove to be an ideal example for a bus terminal; - Terminal Bersepadu Selatan spaces have similarities with an airport layout and proven to be more uniform. 5. Segregation of vehicular activities from pedestrianised activities, is this; - Prevents air (fumes) and noise pollution caused by vehicles; - Heat generated from buses do not affect users; - Safety of users is ensured and not jeopardised by the moving traffic. 6. Designing bus pick-up and drop-off areas at the ground or above ground, not at the basement. Bad examples are such as; - Pudu Sentral basement as drop-off area proved to be unhygienic and dirty; - Damp odour and dingy looking areas; - Attracts unwanted pests (mosquitoes, rats and cockroaches). 7. Private vehicles access to the terminal is as important as pedestrian access, thus park and ride podiums with direct access to terminal needs to be provided. 8. Community-driven hub rather than another transportation hub. This will enable to cater to the surrounding community, giving identity to the hub .

6.2 CENTRAL KLANG’S TRANSPORTATION HUB 6.2.1 THE BUS TERMINAL & CITY In Figure 6, area number 1 shows an example of the northern side of Klang where there is no overlapping of public transportation and house are more concentrated along the Klang River. Residents there depends on private vehicles to help them travel around Klang which shares the same issue at area number 2 of Jalan Tepi Sungai. Most of these residential zones are surrounded by minor roads, which do not lead buses to pass through them. Area number 3 indicates Raja Mahadi and Bukit Kuda Schools which is a busy area during the weekdays but do not have direct access to local buses. Due to the danger of walking in an unpedestrianized path, students are picked up from the schools via private vehicles although the walking distance to the Klang bus terminal is only less than 600 meters away. The Central Klang Bus Terminal is situated at number 3 which is at the middle of a web of transport which connects both North and South of Klang via two bridges (Jalan Tengku Kelana and Kuantan-Kuala Lumpur highway). The diagram above also shows the integration of three main transportation hubs (bus terminal; KTM station and future LRT station) in a 500 metres radius. *Corresponding author (Camelia Kusumo). E-mail: kakar.stats.uob@gmail.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13A http://TUENGR.COM/V10A/10A13A.pdf DOI: 10.14456/ITJEMAST.2019.165

Pedestrian paths are linked to both KTM and LRT stations as the concentrated commercial area are also situated in that circle.

Figure 6: Five-kilometer radius Klang network plan (illustration by author). 6.2.2 SURROUNDING INFLUENCES (URBAN ISSUES) Traffic congestions have been a constant issue in Klang, and the large number of vehicles travelling in and out of Klang is causing unfriendly pedestrian streets. Walkways are reduced to cater for more carparks, roads are widened to create more lanes and uncivilised users double-parking indicates the importance of vehicles over pedestrians. Local municipality’s efforts in relocating the bus terminal did not reduce but increased the usage of vehicles in Klang. The absence of the bus terminal resulted in low usage of the commercial area around it. A transportation hub marks the centre in activating its surroundings, and instead of taking the bus to Klang central, users prefer to drive and park near the KTM station before taking the train to other city centres. The Kota Bridge and Jalan Tengku Kelana pathway have been built long ago, however, the high number of traffic surrounding central Klang have made road crossings almost impossible. Unclear zebra crossings, unfixed link bridges and unshaded pavements also contribute to this low walkability issue.

7. DISCUSSION: REINVENTING THE BUS TERMINAL The bus terminal should be the core of a neighbourhood; connecting adjacent cities to a town. Taking precedence from the case studies and the site itself, the individual components of the Klang Central bus terminal have been identified as an entrance, urban gateway, facility area, and a meeting place.

Bryan E.T. Yeoh, Robert Powell, and Camelia Kusumo

At an urban scale (Klang Valley region), the revitalisation of the Klang Central bus terminal could be considered as an entrance statement to the city. Being the focal transportation hub, visitors and local users would be able to identify the bus terminal as the urba n gateway or transition point between neighbourhoods/cities. Local bus terminals are often equipped with amenities/facilities which allows users to run errands and carry out daily tasks. The main Klang post office is currently at the original bus terminal site which caters for daily users in Klang but has been reduced in numbers throughout the years due to the shifting of the bus terminal in the year 2009. The reinstatement of the original Klang Central bus terminal would then need secondary spaces such as government agencies, retail and public landscape areas to improve the attraction. These spaces allow the bus terminal to be a meeting place for locals and visitors travelling to central Klang. As a result, the bus terminal would be regarded as an identity hub which Klang is currently missing in terms of revitalising the local context and connecting one city to another.

Figure 7: Creating an Identity Hub.

8. CONCLUSION The revitalisation of the Central Klang bus terminal would improve urban connectivity at both local and regional scales of Klang. The legibility and importance of this transportation hub and the design of spaces in the hub are important in activating the central Klang region. Some concluding *Corresponding author (Camelia Kusumo). E-mail: kakar.stats.uob@gmail.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13A http://TUENGR.COM/V10A/10A13A.pdf DOI: 10.14456/ITJEMAST.2019.165

observations from the investigation are: 

Connectivity from one mode of transportation to another is key to form an integrated urban context. In an era of increasing automobiles, the literature review highlights the importance of prioritising pedestrians while vehicles should come secondary. The public realm is key to create a smooth transition between the terminal and its surroundings.



An airport is most effective in planning its main spaces with secondary spaces (amenities) accompanying it. Therefore in a big scale bus terminal design, the airport design guideline should be taken as precedence in the layout.



Location plays an important role in linking different modes of public transport to ensure a web of linkages is achieved. Pedestrian connectivity is key in linking one mode of transport to another. Apart from the transition, vehicular movement/activities are to be designed with continuous visibility but separated from the public realm.



Bus terminals can influence their surroundings through the public realm, walkability and activation of surrounding commercial lots. The site of the Central Klang bus terminal suggests connectivity and circulation within the local and regional context is important.



Connectivity and circulation are important in activating the entire Klang region. The spatial layouts and connectivity within site are designed in relation to the overall location. The architecture of the bus terminal must ensure that connectivity and circulation are created, which reinvent a centrifugal force in central Klang.

It can be concluded that due to its strategic location in Klang town, the Klang bus terminal can act as a catalyst for revitalising Klang town. If the terminal is designed well, the terminal will not only function as a transportation hub, but also as a community driven-hub for the Klang residents.

9. DATA AVAILABILITY AND MATERIAL Data involved in this study can be requested to the corresponding author.

10. ACKNOWLEDGEMENT This work was supported by a Flagship Research Grant of Taylor’s University (TUFR/2017/001/02).

11. REFERENCES Alexander, C., & Quinan, J. (1981). A Pattern Language: Towns, Buildings, Construction. Leonardo. https://doi.org/10.2307/1574526 Benfield, K., & Gehl, J. (2010). 10 Principles for Livable Transportation. Sustainable Cities Collective. Cervero, R. (1998). The Transit Metropolis.pdf. Cervero, R. (2013). Transforming Cities with Transit. Cervero, R., & Bernick, M. (1998). Transit https://doi.org/10.1017/CBO9781107415324.004

Villages

the

21st

Century,

Currie, G. (2006). Bus Transit Oriented Development — Strengths and Challenges Relative to Rail. Journal of Public Transportation, 9(4), 1–21. https://doi.org/10.5038/2375-0901.9.4.1 Ewing, R. (2013). Eight Qualities of Pedestrian - and Transit - Oriented Design. Urban Land, 1–13. Groat, L. N., & Wang, D. (2013). Architectural Research Methods (2nd Ed.). NewkYork: John Willey and Sons.

Bryan E.T. Yeoh, Robert Powell, and Camelia Kusumo

Jacobs, J. (1993). The Death and Life of Great American Cities. New York, 71, 458. https://doi.org/10.2307/794509 Mulders-kusumo, C. (2005). Is a railway station a ‘central’ urban place? Spatial configuration study of retail distribution pattern around railway stations. 5th International Space Syntax Symposium, Delft, 2005, 1–9. SPAD, S. P. A. D. (2015). SPAD Inaugural Public Lecture - Land Public Transport Transformation in Malaysia, 1, 1–19. https://doi.org/10.1017/CBO9781107415324.004 Trancik, R. (1986). Finding Lost Space: Theories of Urban Design. Bryan Yeoh holds a first degree in Architecture from University Tunku Abdul Rahman and a Master of Architecture from Taylor’s University, Malaysia. His research interest is in Transit Oriented Development and Architecture.

Professor Robert Powell is Professor at the School of Architecture, Building and Design, Taylor’s University, Malaysia. He holds a Dip Arch from the University of Durham (UK) and an M Arch from the National University of Singapore (NUS). He is a registered architect in the UK and a chartered planner in the UK and Singapore. Prof. Powell was, most recently, Head of Ecomasterplanning with Llewelyn Davies Yeang. Before that, he was an Associate Professor in the School of Architecture at NUS. Dr.Camelia Kusumo is a Senior Lecturer at the School of Architecture, Building and Design, Taylor’s University. She holds a BSc in Architecture degree from Universitas Kristen Petra (Indonesia), an MSc in Architecture, Urbanism & Building Science and a PhD in Urban Design and Planning from Technische Universiteit Delft (the Netherlands). Dr Kusumo current research interest is particularly in Low-Cost Housing, Urban Revitalisation and Transit-Oriented Development.

*Corresponding author (Camelia Kusumo). E-mail: kakar.stats.uob@gmail.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13A http://TUENGR.COM/V10A/10A13A.pdf DOI: 10.14456/ITJEMAST.2019.165

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 10A13B

FINANCIAL MODEL OF A REGIONAL SOCIAL SPHERE DEVELOPMENT a*

Vladimir A. Artemov , Larisa V. Davydova , b b Ol'ga A. Fedorova , and Yuliya O. Skorlupina a

Department of Finance, Credit and Accounting, Federal State Budgetary Educational Institution of Higher Education «Kursk State University», RUSSIAN FEDERATION. b Department of Economics, Finance and Accounting, Orel State University, RUSSIAN FEDERATION. ARTICLEINFO

A B S T RA C T

Article history: Received 15 April 2019 Received in revised form 29 July 2019 Accepted 02 August 2019 Available online 09 August 2019

The article deals with peculiarities of financing in a social sphere (SS) of Russia. A special attention while making a financial model of a social sphere development (SSD) is paid to an institutional approach and to the temporal and spatial dynamics of the model. The authors made a model in order to evaluate how financing investment processes influences the results of a in the context of dominant concepts. It is shown that closeness of the connections between the researched variables can be demonstrated in the offered model, which can be used by representatives of state governing institutions or regional authorities while managing the social investments financing and the SSD. The financial model is demonstrated within the regions of the Central Federal District of Russia. Distinctive specific tendencies for the SSD are determined. It lets speak about possibilities of successful management of social investments in the fast-moving society. © 2019 INT TRANS J ENG MANAG SCI TECH.

Keywords: Social investments; Social development; Financing regression model; Public finance management; Social financial influence; Public-private partnership (PPP).

1. INTRODUCTION Nowadays, various issues connected with financing of social investments are considered to be especially relevant to problems of the social sphere development (SSD). This phenomenon performs key functions in the modern society: it provides the national economy with labour forces and renders various forms of life-support to different communities. Besides, an interest in social investments has started increasing relatively recently all over the world in comparison with other social and economic categories. The direction of the causal relationship between the methods of financing social investments and the development of the social sphere (SS) is still unclear for financial science. On the one hand, the level of development of the SS has a significant impact on appropriate methods of financing social investment processes. On the other hand, certain financing methods are not accidentally used in the *Corresponding author (Vladimir A. Artemov) Tel: +7(910)730-84-16 Email: ava_fkn@mail.ru. ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.10 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13B http://TUENGR.COM/V10A/10A13B.pdf DOI: 10.14456/ITJEMAST.2019.166

current economic situation. They should lead to the achievement of the planned results of the SSD.

2. LITERATURE REVIEW In [1], the definition of SS is given “an area of activity where the actors are able to unite in sharing understandings, rules, and principles, regarding the activity. These understandings influence the way in which individuals engage in such activities. The second methodological principle in the study of law in society examined in this chapter focuses on how legal rules are to be construed and managed by officials and citizens.” In [2], the SS financing in Russia has been studied in regards of problems and prospects. The work discussed main trends, growth in funding, priority increase of pension provision, centralized sources management, and evening-out the inter-regional inequalities. The work forecasted the social systems funding up to 2020. A conceptual model has been proposed in [3] for the regional’s human capital development to explain the development dynamic process through investment at state, regional and municipal resources, as well as individuals and private enterprises. These would affect the quality of life and socio-economic development of the regions. The work [4] discussed the change in economic situation in Tatarstan (Russian Federation region) causing differentiation among people due to different income level. The social survey study is analyzed using statistical indicators. A significant amount of research has been done on the issue of financing social investments. However, the generally accepted concept of financing social investments has not been created because a large number of various factors influence the formation of a financial model for the development of the SS. Firstly, the peculiarities of financing investments in the SS also depend on the level of administrative territorial division because the objects of financing themselves vary greatly in composition depending on this feature. Secondly, from the point of view of financing investment processes in the SS, the financial conditions for the development of the sphere of social relations are fundamentally different from the financial support for the development of social infrastructure. Thirdly, there are various models of financing the development of the SS, depending on the level of state intervention. This situation requires analysis, systematization and generalization of approaches to create a financial model for the development of the SS in the region, for the detection of the level of impact of various financing mechanisms of investment processes on the development of the SS.

3. MATERIAL AND METHODS Creating a financial model of the SSD of the region includes several stages.

3.1 INSTITUTIONAL ANALYSIS The initial stage of the research includes analysis of the condition of the institutional environment of the development of the SS, which has been created in a certain region. Much attention is paid to the formation of the institutional environment of the innovative development of the SS in Concept of the long-term social and economic development of the Russian Federation for the period up to 2020 [5]. The directions of the formation of the institutional environment of

Vladimir A. Artemov, Larisa V. Davydova, Ol'ga A. Fedorova, and Yuliya O. Skorlupina

financing investment processes in the SS are given in Figure 1. 1. Political and legal institutions

5. System of strategic management

2. Institutions of human capital development

Institutional environment of financing social investments

4. Development institutions

3. Economical institutions

Figure 1: Directions of the development of the institutional environment of the social investments financing.

3.2 DOMINANT CONCEPTS OF FINANCING SOCIAL SPHERE It is necessary to say that there are still certain gaps in institutional maintenance of financing social investments in particular. In the context of the social investments, NPV indicator (Net present value) can not record the results of financing investment processes in the SS quantitatively because social investments are non-profit. This problem can be solved, for example, by using integral indices, received according to V. Pliuta model [16], which is given in Formula 1. The analysis of the main instruments of financing the SS is done in the framework of the two dominant concepts – regulatory and target financing and public-private partnership (PPP). SSDI  1 

dio , Co 1/ 2

2  n  wheredio    ( Xij  Xoj )   j 1   

X 

, Co  X  2 Sd

1 t  dio t i 1

(1) 1/ 2

1 t  Sd    ( dio  X ) 2  t  i 1 

3.3 TEMPORAL AND SPATIAL DYNAMICS BY GIOVANNI ARRIGHI The next stage includes evaluation of the impact of the principles of Giovanni Arrighi’s Theory [9] of temporal and spatial dynamics on a financial model of the SS development. We use the 3D representation of graphic information to demonstrate the results. The main sources of information for the analysis of SS financing are budget reporting data which are publicly posted on official websites of Ministry of Finance of the Russian Federation, The Federal Treasury, Federal State Statistic Service, Public-Private Partnership Development Centre. Data on the financing of the SS from the consolidated budget of the Russian Federation for the period from 2016 to 2018 using the methods of system and structural analysis, statistical and graphical analysis of *Corresponding author (Vladimir A. Artemov) Tel: +7(910)730-84-16 Email: ava_fkn@mail.ru. ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.10 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13B http://TUENGR.COM/V10A/10A13B.pdf DOI: 10.14456/ITJEMAST.2019.166

the dynamics of time series are analyzed in the article. The synthesis method was used to form a comprehensive view of the existing mechanism for financing the SS.

3.4 CORRELATION AND REGRESSION MODELLING Then a correlation and regression analysis of indicators of the volume of financing of the SS, the final integral indicator of the rating of the region of the Russian Federation by the level of development of the PPP and the integral indicator of the development of the SS in 2018 is conducted. The result of the regression analysis is demonstrated within the simple mathematical model, y = a0 + a1*x1 + a2*x2 +…+ an*xn

(2).

While assessing the level of influence of factor variables and model quality, the coefficients of determination (R2) and pair correlation (r) are used. The correlation and regression analysis is conducted using functions of the tools “Regression” and “Correlation” in the Microsoft Office data analysis package.

4. STUDY DETAILS The main goal of financing social investment activity at the state level is to achieve the most rational form of interaction between investors, the state and consumers in the process of improving the quality and standards of living of a person [6]. Thus, when implementing the social function of the state, it is necessary to move from a consumer approach to an investment one.

4.1 ANALYSIS OF THE INSTITUTIONAL ENVIRONMENT OF THE SS FINANCING Let us consider in a more detailed way the directions of formation of the institutional environment for financing the SS, which are given in Figure 1. Institutions in the field of political and legal relations are dominant in the implementation of legislation and ensuring the political and civil rights of the population of the state (independence of the court, inviolability of property and personality, the effectiveness of law enforcement). Institutions for the development of human capital come into the picture in the transition to a knowledge economy. In this context, the priorities are “education”, “health care”, “pension system”, “housing conditions”. Economical institutions are connected with legislation regulating sustainable (and sometimes even breakthrough) economic development. Development institutions should be focused on eliminating the existing imbalances which affect economic growth (for example, investment promotion agencies, technology parks). The institutional support of the strategic management system must ensure a balanced and coordinated development of the enumerated institutions. The relevance of the study of the institutional aspects of financing social investments was confirmed in 2009, when economists who were engaged in the study of the institutional aspects of the innovative development of the economy received Nobel Prizes. The regional specificity and significance of the formation and development of the enumerated institutions in the context of financing investment processes in the SS is clear if we pay attention to the fact that one of the goals of Russia's social and economic development is “ensuring balanced social and economic development of the regions”. The main direction of a regional policy in this case is “coordination of state infrastructure investments and business investment strategies in the regions, taking into account the priority of spatial development and resource limitations, including

Vladimir A. Artemov, Larisa V. Davydova, Ol'ga A. Fedorova, and Yuliya O. Skorlupina

demographic ones” [5]. It is necessary to note that almost all infrastructure investment projects are socially oriented (education, transport, housing, health care, communications). The special role of investment infrastructure projects in the SS is also emphasized in the Decree of the President of the Russian Federation “On the national goals and strategic objectives of the development of the Russian Federation for the period up to 2024” dated May 7, 2018. According to the Decree, implementing national projects can help to achieve socially oriented goals, such as increasing the population of the country, raising the standards of living of the citizens, creating comfortable conditions for their living, as well as the conditions and opportunities for self-realization and revealing the talents of each person [7]. At the moment, the institutional environment for financing investment processes in the SS has been formed at the federal level, ensuring the balance of interests of all the regions. According to the Russian legislation, “investments are cash resources, securities, other kinds of property, including property rights, other rights which have a monetary value, which are contributed to objects of entrepreneurial and other activities for profit or another beneficial effect” [8]. It is the “another beneficial effect” that is the basis for characterizing the result of investment processes in the SS because profit is not always the goal for social investments. The most important categories of financing investment processes in the SS are “state program” and “public-private partnership”. The institution of “state programs” was introduced by article 179 of the Budget Code [8]. As for the PPP, this subject area is reflected in a number of laws, because of the variety of forms of relations which should be regulated between the public and private sectors. We can find it in such laws as Federal Law № 115 “On Concession Agreements”, Federal Law № 224 “On PPP, municipal-private partnership ...”, Federal Law № 44 “On the contract system in the field of procurement of goods, works, services ...”, Civil Code of the Russian Federation, Federal Law №135 “On protection to competition” (state property lease agreement with tenant investment obligations), Federal Law № 223 “On procurement of goods, works, services by certain types of legal entities” (long-term contract for the supply of goods, works, services with investment obligations of the contractor).

4.2 DOMINANT CONCEPTS OF SS FINANCING The formation of the institutional environment for financing investment processes in the SS of a region has a number of conceptual features. The concepts of PPP and regulatory-targeted financing are dominant while financing investments in the SS of the region. Russia had a large number of regional laws on PPP, the sense of which was lost after the adoption of the Federal Law № 224 “On PPP, municipal-private partnership ...” in 2015. This Federal Law governs the entire cycle of public-private and municipal-private partnerships. It is necessary to pay attention to the fact that the regions of the Russian Federation are not obliged to adopt regional laws on PPP (this is their right). Legal relations in this area should be regulated exclusively at the sub-legislative level. In this situation, regulatory documents which ensure effective budget participation in joint investment projects, including concession projects, come into the picture. These regulatory acts are such documents as rules for making decisions on making public-private and concession agreements for a period exceeding the term of the approved limits of *Corresponding author (Vladimir A. Artemov) Tel: +7(910)730-84-16 Email: ava_fkn@mail.ru. ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.10 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13B http://TUENGR.COM/V10A/10A13B.pdf DOI: 10.14456/ITJEMAST.2019.166

budgetary obligations; procedure for granting subsidies from the regional budget to municipalities to fulfill their spending obligations under the agreements. In this context, the concept of regulatory and targeted financing remains a priority, and regional budget legislation is the basis for the formation of an appropriate institutional environment. It is necessary to say that in the near future, with the institutional provision of financing of investment processes in the SS, federal and regional legislation will have to respond to the challenges of the digital economy. The introduction of digital platforms often does not give the desired effect due to the backwardness of the regulatory framework. The new legislation can influence the speed of creation of integrating platforms. At the same time, many regions of Russia are not very active in creating a country's digital ecosystem. They believe that all platform solutions will be determined and implemented by the federal government and they will join the ready-made solutions after orders of the government. However, it is impossible to develop the digital economy without the direct participation of the regions of the Russian Federation and without using and replicating the best regional legislative practices in the digital economy, including the financing of social investments.

4.3 EVALUATION ON TEMPORAL AND SPATIAL ASPECTS OF CREATING A FINANCIAL MODEL OF THE SSD IN THE CONTEXT OF DOMINANT CONCEPTS Creating a financial model, the next important is the expediency of taking into account the influence of temporal and spatial aspects on the dynamics of the SSD. Temporal and spatial trends in the impact of financing both budget investments and investments in the framework of PPP on the development of the SS receive a new meaning in the context of the principles from Giovanni Arrighi’s research [9], connected with the conceptualization of the globalization processes of historical capitalism. What is more, the three main categories of the examined processes – “spatial-temporal fix”, “switching crisis” and “accumulation by dispossession” – fit quite well into a financial model of the SSD [9]. “Spatial-temporal fix” of the capital means overcoming of crisis phenomena through the distribution of financial flows for future periods (time) and transformation of their geographical orientation (space). From the standpoint of the evolution of the SS, this strategy allows to make the so-called equalization of the level of social development of certain regions. This equalization can help to get rid of the imbalances connected with the fact that financial capital in a certain area can not bring the same increase in social effect, as it brings in less developed regions. In the current situation, the unequal distribution of capital provokes a search for more effective ways of financing social investments in an alternative geographic space. Thus, we have a spatial expansion of the accumulation system. Besides, if there is no new space to develop financial capital, the capital is devalued. It leads to another problem: capital circulation sometimes has negative consequences and even can be the reason of the “switching crisis”. In this situation, we can have a local counteraction towards the circulation of capitals, which can arise both from the centre and from newly established territories which do not want to lose benefits from the social investments. In any case, “switching crisis” sharpens the problem of the power balance that is connected with reducing the pace of social development in more developed territories and dynamic development of new regions. Two ways to solve the problem can appear in this situation: to weaken the financial situation of certain territories or to use rigid political tools to reverse the competitive

Vladimir A. Artemov, Larisa V. Davydova, Ol'ga A. Fedorova, and Yuliya O. Skorlupina

situation in their favour. A combination of these ways is “accumulation by dispossession”. The world practice shows that it includes the transfer of rights of property (even the state one) into private rights, the appropriation of assets and natural resources, the exclusion of alternative use of various resources (including human capital). It means that “accumulation by dispossession” and “spatial-temporal fix” are equivalent to solving the problem of overaccumulation of capital. The summarized mechanism of the interaction of the described categories is shown below. “Spatial-temporal fix”

Distribution of financial flows for future periods

Equalization of the level of social development of certain regions

Solving the problem of “no effect on investments”

Opportunities of a spatial expansion of the accumulation system appear

Yes

A new space appears to develop capital

“Switching crisis”

Solution to the problem of over-accumulation of capital

The problem with the balance of development of the territories sharpens

“Accumulation by dispossession”

Escalating competition to strengthen the position of the region

Two ways to solve the problem

Weakening of the financial situation of the regions

Figure 2: Interaction mechanism of the main categories of temporal and spatial trends of financing investments Temporal and spatial characteristics of financing social investments let detect the formed trends. It helps to detect preconditions and factors, which influence the development of the SS of the region directly. To describe the current situation in the area of financing of the main elements of the SS giving different regions of the Central Federal District of Russia as examples, the data is shown in Table 1. The use of 3D depiction of graphic information makes it easier. As an example, we can introduce a temporal and spatial characteristic of the process of financing education in the regions of the Central Federal District of Russia over the period from 2016 to 2018 that is shown in Figure 3. The regions have sequence numbers (they are given in brackets after the names of the regions in Table 1). *Corresponding author (Vladimir A. Artemov) Tel: +7(910)730-84-16 Email: ava_fkn@mail.ru. ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.10 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13B http://TUENGR.COM/V10A/10A13B.pdf DOI: 10.14456/ITJEMAST.2019.166

Table 1: Expenses for the SS of the consolidated budgets of the regions in the Central Federal District of Russia from 2016 to 2018, million Russian Rubles.

million Russian Rubles

Belgorod (1) Bryansk (2) Vladimir (3) Voronezh (4) Ivanovo (5) Kaluga (6) Kostroma (7) Kursk (8) Lipetsk (9) Oryol (10) Ryazan (11) Smolensk 12) Tambov (13) Tver (14) Tula (15) Yaroslavl (16)

Housing and Сommunal Services (x1) 2016 2017 2018 2739 3294 3908 1777 2230 2281 3713 4050 4022 4242 4359 5416 2573 3294 3266 5660 6714 7515 2161 1911 2163 1812 2043 1915 3272 3518 3548 1008 976 1075 2552 1857 2505 2856 2428 2417 2776 2946 3233 3220 3924 3087 6243 7245 5491 5030 4943 4580

Education (x2) 2016 24586 14202 18291 28814 11138 15665 8847 16875 15785 10236 15662 12369 14036 16640 22858 21965

2017 26215 14972 20043 31259 11358 15379 8889 17053 16896 11155 16495 11880 14333 17560 24854 22463

2018 29380 17175 22526 35443 13156 17790 10735 20185 18164 11505 18382 13116 14576 19013 26199 24071

Health Care (x3) 2016 10155 2300 8454 16461 1679 4328 4006 6549 4350 5311 6834 6434 6393 9919 12204 8994

2017 19976 13837 17828 28731 10569 14208 7811 13518 14420 9510 13147 11360 11684 16638 20917 17451

Social Policy (x4)

2018 24858 17259 21928 35825 13806 17978 9434 16756 17320 11507 17607 13620 13738 20024 23671 20960

2016 10025 15236 10875 16105 11138 12578 4716 9731 13584 6639 8343 7842 8145 10134 15106 12678

2017 15724 14813 15436 24769 11418 12611 7001 14759 13595 10003 12680 11506 11471 15242 22042 17053

2018 16546 15178 16616 25810 11851 13061 7413 15087 14678 10043 13585 12099 12150 15857 22719 18208

40000 30000 30000-40000

20000

20000-30000

10000

10000-20000

1 2 3 2018 4 5 6 7 8 9 2017 10 11 2016 12 13 14 15 Russia Region 16

0-10000

Year

Russia Region

Figure 3: Temporal and spatial characteristic of the process of financing education in the regions of the Central Federal District of Russia over the period from 2016 to 2018, million Russian Rubles Voronezh and Tula were the leading regions in the amounts of financing of the SS in 2018. The lowest levels of the social expenses were demonstrated in Kostroma Region and Oryol Region. Besides, there is a general tendency towards predominance of expenses for education in the financing structure and a lag in financing of housing and communal services. Differentiation of the budget expenses for the social aims in the regions of the Central Federal District is rather great. It can be explained by different conditions, which influence financing of the SS (population size, level of economic development, regional social policy). Nowadays, the search for methods of financing investment processes in the SS receives new impetus in the framework of PPP approaches that keeps penetrating deep into the concept of public finance management. It is necessary to consider the condition of financial support for the development of infrastructure projects at the state level before examining the role and the meaning of private investments in financing the SS at the regional level. Infrastructure investments are one of the main and effective instruments for financing the

Vladimir A. Artemov, Larisa V. Davydova, Ol'ga A. Fedorova, and Yuliya O. Skorlupina

development of the SS. Global demand for them exceeds annual investments more and more often. Government expenses are not able to supply an increasing need in infrastructure investments. It is estimated that Russia’s uncovered demand for infrastructure investments will be 4.8 trillion Rubles or 4.7% of GDP in 2019. The greatest investments need will be observed in the field of transport (950 billion Rubles), communal and housing service (300 billion Rubles) and health care (100 billion Rubles), see Table 2. Use of funds of private investments will reduce these gaps. For example, it is possible to cover the expenses for culture and tourism by 75%, IT infrastructure expenses by 70%, expenses for education and sport by 50% [11, 12]. Table 2: Evaluation of uncovered demand in different branches. Branch

Health Care Sport Education Culture and Tourism Communal and Energy Infrastructure Transport Infrastructure IT Infrastructure Agricultural Infrastructure Other Branches

Uncovered Demand in 2019, billion Russian Rubles 100 40 40 20 300 950 50 50 50

Cover Potential with PPP, billion Russian Rubles 30 20 20 15 120 220 35 10 12.5

Cover Percentage with the funds of PPP, % 30 50 50 75 40 23 70 20 25

Thus, private investments are very important for the development of the national economy. According to research, 452 projects in the SS, 124 projects in the transport sphere and more than 2730 projects in the communal and energy sphere are carried out in Russia in 2019 with the help of the private investments. Overall financing volume is more than 2 trillion Russian Rubles. The private investments volume in 2018 was 2182.1 billion Russian Rubles. However, it is necessary to say that Russia ranks seventh in the world for the volume of the private investments per capita with 444 $ following China. Mexico, Argentina, Turkey and Brazil are also ahead. The United Kingdom of Great Britain and Northern Ireland ranks first in the world for the volume of the private investments per capita with 1864 $. The structure of the infrastructure investments in Russia is similar to the structure in China if we pay attention to the disposition of funds for different branches. The investments are mostly used for the development of the transport sphere and of the energy (47% and 36% respectively).

Figure 4: Structure of infrastructure investments in Russia. Figure 4, about 3% of the investment resources are used for water supply and sanitation. It is necessary to say that China spends more money on the infrastructure than North America and *Corresponding author (Vladimir A. Artemov) Tel: +7(910)730-84-16 Email: ava_fkn@mail.ru. ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.10 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13B http://TUENGR.COM/V10A/10A13B.pdf DOI: 10.14456/ITJEMAST.2019.166

Western Europe in general (about USD 829 billion). The number of the social projects which are carried out with the help of private investments keeps increasing. The most popular forms of private investments in the SS are a concession agreement, a lease agreement with investment obligations, a private partnership agreement at the state level or at the municipal level, a life cycle contract or a long-term state or municipal contract with an investment component, an offset purchase and other forms. Payment facilities used to return private investments are divided into three groups: “Availability payment”, a mixed model of return on investments and direct takings from consumers or other commercial activities. The facility “Availability payment” includes recovery of expenses for carrying out an investment project and assurance of its profitability and reimbursement of debt financing. A mixed model of return on investments is based on return on investment resources with the help of the budget and commercial activities. Direct takings from consumers mean return on investments only with the help of commercial activities of the investor. Most of private investment projects to develop spheres of heat supply, water supply and sanitation are based on return on investments by providing services for consumers according to controlled costs or tariffs. Other projects are carried out with the help of different payment facilities. According to the modern conditions, financing the development of the social infrastructure is connected with various trends, influencing the structure and volumes of investments in the future. First, the social infrastructure can face some risks of technological development. It can change directions of making investments. Second, global decarbonising will also help to switch to new sustainable infrastructure technologies. Third, a growing digitization of the social processes will influence the quality of the managerial decisions and increase in the yield of the investment decisions. Fourth, cybersecurity of the social infrastructure will help to develop the infrastructure itself. It is really important because there is an increase in danger of cybercrime. Table 3: The final integral indicator of the rating of regions of the Russian Federation by PPP level. Region Belgorod Region Bryansk Region Vladimir Region Voronezh Region Ivanovo Region Kaluga Region Kostroma Region Kursk Region Lipetsk Region Moscow Region Oryol Region Ryazan Region Smolensk Region Tambov Region Tver Region Tula Region Yaroslavl Region Moscow

2016 34.0 19.9 63.6 55.0 35.6 44.8 24.8 25.9 43.4 82.7 16.8 28.5 44.7 62.3 7.8 52.5 22.8 90.1

2017 39.6 16.9 73.0 54.7 41.9 57.6 24.4 27.9 45.7 90 20.9 32.1 49 79 18 62.9 28.5 90.0

2018 51.5 17.8 77.3 52.7 37.1 72.8 27.8 31.9 50.1 90 18.3 38 49.2 84.1 18.4 66.7 39.0 90.0

Differentiation of the PPP and SSD level in the regions of the Central Federal District of Russia is rather great. It can be explained by different conditions, which influence financing the social

Vladimir A. Artemov, Larisa V. Davydova, Ol'ga A. Fedorova, and Yuliya O. Skorlupina

investments (population size, level of economic development, regional social policy). The rating of the development of the PPP in the regions of the Central Federal District of Russia over the period from 2016 to 2018 is shown in Table 3. Such factors as the development of the institutional environment in the PPP, regulatory support of the PPP and experience of carrying out PPP projects are used to calculate the indicator of the rating of the region in the Russian Federation. We can highlight two main trends in the development of the PPP level. Firstly, several regions have reached maximum indices of the development of the institutional environment and of the regulatory support of the PPP by now. Secondly, the share of the indices of the described factors has decreased significantly in the general integral index. Table 4: Values of SSDI in the regions arranged by years (and their ranks). Russia Regions Belgorod Region (1) Bryansk Region (2) Vladimir Region (3) Voronezh Region (4) Ivanovo Region (5) Kaluga Region (6) Kostroma Region (7) Kursk Region (8) Lipetsk Region (9) Oryol Region (10) Ryazan Region (11) Smolensk Region (12) Tambov Region (13) Tver Region (14) Tula Region (15) Yaroslavl Region (16)

2016 Value (y) Rank 0,275 8 0,215 12 0,184 15 0,314 5 0,164 20 0,284 6 0,172 18 0,231 10 0,266 9 0,170 19 0,184 16 0,199 13 0,177 17 0,184 14 0,222 11 0,277 7

2017 Value (y) 0,282 0,191 0,153 0,286 0,167 0,284 0,193 0,215 0,270 0,164 0,184 0,181 0,185 0,183 0,231 0,276

Rank 7 13 20 5 18 6 12 11 9 19 15 17 14 16 10 8

2018 Value (y) 0,258 0,189 0,156 0,275 0,162 0,261 0,183 0,230 0,267 0,143 0,175 0,160 0,188 0,206 0,207 0,244

Rank 8 13 19 5 17 7 15 10 6 20 16 18 14 12 11 9

Total Rank 7 12 18 6 19 5 17 10 9 20 15 14 16 14 11 9

0.4 0.3 0.2 0.1 0

0.3-0.4 0.2-0.3 1 2 3 4 5 6

0.1-0.2 7

0-0.1 9

2018 11

2017 13

2016 16

Figure 5: Temporal and spatial characteristic of the level of the SSD the regions of the Central Federal District of Russia over the period from 2016 to 2018.

5. DISCUSSION While modelling how different ways of financing of investment processes influence the results of the SSD, it is reasonable to use the chosen criteria of effectiveness [13]. In this very situation, we *Corresponding author (Vladimir A. Artemov) Tel: +7(910)730-84-16 Email: ava_fkn@mail.ru. ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.10 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13B http://TUENGR.COM/V10A/10A13B.pdf DOI: 10.14456/ITJEMAST.2019.166

can use an integral detector “SSD Index” (SSDI), based on V. Pliuta’s model [16] (Formula 1). The first stage of creating an integral index requires paying attention only to those particular variables, which are characterized by the greatest changeability. We analyzed a set of initial particular indices and chose the following five of them as input variables: birth rate per 1000 persons, average cash income per capita, total square of living quarters per one inhabitant, the number of hospital beds per 10000 persons, the number of registered crimes per 100000 persons [14, 15]. Table 4 and Figure 5 show Calculated values of SSDI in the regions in Central Federal District of Russia from 2016 to 2018. Kaluga Region, Voronezh Region and Belgorod Region use the financial resources of the social investments more effectively than the other regions do. The lowest effectiveness level of the social investments is demonstrated in Ivanovo Region and Oryol Region. We are going to do a correlation and regression analysis of indices of financing levels of the SS and an analysis of an integral index of the SSD in 2018 at the next stage. The initial data for the analysis are given in Tables 1 and 4. The correlation factors demonstrate a very close (almost equal) connection between the variables. It is necessary to scale the variables beforehand to do a regression analysis. The results of the regression analysis let create the following mathematical function (3), which characterizes how budget financing of the investment processes can influence the results of the development of the SS: Y =17.3 + 0.15x1 +0.78x2 - 0.57x3 - 0.17x4 (R2=0.92)

Low volumes of financing the region

Consideration of peculiarities of the region and particular qualities of the period of the development while evaluating the expediency of further financing

Low effectiveness

High effectiveness

Avoidance of the idea of a structurally immutable social and economic system Consideration of a spatial organization of intensive national corporate regimes Consideration of cycle peculiarities of the development of the social and economic systems Fixation of intermediate values of those forces and connections which are not dominant Consideration of crisis periods and social conflicts

Rules of temporal and spatial processes

Great volumes of financing the region

(3)

Mechanism of smoothing the imbalances in the development of the regions according to the effective use of the resources given for their social development

Figure 6: Principles of implementing the policy of the social investing based on equalizing the social and economic development of the regions by redistributing the financial flows. The offered methods can be expanded by creating “SS Financing Index” (SSFI) according to similar principles. Then a correlation and regression analysis of SSFI and SSDI will let characterize more accurately temporal and spatial dynamics of the way how mechanisms of financing the SS

Vladimir A. Artemov, Larisa V. Davydova, Ol'ga A. Fedorova, and Yuliya O. Skorlupina

influence its development. While evaluating the level of influence of financing the investment processes within the partnership of the state and of private business on the results of the SS development, we are going to do a correlation analysis of the “Final integral index of the rating of the Russian region according to the level of the development of the PPP” and SSDI from 2016 to 2018. The initial data for the analysis are given in Table 3 and Table 4. The correlation factor (r) is calculated with the help of the function of the tool “Correlation” in the Microsoft Office Excel data analysis package. The range of the factor during the analysis is from 0.6 to 0.7. The instruments of financing the social investments within the concept of the PPP keep developing in Russia. Therefore, we can say that there is a close connection between the variables. The mathematical function that characterizes the influence of financing the investment processes within the PPP on the results of the SSD in 2018 is given below: y = 0.08+0.003x1 (R2=0.6)

(4)

6. DISCUSSION State governing institutions should implement the policy of the social investments based on equalizing social and economic development of regions by redistribution of financial flows and paying attention to the financial model of the social development of the regions in dynamics. Besides, it is necessary to pay attention to five important rules offered by Arrighi [9]. The rules are connected with temporal and spatial processes of the globalization and they will help to take into account the aspects of the influence of financing the social investments on the SS development more attentively. Firstly, it is relevant to abandon the idea of a structurally immutable social and economic system. On the contrary, globalization trends include fundamental transformations in the structure of spatial connections, in which the accumulation system is embedded. Secondly, the dominance in the analysis should be outside of the systems, which make the basis of the organization of the main directions in financing the social investments and strategic initiatives of the governing institutions. A spatial organization of intensive national corporate regimes is the most favourable one for forming and using financial resources to reach the main socially oriented aims. Thirdly, the crucial moments of switching from the material stage of the expansion to its financial stage are basic for the choice of methods of financing the social investments. Comparison of a sequence of phenomena in these crucial moments lets detect structure transformations connected with cycle peculiarities of the development of the social and economic systems. Fourthly, description of any regime of accumulation at the upper stages of its evolution means both the dominance of the spatial component and the fixation of the intermediate direction of the forces and connections, which will help to solve the problem of redistribution of financial flows to equalize the level of the development of the SS of the regions. Besides, it is relevant to fix an intermediate value of those forces and connections which are not dominant but introduce decent alternatives. Fifthly, it is necessary constantly to pay attention to social conflicts during periods of accumulation using “accumulation by dispossession” because social conflicts become independent variables during crisis periods. *Corresponding author (Vladimir A. Artemov) Tel: +7(910)730-84-16 Email: ava_fkn@mail.ru. ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.10 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13B http://TUENGR.COM/V10A/10A13B.pdf DOI: 10.14456/ITJEMAST.2019.166

In general, it is relevant to implement the mechanism of smoothing the imbalances in the development of the regions according to the effective use of the resources given for their social development. According to the calculations described above, it has been detected that there are territories which have great volumes of the given resources for financing the investments in the SS, which, in the end do not give the proper level of the effect and make their rank worse while comparing the indices of the development of the SS of the regions. It is offered to implement the mechanism of equalizing the development of the regions according to the main rules of the temporal and spatial processes described in the article before (Figure 6).

7. CONCLUSION Taking into consideration the fact that use of new instruments of financing at different levels of power becomes extremely important in the modern conditions of limited budgets at all the levels, we can say that the mechanisms of the PPP are the key construction for the attraction of private investments to develop various kinds of the social infrastructure and develop different territories. It is reasonable to point out that the civil society must be the main participant of the social regulation. The society must direct its efforts towards a gradual growth of the social responsibility of business based on the social partnership. Whereas the offered model of the management system of the SS development in the context of social investments can be used in carrying out the financial control of the investment processes in the SS.

8. ACKNOWLEDGEMENT The study is supported by the Russian Foundation for Basic Research (RFBR), Grant 17-3201189 “Methodology of influence of financing of investment processes on results of development of the SS”.

9. AVAILABILITY OF DATA AND MATERIAL The data used in this study is included in this article. No data is generated from this study.

10. REFERENCES [1] D. J. GALLIGAN. Law in Modern Society. DOI:10.1093/acprof:oso/9780199291830.003.0007

Chapter:

Social

Spheres.

2006.

[2] Styrov MM. Problems and prospects of social sphere financing in Russia. Ekonomicheskie i Sotsialnye Peremeny. 2013. 1(29):151. [3] Mazelis LS, Lavrenyuk KI, Krasko AA, Zagudaeva ON. A Conceptual Model of the Regional Human Capital Development. International Transaction Journal of Engineering Management & Applied Sciences & Technologies. 2018; 9(5): 477-94. [4] Zainullina MR, Makhiyanova AV, Khuzieva EF, Nagimov RM. Methodology of Construction and Trend Shaping For Economic Profile of Poverty. International Transaction Journal of Engineering Management & Applied Sciences & Technologies. 2019, 10(1):27-35. [5] Decree of the Government of the Russian Federation of November 17, 2008 N 1662-р (edition of September 28, 2018) “On the Concept of the long-term social and economic development of the Russian Federation for the period up to 2020”.

Vladimir A. Artemov, Larisa V. Davydova, Ol'ga A. Fedorova, and Yuliya O. Skorlupina

[6] Lapin N.I. Formation of a social state as a way of successful evolution of society. Sociological Research. 2018. № 8. Pp. 3-11. DOI: 10.31857/S013216250000758-6. [7] Decree of the President of the Russian Federation of May 7, 2018 “On the national goals and strategic objectives of the development of the Russian Federation for the period up to 2024”. [8] Federal Law N 39 of February 25, 1999 “On the investment activity in the Russian Federation, implemented in the form of capital spending” (the latest edition). [9] Budget Code of the Russian Federation. [10] Arrighi G. Spatial and Other of Historical Capitalism. Journal of World-Systems Research, Vol. X, N 2, Summer 2004. P. 527–539. [11] Project of a national report about attraction of private investments in developing the infrastructure and use of mechanisms of the public-private partnership in Russian Federation, Moscow, 2018. 78p. [12] Infrastructural support. The official website of Platform of support for infrastructural projects. 2019. www.pppi.ru/region-rating [13] R.S. Kaplan, D.P. Norton. Using the Balanced Scorecard as a Strategic Management System // Harvard Business Review, 1996, January/February, p.76. [14] Russia Statistic Service. The official website of Federal State Statistic Service. 2019. www.gks.ru. [15] Federal Treasury of Russia. www.roskazna.ru. 2019.

The official website of The Federal Treasury of Russia.

[16] V. Pliuta The comparative multidimensional analysis in economic researches: Methods of taxonomy and factor analysis. The Translation from Polish by V.V. Ivanov. M.: Statistics, 1980. 151 pages. Vladimir A. Artemov is an Associate Professor at Department of Finance, Credit And Accounting at Federal State Budgetary Educational Institution of Higher Education, «Kursk State University», Russia. He received Degree of Candidate of Economic Sciences in 2004. His research is related to Financing of the Social Sphere. Professor Dr.Larisa V. Davydova is Professor at Department of Economics, Finance and Accounting at Orel State University, RUSSIAN FEDERATION. She graduated from the Moscow University of Commerce in "Trade economy". She obtained a Doctoral degree in Economic Sciences. Her research is related to Financial Stability of the Enterprise, and Digital Economy. Ol'ga A. Fedorova is an Associate Professor in the Department of Economics, Finance and Accounting at Orel State University, RUSSIAN FEDERATION. She got a Candidate of Economic Sciences on a subject: "Management of formation and functioning of mobile industrial complexes". Now Fedorova O.A. is the deputy director of Finansist Information Centre of Finance and Credit Publishing house in the Oryol state university of I.S. Turgenev. Her scientific interests are formation of large financial and industrial associations, effective management of regional financial resources, reforming of the budgetary system in the conditions of a transitional economy. Yuliya O. Skorlupina is an Associate Professor in the Department of Economics, Finance and Accounting at Orel State University, RUSSIAN FEDERATION. In 2009 Skorlupina Yu.O. was awarded with a gold badge for "Excellent study" during training at the Oryol State Technical University. She is a Candidate of Economic Sciences on the subject "Formation of a System of Regulation of the Interbank Competition to the Purpose of Ensuring Stability of the Banking Sector."

Trademarks Disclaimer: All products names including trademarks™ or registered® trademarks mentioned in this article are the property of their respective owners, using for identification purposes only. Use of them does not imply any endorsement or affiliation.

*Corresponding author (Vladimir A. Artemov) Tel: +7(910)730-84-16 Email: ava_fkn@mail.ru. ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.10 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13B http://TUENGR.COM/V10A/10A13B.pdf DOI: 10.14456/ITJEMAST.2019.166

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 10A13C

DATA AUGMENTATION AND NEURAL NETWORK MODELS CONSTRUCTION FOR HAND-WRITTEN CHARACTER RECOGNITION IN BIOMETRIC AUTHENTICATION SYSTEMS Anastasia Gennadevna Isaeva a*, Alexey Sergeevich Katasev b, Amir Muratovich Akhmetvaleev b, Dina Vladimirovna Kataseva b a Kazan

Federal University, RUSSIA. Security Systems Department, Kazan National Research Technical University named after A.N. Tupolev, RUSSIA.

b Information

ARTICLEINFO Article history: Received 14 May 2019 Received in revised form 25 July 2019 Accepted 06 August 2019 Available online 09 August 2019

Keywords: biometric identification; Augmented ANN; Distorted handwriting; Numeric handwriting; Training ANN.

A B S T RA C T

This paper solves the problem of neural network model construction for hand-written character recognition. The preparation of data for training neural networks was carried out using the augmentation method by including distortions of two types in the data: resizing and rotation of the characters. To build the models, two training sets were used: initial data and augmented data. The training accuracy of neural network models was 100%. To assess the generalization ability of the constructed models, a test sample with a volume of 1000 records (100 records for each digit) was formed, consisting of ordinary and distorted images of decimal digits missing in the training samples. The accuracy of the initial neural network model during testing was 84.7%, and the accuracy of the augmented model was 95 %. For each neural network model, errors of types I and II were calculated, having a value of 6.2% and 9.1% for the original neural network model and 1.8% and 3.2% for the augmented one. Consequently, the enrichment of the initial data allowed us to reduce the level of errors of the first type by 4.4%, and the number of errors of the second type by 5.9%. In addition, the total error of each model is calculated based on the three-block cross-validation method. The error of the original model was 0.21, and the augmented one - 0.07. Consequently, the total error of the augmented model decreased by 0.14 compared with the original model. Thus, the augmented neural network model is an effective hand-written character recognition tool and can be used in biometric authentication systems. © 2019 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Currently, in the biometric identification and authentication systems, the actual challenge is to *Corresponding author (Anastasia Gennadevna Isaeva). E-mail: nastyaadema@mail.ru ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13C http://TUENGR.COM/V10A/10A13C.pdf DOI: 10.14456/ITJEMAST.2019.167

effectively recognize the characters handwritten by users [1,2]. On the one hand, it should be convenient for a person to use an authentication procedure, and on the other hand, the recognition accuracy must be high to prevent an attacker from gaining access to computer resources. At the same time, in order to increase the efficiency of information protection, corporate information systems increasingly use biometric authentication procedures, based, in particular, on the recognition of handwritten characters of registered users. At the same time, it is important to build fault-tolerant recognition systems that would solve the task with a high degree of accuracy both with use of the users’ reference data and upon the noise pollution of biometric references in realtime. In the paper, the problem is solved by developing an effective neural network model for recognizing the handwritten characters of users, which should be highly accurate due to the application of a special technique with augmentation (enrichment) of the training data set [3,4].

2. METHOD Today, information systems use authentication methods based on checking the entered password using technical devices such as e-tokens, as well as using biometric authentication procedures [5]. The latter are the most reliable from the point of view of information security since a biometric reference cannot be lost, forgotten or replaced. For the task of recognizing handwritten characters of users, the choice of the most preferred method of biometric authentication becomes relevant. The most widely used are the following classes of methods [6-8]: template, feature, structural, and neural network. In the first group of methods, hand-written character recognition is performed by comparing a scanned copy of the signature image with a biometric reference. For recognition, the input image is converted into a raster, and then it is compared with all known elements. Sample methods quickly and accurately perform recognition of images of handwritten signatures. However, their effectiveness is reduced if a noisy character is presented for recognition. In the second group of methods, recognizable and reference images of handwritten characters are considered as n-dimensional feature vectors. When recognizing the next character, its vector is compared with the reference one. The similarity of the vectors by the selected distance measure corresponds to the successful completion of an authentication procedure by the user. Despite their simplicity and high efficiency of practical use, the feature methods, as well as the template ones, do not allow defective images to recognize with a high degree of accuracy. In structural methods, the input vector image is described by a special graph that ensures the sustainability of recognition when the character form or the style are changed, which is important when recognizing handwritten characters. But just like the previous methods, they lose their advantage in the presence of noise and defects in the image. The fourth group of recognition methods is based on the use of neural network models and algorithms [9]. In this case, the image being recognized is converted into a bitmask of a certain dimension; the brightness of each bit is encoded and written into a string. Thus, the number of input neurons in the model corresponds to the number of mask elements, and the number of output ones

Anastasia Gennadevna Isaeva, Alexey Sergeevich Katasev, Amir Muratovich Akhmetvaleev, Dina Vladimirovna Kataseva

corresponds to the number of different recognizable images. The advantage of neural networks is their universal approximating ability and the possibility of effective practical use for solving a wide range of tasks [10,11], including biometric authentication problems. In addition, if there is good training sample, neural networks are capable of detecting any objects with high accuracy under noisy conditions. Thus, when constructing neural network models of handwritten character recognition, special attention should be paid to the formation of initial data for their learning [12]. The analysis of the considered methods led to the conclusion about the preference of using neural networks in the task of biometric user authentication based on hand-written character recognition. However, when preparing data for training and testing the network, it is necessary to enrich them using different augmentation procedures (increase, decrease, rotation, and other character distortions). This will allow the training sample to diversify, and to improve the accuracy of the neural network model when recognizing actual characters. In this paper a special augmentation method based on the initial enrichment of the training sample data with further examples obtained by using various kinds of distortions. To test the proposed technology, all numbers from “0” to “9” were chosen as basic handwritten characters. For effective recognition of hand-written characters, a user preliminarily forms a set of reference records of all digits represented as 16-by-16- bit bitmasks. Figure 1 shows an example of such bitmasks for each digit.

Figure 1: Example of decimal handwritten numbers. Next, the initial data are formed for training and testing the neural network model. In this case, each bitmask is stretched to a row of 256 points in length corresponding to the dimension of the bitmask. A data sample is formed from a set of rows represented by 256 input values (0 or 1) and 10 output values (from 0 to 10). After that, the prepared source data is enriched using the augmentation procedure. In this case, the neural network trained with the use of the initial data will be considered as the initial one, and the network trained on the enriched data will be considered as the augmented. In the latter case, the neural network has the best generalizing ability which makes it possible to recognize unfamiliar characters on the basis of such a network in the future. There are several ways to enrich the source data. In this study, an augmentation method by adding distorted characters to the sample was used. In general, we can use various types of *Corresponding author (Anastasia Gennadevna Isaeva). E-mail: nastyaadema@mail.ru ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13C http://TUENGR.COM/V10A/10A13C.pdf DOI: 10.14456/ITJEMAST.2019.167

distortions [13] from shift and rotation of individual parts of an image to placing over the image of additional lines, shadows, introducing blurriness, as well as the use of compression and stretching. It is believed that the accuracy of image recognition is most influenced by such typical distortions as various rotations, as well as changes in the size of characters. Figure 2 shows an example of distorting the handwritten digits by changing their original dimensions.

Figure 2: Example of distortion in the form of resizing characters Figure 3 shows an example of distorting handwritten digits based on their rotation.

Figure 3: Example of distortion in the form of rotation of characters. Thus, the original and augmented training sets will be used, respectively, to build two neural network models. In this case, the original training sample includes only reference records of digits and the augmented one complements them with distorted images. A model in the form of a multilayer perceptron was chosen as the basis for the construction of neural network models. The constructed neural network models were successfully trained with 100% accuracy.

3. RESULT AND DISCUSSION High accuracy results in training neural network models do not yet indicate their adequacy and the possibility of effective use in practice. Corresponding data samples consisting of 1000 records were formed for testing neural network models constructed and evaluating their generalizing ability. Moreover, in the test data, each image of the decimal digit was represented by 100 different variants, including the usual, distorted and noisy images. Table 1 presents the results of assessing

Anastasia Gennadevna Isaeva, Alexey Sergeevich Katasev, Amir Muratovich Akhmetvaleev, Dina Vladimirovna Kataseva

the generalizing ability of both the original and augmented neural network models. Table 1: Test data recognition results based on the source and augmented neural networks

The number of cases of correct recognition The number of cases of incorrect recognition Digit based on the original neural based on augmented neural based on the original neural based on augmented neural network network network network "0" 72 92 28 8 "1" 61 83 39 17 "2" 91 99 9 1 "3" 78 90 22 10 "4" 95 96 5 4 "5" 100 100 0 0 "6" 95 100 5 0 "7" 90 100 10 0 "8" 97 100 3 0 "9" 68 90 32 10

As can be seen from the table, when assessing the generalizing ability of the original neural network with 1000 test examples, 153 were recognized incorrectly. At the same time, the generalizing ability of this neural network model was 84.7%. When evaluating the generalizing ability of an augmented neural network of 1000 test cases, only 50 were recognized incorrectly. In this case, the generalizing ability of this model was 95 %. Consequently, based on the results of this experiment, we can conclude that the neural network trained on augmented data was 10.3% more accurate than the network trained on baseline data. For each of the constructed neural network models, errors of types I and II were calculated. In biometric authentication systems, an error of type I is understood as the outcome of recognition when an unregistered user tries to enter the system and his/her handwritten character is perceived by the neural network model as correct. In this case, the attacker is given full access to the resources of the computer system. A type II error occurs when the presented biometric feature of a legal user is not recognized correctly. In this case, access for the registered user will be denied. Each of the errors of types I and II was calculated when the initial and augmented neural networks were operating with test data samples. The formula for calculating a type I error is as follows:

E1 

n1 100% N

(1),

Where n1 is the number of cases when the sample of the hand-written character of an illegal user was perceived as correct, and N is the volume of the test data sample. The formula for calculating a type II error is as follows:

E2 

n2  100% N

(2),

Where n2 is the number of cases when a legal user’s sample of a hand-written character was perceived as incorrect. *Corresponding author (Anastasia Gennadevna Isaeva). E-mail: nastyaadema@mail.ru ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13C http://TUENGR.COM/V10A/10A13C.pdf DOI: 10.14456/ITJEMAST.2019.167

When testing the original neural network, as mentioned above, 153 examples were recognized incorrectly. Of these, 62 examples corresponded to the occurrence of a type I error, and the remaining 91 to the occurrence of a type II error. The numerical value of the type I error is calculated as E1  The value of the type II error E2 

62 100%  6,2%. 1000

91 100%  9,1%. 1000

When testing the augmented neural network having 50 recognition errors, 18 of them corresponded to errors of the first type, and 32 to the errors of the second type. The numerical value for the type I error: E1  The value for the type II error: E2 

18 100%  1,8%. 1000

32 100%  3,2%. 1000

The calculations made showed that the value of the type I error for the original neural network model was 6.2%, and the value of the type II error for this model was 9.1%. The corresponding type I and type II errors for the augmented neural network were 1.8% and 3.2%. Consequently, the augmentation of the neural network has reduced the number of errors of the first type by 4.4%, and the number of errors of the second type by 5.9%. We calculate the total error of the original and augmented neural network models. To do this, we use the three-block cross-validation procedure [20]. This procedure involves splitting all available data into three equal parts, two of which are used to train the neural network, and the third is to test it. The cross-validation procedure is repeated three times by using different combinations of blocks for training and testing. The result of averaging the three test error values acts as a general model error. Table 2 contains the results of a three-block cross-validation procedure and the total error determination of the original neural network model. As can be seen from Table 2, the total error of the original neural network model turned out to be 0.21. Table 2: Total error calculation results for the original neural network model Item No. Error at 1 stage Error at stage 2 Error at stage 3 Mean error 1 0.36 0.16 0.1 0.21 2 0.25 0.19 0.12 0.19 3 0.38 0.11 0.22 0.24 General model error 0.21

Table 3: Results of total error calculations for the augmented neural network model Item No. Error at 1 stage Error at stage 2 Error at stage 3 Mean error 1 0.11 0.07 0.12 0.1 2 0.13 0 0.07 0.07 3 0 0.07 0.07 0.05 General model error 0.07

Table 3 contains the result of three-block cross-validation and the determination of the total

Anastasia Gennadevna Isaeva, Alexey Sergeevich Katasev, Amir Muratovich Akhmetvaleev, Dina Vladimirovna Kataseva

augmented model error. Table 3, the total error of the augmented neural network model was 0.07. Consequently, the total error of the augmented neural network is 0.14 less than the corresponding error of the original neural network model.

4. SUMMARY According to the results of the conducted research, it can be concluded that data augmentation has high efficiency and positively affects the accuracy of neural network models in recognizing handwritten characters. In all the experiments carried out related to the testing neural network models, calculating errors of types I and II, and calculating the total error, the augmented neural network showed significantly better results than the original neural network model.

5. CONCLUSION Thus, augmentation is an effective method of enriching raw data for building neural network models that can be used as an effective tool for recognizing handwritten characters in biometric authentication systems.

6. AVAILABILITY OF DATA AND MATERIAL Used or generated data already present in this study.

7. ACKNOWLEDGEMENT The work is performed according to the Russian Government Program of Competitive Growth of Kazan Federal University. This work was supported by the Russian Federation Ministry of Education and Science, project № 8.6141.2017/8.9.

8. REFERENCES [1] Chaudhari, K., & Thakkar, A. (2019). Survey on handwriting-based personality trait identification. Expert Systems with Applications, 124: 282-308. [2] Choudhury, H., & Prasanna, S. (2019). Handwriting recognition using sinusoidal model parameters. Pattern Recognition Letters, 121: 87-96. [3] Kamimura, R. (2019). SOM-based information maximization to improve and interpret multi-layered neural networks: From information reduction to information augmentation approach to create new information. Expert Systems with Applications, 125: 397-411. [4] Shao, S., Wang, P., & Yan, R. (2019). Generative adversarial networks for data augmentation in machine fault diagnosis. Computers in Industry, 106: 85-93. [5] Revathi, A., Jeyalakshmi, C., & Thenmozhi, K. (2019). Person authentication using speech as a biometric against playback attacks. Multimedia Tools and Applications, 78(2): 1569-1582. [6] Liu, Q., Li, H., Zhang, Y., & Zhao, Z. (2019). Pattern recognition of messily grown nanowire morphologies applying multi-layer connected self-organized feature maps. Journal of Materials Science and Technology, 35(5): 946-956. [7] Wang, T., Shu, K.-C., Chang, C.-H., & Chen, Y.-F. (2018). On the Effect of Data Imbalance for Multi-Label Pedestrian Attribute Recognition. Proceedings - 2018 Conference on Technologies and Applications of Artificial Intelligence, TAAI: 74-77.

*Corresponding author (Anastasia Gennadevna Isaeva). E-mail: nastyaadema@mail.ru ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13C http://TUENGR.COM/V10A/10A13C.pdf DOI: 10.14456/ITJEMAST.2019.167

[8] Katasev, A.S., Kataseva, D.V., & Emaletdinova, L.Yu. (2016). Neuro-fuzzy model of complex objects approximation with discrete output. Proceedings of 2nd International Conference on Industrial Engineering, Applications and Manufacturing, ICIEAM. [9] Katasev, A.S., & Kataseva, D.V. (2016). Neural network diagnosis of anomalous network activity in telecommunication systems. Proceedings of IEEE Conference Dynamics of Systems, Mechanisms, and Machines, Dynamics. [10] Ismagilov, I.I., Khasanova, S.F., Katasev, A.S., & Kataseva, D.V. (2018). Neural network method of dynamic biometrics for detecting the substitution of computer. Journal of Advanced Research in Dynamical and Control Systems, 10(10): 1723-1728. [11] Anikin, I.V., Makhmutova, A.Z., & Gadelshin, O.E. (2016). Symmetric encryption with key distribution based on neural networks. Proceedings of 2nd International Conference on Industrial Engineering, Applications and Manufacturing, ICIEAM. [12] Emaletdinova, L.Y., Matveev, I.V., & Kabirova, A.N. (2017). Method of designing a neural controller for the automatic lateral control of unmanned aerial vehicles. Russian Aeronautics, 60(3): 365-373. [13] Wang, Y., Tang, Y.Y., Li, L., & Zheng, X. (2019). Block sparse representation for pattern classification: Theory, extensions, and applications. Pattern Recognition, 88: 198-209.

Anastasia Gennadevna Isaeva is a Junior Researcher, Kazan Federal University. She is affiliated with the research laboratory "Microwave Design and Radio Telecommunications" where she engages in the creation of an automated complex for end-to-end 3D design of microwave and high-frequency systems and the construction of measuring systems for high-frequency ranges. Dr.Alexey Sergeevich Katasev is an Associate Professor of Information Security Systems Department of the Tupolev Kazan National Research Technical University named after A.N. Tupolev (KNITU-KAI). He is a Candidate of Technical Sciences. He graduated from the Physics and Mathematics Department of the Elabuga State Pedagogical Institute. Amir Muratovich Akhmetvaleev is a Post-graduate student of Information Security Systems Department, Kazan National Research Technical University named after A.Tupolev (Kazan, Russia). He has a degree in Computer Science and Computer Engineering from Kazan National Research Technical University A.N. Tupoleva-KAI. Dina Vladimirovna Kataseva is a Senior Lecturer at Department of Information Security Systems, Kazan National Research Technical University named after A.N. Tupolev. She is a graduate student at the same institute. She graduated in Accounting, Analysis, and Audit from Kazan State Institute of Finance and Economics. She also has studied in Informatics and Computer Engineering at Kazan National Research Technical University. A.N. Tupolev-KAI.

Anastasia Gennadevna Isaeva, Alexey Sergeevich Katasev, Amir Muratovich Akhmetvaleev, Dina Vladimirovna Kataseva

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 10A13D

COLONIAL INFLUENCE ON INDIAN MUSLIM RELIGIOUS MONUMENTS IN PENANG a*

Ahmad Sanusi Hassan , Asif Ali a b

a,b

School of Housing, Building and Planning, Universiti Sains Malaysia (USM), Penang, MALAYSIA Architecture Section (University Polytechnic), Aligarh Muslim University, INDIA

ARTICLEINFO

A B S T RA C T

Article history: Received 06 April 2019 Received in revised form 19 June 2019 Accepted 28 June 2019 Available online 10 July 2019

This paper discusses a level of influence of colonial style to Indian Muslim monuments built in George Town, Penang during colonial time. George Town was the earliest British settlements in Malaysia as well as in South East Asia. From 1786 to 1957, this town functioned as a port city of British East India Company. A colonial era had Keywords: influenced the architectural style of the buildings built in George Town. Colonial architectural This study focusses analysis of the architectural style and its impact to style; Indian Muslim the Indian Muslim monuments. Indian Muslims were the first traders monuments; George who migrated to Penang as well as Indian Hindus under the British Town; Penang; administration. This study applied qualitative research method to the Neo-classical elements. architectural style by referring to classical colonial elements. Three most popular Indian Muslim buildings namely Kapitan Keling Mosque, Madrasah Hamidi Arabi and Nagore Durgha Sheriff Shrine were selected as the case studies for the analysis. The result shows that arcade, corbel, cornice, parapet wall, pedestal, architrave, and round arch are among favourite neoclassical motifs integrated into the building design of the Indian Muslim monuments. This study concludes that apart from the British administrative buildings, Indian Muslim buildings have a reflection to the colonial architectural style. © 2019 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION This study investigates neo-classical influence to Indian Muslim architecture in Penang. Indian Muslim architecture today is one of the architectural styles existed across towns and cities in Malaysia. The British had introduced monuments with this architectural style to the Indian Muslim traders who migrated to Malaya during colonial time. The unique about this architectural style is that it has not only Indian Muslim architectural style but also the integration of neoclassical and Malay traditional style embedded in the building design. It is the objective to identify the level of influence of neoclassical style to Indian Muslim monuments. This study selected three most popular Indian Muslim monuments in George Town, Penang. The reason for the selection is George Town is the *Corresponding author (A.Sanusi Hassan). E-mail: sanusi.usm@gmail.com ©2019 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13D http://TUENGR.COM/V10A/10A13D.pdf DOI: 10.14456/ITJEMAST.2019.168

oldest British settlement in Malaysia as well as in South East Asia. Location of Penang State is on the north-west coast of Malaysia along the Strait of Malacca. One part of the state is on the mainland called Seberang Perai also known as Province Wellesley during the colonial time. The other part is Penang island where is the location of its capital of the state, George Town. George Town was the first British settlement in Southeast Asia (Hassan, 2009a) opened by Captain Sir Francis Lights, the town named after King George III. George Town became the British port city in 1786 due to its strategic location of the harbour to dominate South East Asian trade rivalling the Dutch trade. Except from 1942 to 1945, Malaya was subjugated by Japan during World War II, and in August 1957, Malaya gained independence from the British. During British colonial period, the architecture of Malaya has undergone a transformation with an influence of neoclassical style, with a construction of colonial building and monuments. The introduction of neoclassical style first happened in George Town, Penang. The neoclassical style also had influenced to buildings design by the expatriates who settled in George Town participating in trades (Hassan, 2009b). Apart from public buildings and shop houses, there are several buildings of different religions built by the expatriates namely Indian Muslim, Indian Hindus and Chinese traders. Their proximity is a symbol of multicultural identity in a multiracial urban settlement through the formation of architectural heritage in George Town (Bindloss and Brash, 2014). The presence of these buildings with different ethnic backgrounds in proximity depicts the tolerance and coexistence of diverse communities and people, and freedom to perform their daily rituals. Variation of the existence of various religious buildings implies that Christianity was not the only religion during the colonial period in Penang which was introduced by British. This study focusses on architecture built by Indian Muslim community in George Town. They were the earliest expatriates besides Indian Hindus in George Town working as traders and labourers (Mujani, 2012). Free trade policy of the British administration and the decline of Malacca as a port city had attracted Indian Muslims replacing their spice trade to Penang. Both Indian Muslim and Hindu settlements were in an area today called Little India, an area allocated for the Hindu and Muslim Indian community by the British. Hindu settlement is around Queen, Church and King Street and most of them are South Indians (Mohamed & Mustafa, 2005). Indian Muslim community settled in the southern part of Little India at Chulia, Armenian and Acheh Street and for the locals, they nickname the area as Little Madras. They were Indians from Chulia or Keling ethnic background from Madras region in India. There was a leader appointed by the British known as Kapitan. The Indian Muslims had built mosques, madrasahs and shrines in this area. Besides Indian Muslim and Malay architectural style, the buildings and monuments built during this era had adornments of neoclassical style derived from Greek and Roman temple architecture from Europe. These adornments are noticeable, visually detected once looking to the building facades. Neoclassical architecture had once become the favourite style during the colonial time depicting the trading community with capitalist concept introduced by the British (Ho, Hassan & Noordin, 2005).

2. CASE STUDIES This study selects three monuments namely Kapitan Keling Mosque, Madrasah Hamidi Arabi and Nagore Durgha Sheriff Shrine for the case studies. Their architectural style has an influence on

Ahmad Sanusi Hassan, Asif Ali

the Mughal architecture of North India. All the buildings despite having many Mughal Islamic architectural features have adornments with neoclassical style. The selection of these three historic religious buildings and monuments is due to one of each primary genre of Muslim buildings, which is a mosque, a madrasah and a shrine in George Town. The architectural backgrounds of these three selected buildings are as follows:

2.1 KAPITAN KELING MOSQUE Location of this mosque is at Masjid Kapitan Keling Street. Penang Islamic Religious Council currently is the custodian of this mosque. This mosque was built by Indian Muslim expatriates, those who came as traders to Penang during the British period. This community settled in Malaysia for generations and chose this country as their homeland. The mosque caters all the ethnic groups including Malays living in the vicinity for their daily prayers. The expenditure in the construction of this mosque was donated by the leader (Kapitan) of migrated Indian Muslim community (Mousa, 2014). The structure was first built in 1802, but with the passage of time, it had gone through several renovations. Later additions include onion shaped domes, arches and turrets, the features from North Indian Mughal architecture (Figure 1) with the central dome raised to its double height. After 1930’s no significant changes took place in the existing design and the form of the mosque. Minor renovations like a painting of copper sheathed dome to preserve it from oxidising happened recently. The original structure was a rectangular building with the pitched roof raised on columns. Furthermore, Khoo Su Nin (1994) notes; "The original mosque was a single storey building with minarets at each corner, with an outer colonnade and a low scalloped wall and granite are similar that found in the Acheh Street Mosque. It was enlarged at the turn of the century into a grand and elaborate structure with minarets, turrets and domes. In 1916, its first major renovation carried out with an extension of the mosque, the addition of the Mughal domes and turrets, a large minaret for the muezzin and a ‘madrasah’ (school) for religious classes. The present form was achieved after yet another extension and re-roofing exercise, probably in 1930's. The wall around the mosque was built at the same time. Minarets and alcove of the original mosque can still be seen at the back of the present mosque. The first extensions survive as an ornate inner wall on the outer aisle." The design of the mosque is an amalgamation of Mughal, classical colonial and indigenous architecture of Malay world reflected by its dominant onion shaped dome with a pitched roof (Figure 2). The columns have stucco motifs at its base and capital are the influences of neoclassical style. The mosque had gone through several severe transformations since its construction. In the late nineteenth century, prayer hall had a spatial enlargement, extended in all three directions except the Qibla side. Later in 1916, the minaret was designed by the British architect, Neubronner at the entrance of the mosque (Ahmad, 1999). Other British architects Stark and McNeil were responsible for creating the boundary walls all around the mosque. The border wall in brick has two feet height, and a fencing of Moorish motives in cast iron was fabricated above it. On the eastern side, this peripheral wall has punctures with a gateway in cast iron hinged to Moorish decorated columns. Khazaee, Yaacob, Alcheikh and Awad (2015) suggest that the building structure depicts the Mughal influences.

Figure 1: Kapitan Keling Mosque

Figure 2: Pitched roof at Kapitan Keling Mosque

Figure 3: Arches at Kapitan Keling Mosque In 1929 a severe modification in the interior was done by a British architect C. Bouther, who created a double height dome’s space by demolishing the interior of the building (Hassan, 2012) and replaced with a series of octagonal cylinder arches to support the existing dome (Figure 3). The construction necessitated removing the two existing minarets at the east of the main building for constructing the new entrance. The Mughal architectural style is reflected in the design of gateway wall (pishtaq) with turrets at their both sides which is much of the visual integrity of onion domes. The secondary domes of the main building at the west remain preserved. The onion shaped domes, pointed multifoil arches, and chattries are the peculiar characteristics of Mughal architecture. The mosque also has adornments with the neoclassical architectural elements of the colonial style, and it is a blend of both colonial and Mughal style.

2.2 MADRASAH HAMIDI ARABI Madrasah Hamidi Arabi (Figure 4) was constructed at the end of the nineteenth century and is currently administered by Penang Islamic Religious Council. Located at Ah Quee Street, this madrasah is a two-storey building with neoclassical features. On the ground floor, its facade has adornments with three semicircular arches with a keystone raised on pilasters. These pilasters end to the first floor topped with a post and lintel construction filled with iron framed windows. Three bayed narrow colonnades on the ground floor are now enclosed by the grill and included to the internal space by using retractable iron frames. Ornamentation over the wall pilasters is in relief stucco work of floral patterns. On the first floor, a balcony is projected and connected to the ground floor through an external wooden staircase at the one side of the building. Ornament of balustrades is above parapet

Ahmad Sanusi Hassan, Asif Ali

wall and pilasters on the both surfaces marking the bays. The window shutters on the first floor are the double leaf wooden panelled type. The upper panels have louvres for cross ventilation while the lower panels are of solid wood (Hassan and Che Yahaya, 2012).

Figure 4: Madrasah Hamidi Arabi

Figure 5: Nagore Durgha Sheriff Shrine

2.3 NAGORE DURGHA SHERIFF SHRINE In the early nineteenth century, a shrine of a saint Syed Shahul Hamid was built at the junction of King Street and Chulia Street popularly known as Nagore Durgha Sheriff Shrine. The main entrance to this single storeyed shrine is at Chulia Street (Figure 5). Penang Islamic Religious Council is the custodian of this waqf. The plan has a rectangle shape, and each corner has motifs with small tapered minaret topped with a burji. Four centred arches are at the front of the building spanning a portico which leads to the central prayer hall. The central arch is large in comparison to the other arches and is flanked by two small finials above the terrace to emphasise it. At the King Street an additional small structure namely a portico is presently used as shops. All the columns create portico surmounted by small tapered minarets and a parapet filled with lattice screen in between. Two onion shaped domes surmounted by invert lotus and Indian Kalasa are above the roof with a large kiosk.

3. RESEARCH METHOD This study investigated in detail identifying the neoclassical elements through the visual analysis of the facades. To achieve the objective, it had applied a qualitative survey through case studies to evaluate the fusion of colonial elements in the Muslim monuments’ design. There were two approaches used in the survey as follows:

3.1 LITERATURE REVIEWS There were three books referred in this survey. The first book A History of Architecture by Bannister Fletcher (1996) provided information on the classical architecture of the Greek and Roman Architecture and Neoclassical Architecture and its motifs especially from measured drawings of the building facades, which image the architectural style. All the motifs of neoclassical elements were listed in a table for comparative analysis with the motifs described in a book titled Heritage Architecture in George Town, Penang authored by Ahmad Sanusi Hassan and Shaiful Rizal Che Yahaya (2012). This book won National Book Award 2012. The definition of each motif was counterchecked with a definition in Dictionary of Architecture authored by John, Fleming, Hugh Honour and Nikolaus Pevner (1980). The description of the ornaments is as in Table 1. *Corresponding author (A.Sanusi Hassan). E-mail: sanusi.usm@gmail.com ©2019 International Transaction Journal of

Table 1: Architectural motifs of neo-classical architecture in George Town, Penang Source: Hassan and Che Yahaya (2012) Architectural Motifs Arcade Architrave Balcony/Veranda Balustrade Classical Column Colonnade Corbel Cornice Cupola Dentil Fan-like window Keystone Parapet Wall Pedestal Pediment Pilaster

Porte-cochere/ Portico

Quoins Round Arch Shuttered Window Tympanum

Definition A sequence of arches structures emerging as a covered walkway A lintel or beam sitting atop capitals of the columns A projected floor several feet over the building wall creating a shade beneath it and open door system for natural indoor air movement A moulded lathe-built form made out of stone, wood or metal, incorporated on the footing of parapet wall or integrated as the handrail of a staircase A column with a round or a square base crowned with Doric, Ionic or Corinthian capital A set of reiterated columns joined by an entablature or a beam, in a free-standing manner or directly integrated into a building An exterior projection element of the building wall supporting a structure above it An arrangement of ornate mouldings fixed to a wall, arch, etc. A minimal size dome structure on top of a building or adorned with a crown topping a larger dome A pack of rectangular blocks resembling teeth embellished under the soffit of a cornice. An upper semi-circular or semi-elliptical window often fixed with sash bars resembling a set of fan ribs mostly secured on top of a door or another window. A wedge-shaped stone cast slit into the crest of a masonry vault or arch A low-projected wall runs vertically along the edge of the building/house particularly in the classical and modern architecture to replace the overhang roof system. There is a roof gutter design behind the parapet wall. A base of a column constructed slightly bigger than the diameter of its respective column and rose several feets above the ground. The initial design is a triangular wall section fixed above the entablature supported by columns. The design gradually evolved into different shapes most notably semi-circular and rectangular section during the neo-classical period. A slightly-protruded column built as an integral part of a wall manifesting a rendition of a supporting column. A sheltered porch or portico primarily utilised to drop passengers from vehicles or horse carriages (in colonial times) provide protection from weather found either on the primary or secondary entrance. It often integrates with open veranda/ balcony on its top. A set of masonry blocks arranged vertically at the corner of a wall symbolising permanence and strength, and reinforcing the immediate impression of structural presence. A curve shape masonry construction used to span an opening alongside to support the mass on top of it. A window with angled horizontal slats to permit indirect sunlight and natural air ventilation, restricting rain and direct sunshine A decorative semi-circular or triangular wall surface right on top of an entrance encapsulated by a lintel or arch

3.2 VISUAL SURVEY All the case studies had undergone visual survey for the analysis of their facades. During the study, field work visits were conducted several times to the case studies. The researchers were very familiar with the characters of the monuments with more than ten years teaching experience in colonial and Mughal architecture. The field work allowed the researchers to do the assessment in detail in comparison to neoclassical elements. The result of the analysis was tabled with the marking evaluation of the integration of neoclassical motifs embedded in building facades of the case studies. This result will provide relevant data to the researchers in preparing research findings and conclusion with the level of influence of neoclassical architectural style in Indian Muslim monuments in George Town, Penang.

Ahmad Sanusi Hassan, Asif Ali

4. RESULT OF ANALYSIS AND DISCUSSION Table 2 shows the influence of colonial style to the Indian Muslim monuments in George Town, Penang. Madrasah Hamidi Arabi has the highest number of neoclassical motifs in the façade design 62% followed by Kapitan Keling Mosque and Nagore Durgha Sheriff Shrine both with 48%. Both Kapitan Keling Mosque and Nagore Durgha Sheriff Shrine have Mughal architecture as the design concept, amalgamation with neoclassical architecture, which created a new style in India known as Indo-Saracenic style. Neoclassical adornments only play secondary parts in the expression of the building envelopes. Madrasah Hamidi Arabi does not apply Mughal architecture as the design concept. It has a building form interpreted from neoclassical building design. Pilasters, cornices, shuttered windows and round arch with keystone, creating an arcade which makes this madrasah distinguishable from the other two case studies. All monuments have adornments with arcade, architrave, classical column, corbel, cornice, parapet wall, pedestal, and pilaster in the design. Compared to ornaments in the British administration buildings, there are no copula, dentil, fan-like window, pediment, quoins, and tympanum motif used in the design of these Indian Muslim monuments. Table 2: Details of neoclassical influence on architectural style of the selected case studies Architectural Elements Arcade Architrave Balcony/Veranda Balustrade Classical Column Colonnade Corbel Cornice Cupola Dentil Fan-like window Keystone Parapet Wall Pedestal Pediment Pilaster Porte-cochere/ Portico Quoins Round Arch Shuttered Window Tympanum

Kapitan Keling Mosque × ×

Madrasah Hamidi Arabi × ×

× ×

× × ×

× ×

× × × ×

× ×

× × ×

× ×

Nagore Durga Sheriff Shrine × ×

This study finds that these buildings despite designed for Indian Muslim monuments significantly fuse with neoclassical features. Madrasah Hamidi Arabi has a principal character harmonious to neoclassical architecture style visually while other two buildings, Kapitan Keling Mosque and Nagore Durgha Sheriff Shrine have an architectural style amalgamation of Mughal architecture integrated with neoclassical style. In the case studies, neoclassical elements like arcade, classical columns, balustrade, cornice, pilaster, pedestal, parapet wall, and architrave with round arches are the dominant motifs, peculiar characteristics of British colonial architecture. While other features like a decorative pointed arch, turret, chattri, onion shaped dome with inverted Buddhist lotus and Hindu Kalasa finial are from Mughal architecture. During the colonial era, applying neoclassical *Corresponding author (A.Sanusi Hassan). E-mail: sanusi.usm@gmail.com ©2019 International Transaction Journal of

motifs in the building design were popular among master builders and architects because the elements portrayed status symbol among the trading community. This status symbol frequently conveyed the success, wealth, and prestige of the owner in their community (Hassan & Che Yahaya, 2012; Hassan, 2017).

5. CONCLUSION Even though George Town had undergone several transformations throughout the ages, its inner city today can preserve Indian Muslim monuments with neoclassical architectural style. George Town at one time became an epicentre of the colonial port city; its architecture had influenced significantly by the buildings built by the Indian Muslims. This influence was not remained only to the British administration buildings but also to the Muslim religious monuments. Neoclassical architectural style regarded by the trading community at that time as a symbol of status to the building owners in their community (Hassan and Che Yahaya, 2012). The visual analysis shows that they have the extraordinary influence of colonial features. The result indicates that arcade, corbel, cornice, parapet wall, pedestal, architrave and round arch are among the neoclassical elements integrated into the building design of the Indian Muslim monuments. This study concludes that apart from the British administrative buildings, Indian Muslim buildings had a reflection to the colonial architectural style.

6. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

7. ACKNOWLEDGEMENT We would like to thank financial support under Fundamental Research Grant Scheme from Ministry of Higher Education Malaysia and Universiti Sains Malaysia.

8. REFERENCES Ahmad, A. G. (1999). The Architectural Styles Of Mosques in Malaysia: From Vernacular to Modern Structures. In Symposium on Mosque Architecture: The Historic and Urban Developments of Mosque Architecture, Riyadh. 147–163. Bindloss, J. & Brash, C. (2014). Kuala Lumpur, Melaka and Penang. 3rd Ed., Beijing: Lonely Planet. Fletcher, B. (1996). A History of Architecture. Cruickshank, D. (Ed.), 20th Ed. Oxford: Architectural Press. Fleming, J., Honour, H., & Pevner, N. (1980). Dictionary of Architecture. Middlesex: Penguin Books. Hassan, A. S. (2009a). Colonial Houses in Peninsular Malaysia. Contextual Issues of the Built Environment in Malaysia. Hassan, A. S. (Ed.), Penang: USM Press. Hassan, A. S. (2009b). The British colonial 'divide and rule' concept : Its influence to transport access in inner city of George Town. Transportation. 36, 309–324. http://doi.org/10.1007/s11116-009-9193-0 Hassan, A. S. & Che Yahaya, S. R. (2012). Architecture and Heritage Buildings in George Town, Penang. Penang: USM Press.

Ahmad Sanusi Hassan, Asif Ali

Hassan, A. S. (2017). Amalan Tebusguna Tanah, Reka Bentuk Bandar dan Seni Bina di Malaysia (Land Reclamation, Urban Design and Architecture in Malaysia). Penang: USM Press. Ho, K. C., Hassan, A. S. & Noordin, N. (2005). An Influence of Colonial Architecture to Building Styles and Motives in Colonial Cities in Malaysia. Proceedings of Conference on Asian Planning School Association APSA 10-14th Sept 2005. Penang: Universiti Sains Malaysia. Khazaee, M., Yaacob, N., Alcheikh, Z., & Awad, M. (2015). Mughal or Moorish Architecture : The Origins of Malaysian Mosques During Colonial Periods. Social Science and Humanities. 23(3), 639–654. Khoo, S. N. (1994). Streets of George Town, Penang: An Illustrated Guide to Penang’s City Streets and Historic Attractions. Janas Print & Resources. Mohamed, B. & Mustafa, R. A. (2005). Heritage tourism in a multicultural society: the case of Malaysia. In K. Chon (Ed.), 3rd Global Summit on Peace through Tourism – Education Forum, Pattaya. 141–147. Mousa, W. A. Y. (2014). Modern Mosques in Malaysia Between Regionalism and Eclecticism. P Penang: USM Press. Mujani, W. K. (2012). The History of the Indian Muslim Community in Malaysia. Advances in Natural and Applied Sciences. 6(8), 1348–1353 . Professor Dr.Ahmad Sanusi Hassan is a Professor in Architecture Programme at the School of Housing, Building and Planning, Universiti Sains Malaysia (USM), Penang, Malaysia. He obtained a Bachelor and Master of Architecture degrees from University of Houston, Texas, USA, and Doctor of Philosophy (PhD) degree focusing on sustainable architecture and urban design development for Southeast Asia from University of Nottingham, United Kingdom. At the university, he is lecturing in courses related to urban design, studio architecture and history and theory of architecture. He is also teaching architecture courses in Computer Aided Design (CAD) and computer animation. Asif Ali is an Assistant Professor of Architecture at the University Polytechnic of Aligarh Muslim University,India. He received his B.Arch. from Aligarh Muslim University with Honors in 1998. He did his M. Arch.from Aayojan School of Architecture, Jaipur, India. Presently he is pursuing his PhD at School of Housing, Building and Planning, University of Science, Malaysia. Asif Ali's current interests include Sustainable Development and Islamic Architecture in India.

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 10A13E

RURAL AND REMOTE BROADBAND DEVELOPMENT IN THAILAND: ENABLED BY LAST-MILE INFRASTRUCTURES AND SERVICES Chaiwat Oottamakorn a b

, Piya Techateerawat , and Parinya Thetbanthad

College of Innovation, Thammasat University, THAILAND Department of Electrical and Computer Engineering, Thammasat School of Engineering, Thammasat University, THAILAND ARTICLEINFO

A B S T RA C T

Article history: Received 10 June 2019 Received in revised form 31 July 2019 Accepted 06 August 2019 Available online 09 August 2019

Currently digital economy is one of the main national policy of the Thai government to fundamentally and extensively reform Thailand in all social and economic perspectives where the ICTs and digital technologies are comprehensively leveraged to drive the country forward. However, a big digital gap exists between urban and rural/remote areas. This paper illustrates new tailored last-mile technologies, which are suitable to the areas. The main goals of this development and implementation are to 1) provide high-speed broadband internet services and mobile services in the areas, 2) extend infrastructures and services to the areas so that remote people will be provided equal access to digital technology and information, 3) create the so-called digital economy and society in the areas, and 4) leverage digital technologies and services for the areas. The paper focuses on the area issues and requirements related to broadband accesses and presents an implementation solution which is efficient and economical for the areas. It also discusses related implications.

Keywords: Digital economy; Broadband implementation and services; Mobile implementation and services; Rural and Remote Areas in Thailand; Digital device.

1. INTRODUCTION Technologies and Innovations are transforming on how to live, to communicate and to do businesses. The growth of information and communications technologies (ICTs) including social network, the Internet of Things (IoT) (Vijayasaro and Niveathasaro, 2019), cloud computing, mobile applications, and big data computations have driven a key role in people behaviors and how they develop their businesses. Therefore, governments worldwide especially developing countries as Thailand are assessing and implementing a digital strategy and policy. It is proposed to support and enhance their public services and administrations with the power of ICTs for citizens to employ digital services more availably, effectively and efficiently. Once this strategy and policy is fully implemented, a stage will be set for more integrated e-Government and ICT applications such as e-Commerce, e-Education, e-Health, *Corresponding author (C.Oottamakorn). Tel:+66-646395414 E-mail: ochaiwat@gmail.com ©2019 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13E http://TUENGR.COM/V10A/10A13E.pdf DOI: 10.14456/ITJEMAST.2019.169

e-Environment, etc. Besides, ICTs are recognized as an effective tool to enhance economics and financial opportunities for the people in the areas by encouraging them to do businesses with sufficient knowledge to take advantage of these technologies (LaRose et al., 2006). With the economic aspects and social impact of broadband, there have been growing concerns of the role and potential effect of broadband in rural/remote areas (Preston, 2001). However, rural/remote areas in developing countries are characterized as the recognized ICT-Deficit such as inadequate infrastructure issues, non-availability of reliable power supply, non-affordability of Broadband access (Foros & Kind, 2003), lack of awareness and digital capability, and lack of implementable operator justification (GAO, 2006; Schmandt et al., 1991; Venkatachalam & McDowell, 2002). As a result, there will be lack of broadband penetration in these types of areas, thus creating a big digital divide within countries in terms of accesses to and usages of ICTs between urban and rural/remote areas, where broadband adoption in terms of income, education, and age can be analyzed to obtain insightful information on what is the limitation in the areas and on how to implement an innovation to close this constraint (Rogers, 2003).

Figure 1: Number of fixed broadband subscriptions per 100 inhabitants in Thailand (World Telecommunication/ICT Development Report and database, 2017). Digital economy currently is the main national policy of the Thai government, called “Thailand 4.0”, to fundamentally and extensively reform Thailand in all social and economic perspectives where the ICTs and digital technologies are comprehensively leveraged to drive the country forward. One of the main goals is to reduce the inequality by allowing people to equal access to the ICTs and digital technology so that their income, education, and healthcare can be more prolific. This will reduce the digital divide gap (Grubesic, 2003; Grubesic & Murray, 2002, 2004) and ensure that millions of rural/remote people can access information and services thru suitable last-mile communication technologies and then exploit the maximized benefits of advanced digital technology as noted in the plan, “All Thais will have access to broadband internet, as a basic utility. Quality of life will be improved through inclusive access to information and essential public services”. While the accelerating growth of technologies continues, with this implementation rural/remote people can gain access to these services and be able to drive their own innovation development and education. By developing of last-mile technologies in these underserved areas, the government can close the digital divide and create economic impacts on several aspects where jobs and acts are created as the result to productivity gains and creation of new businesses (LaRose et al., 2006). Many studies showed that the impact of broadband penetration contributes aggregately on the Gross Domestic Product (GDP) growth with a larger and more skilled labor force and increased working capability (Crandall et al., 2007; Katz et al., 2010). As this effect can

Chaiwat Oottamakorn, Piya Techateerawat, and Parinya Thetbanthad

be seen more significant and higher in developing countries than developed country (Crandall et al., 2007; Katz et al., 2010; Czernich et al., 2009; Ford & Koutsky, 2005). Therefore, the broadband penetration is a key factor, which is often used as a benchmark as a reference of national economy and society conditions. Figure 1 shows Thailand’s broadband penetration from 2003 to 2016. In addition, Figure 2 shows that today Broadband is considered as a central element of a new ecosystem. People can exploit high-speed broadband internet accesses and services to organize their local businesses and enhance the productivity According to the Thailand Digital economy plan, two of the main assigned Thai government agencies, Office of the National Broadcasting and Telecommunications Commission (NBTC) and Ministry of Digital Economy and Society (MDES), have set the national targets for last-mile extension and implementation by dividing Thailand into four economic zones as shown in Figure 3. In this paper, we will use the definition in Figure 3 as the reference on how rural and remote areas are determined.

Figure 2: Analogy with MASLOW’s Pyramid: Role of Broadband for basic Human. within 3 kilometers (1.86 miles) - radius

15 kilometers (9.32 miles) further

A government broadband node

15 kilometers (9.32 miles) further

Zone A and B

Zone C

Zone C+

Urban and Semi-Urban

Rural

Remote

30,635 villages

40,432 villages

3,920 villages

Figure 3: Thailand's four economic zones. In this paper, we focus on the case study of providing last-mile technologies for 15,732 rural villages (Zone C) and 3,920 remote villages (Zone C+) implemented by NBTC. This paper illustrates new tailored last-mile technologies which are suitable to these types of areas. The technologies are aimed to be the base on which to construct a regional system for distribution of broadband accesses at 15,732 rural villages and broadband/mobile accesses at 3,920 remote sites locating around the country as shown in Figure 4. It is noted that MDES is responsible for the broadband implementation of remaining rural villages (24,700 rural villages). *Corresponding author (C.Oottamakorn). Tel:+66-646395414 E-mail: ochaiwat@gmail.com ©2019 International Transaction

Zone C Zone C+ Figure 4: targeted rural (Zone C) and remote (Zone C+) villages around the country.

2. CASE STUDY WITH CHALLENGES TO SUSTAINABILITY IN REMOTE AREA The case study presented in this paper is the last-mile implementation for the 3,920 remote villages in Thailand by NBTC. The objectives of this development and implementation are to 1) provide highspeed broadband internet services and mobile services in the areas, 2) extend infrastructures and services to the areas so that remote people will be provided equal access to digital technology and information, 3) create the so-called digital economy and society in the areas, and 4) leverage digital technologies and services for the areas. The 3,920 implemented remote villages are located in all remote areas in Thailand as shown in Figure 4. Most of them are in the north of Thailand, a mountainous area with parallel high mountains with steep river valleys and high-hill areas that surround the central plain. While the 15,732 rural villages are more distributed nationwide and most of them are easier to access compared to the remote area. However, there are approximately 20-30% of the areas have the same constraints as the remote. Table 1: Descriptive Information of the rural and remote villages (Archived from our survey information). Area: Zone C North South Central and East North-East Total Area: Zone C+ North South Central and East North-East Total

Targeted villages 4,140 2,052 3,367 6,173 15,732 Targeted villages 2,027 459 349 1,085 3,920

Approximate population 2,460,432 1,713,722 2,202,084 3,823,091 10,199,329 Approximate population 868,041 239,526 182,122 534,209 1,823,898

Average population per village 594 835 654 619 648 Average population per village 428 522 522 492 465

no. of Teachers 19,716 14,288 18,489 29,559 82,052 no. of Teachers 11,351 2,757 1,755 5,120 20,983

no. of Students 241,340 182,610 239,028 392,074 1,055,052 no. of Students 148,760 33,919 27,237 66,473 276,389

The last-mile technology is designed to meet the requirements and constraints of the areas so that it

Chaiwat Oottamakorn, Piya Techateerawat, and Parinya Thetbanthad

can provide both high-speed broadband internet services and mobile services efficiently and economically in the areas. Therefore, there are vital challenge to be considered in determining an implementable and practicable technology solution for this remote area scenario. Some various challenges for the sustainability for remote broadband services are discussed as follows:

2.1 FUNDAMENTAL CONSTRAINTS 2.1.1 LOCATION ISSUE For the remote villages, most of the villages are on the mountains or surrounded by the mountains. From Table 1, there are approximately the total of 1,823,898 populations with the average of 465 people per village. Household locations are scattered and unevenly. Some of them can be found as a group of average 20-30 Households. While for the rural area, from Table 1, there are approximately the total of 10,199,329 populations with the average of 648 people per village. In summary, the remote villages are the areas with very low density, while the rural villages are the areas with sparse residential density as shown in Figures 5 and 6, respectively. In the last-mile implementation for both types of areas, descriptive rural/remote locations can make relatively higher total cost of ownership in terms of transportation and maintenance including labor and construction cost even through prices for hardware and software are dropping.

Figure 5: A targeted remote village in the north of Thailand. (Courtesy of Google Map) 2.1.2 AFFORDABILITY Affordability of broadband accesses by end-users is another crucial factor which directly impacts the growth of broadband services and also is the key restriction for remote households to go online (Foros & Kind, 2003). For private network providers, the return of investment (ROI) from this service for remote households is very low (about 3-6% of per capita income). In these remote areas, household income is 5,659 Thai baht a month on average (about 161USD) with the maximum and minimum of 37,567 and 657 Thai baht a month (1,073USD and 18USD) respectively (CDD; GSIC). Household income is greater by merely 5-10% in the rural areas so that there is no much difference among the areas *Corresponding author (C.Oottamakorn). Tel:+66-646395414 E-mail: ochaiwat@gmail.com ©2019 International Transaction

in terms of affordability. In the result, the price of a broadband access plays a vital role in driving the success of broadband penetration (Bell et al., 2004; DeLong et al., 2002). Also, it is a vital barrier for remote people to gain access to the Internet in developing countries such as Thailand. Even though broadband accesses are more affordable as prices have been dropping over the last few years, it remains unaffordable for the remote people with their limited incomes.

Figure 6: A targeted rural village in the north of Thailand. (Courtesy of Google Map). 2.1.3 LACK OF AWARENESS AND DIGITAL CAPABILITY There are limited knowledge and resources for the remote population (NTIA, 2009). The implementation of broadband and mobile services alone is not adequate to make rural/remote people be able to fully utilize the benefits of the digital services. People in these areas quite lack of the required skills on how to take advantages of these technologies. They may not realize benefits with proper uses. Building awareness of the digital capability and benefits thru broadband and mobile accesses is an important initial step to create mass demands. Necessary skills are needed for remote people to successfully use Broadband. Therefore, a learning society is needed to create to provide fundamental information to them and new ways of learning, thus leading to a productivity gain by facilitating the adoption of more efficient business processes. The impacts of the technology on productivity, employment and innovation are shown in Crandall et al. (2007), Crandall et al., (2003). 2.1.4 NON-AVAILABILITY OF RELIABLE POWER SUPPLY The reliable grid power supply in Thailand has not been developed as fast as the spread of telecommunication and broadband infrastructure, especially in the remote areas. About 5-10% of the 3,920 villages do not have any electricity or do have insufficient power source. In this case, optional power supply such as solar power is considered to be a self-sustainable and capable power to broadband and mobile equipment. Nonetheless, according to our survey information, there is only 1-2% of the rural area with such power constraints.

2.2 TECHNICAL CONSTRAINTS 2.2.1 INFRASTRUCTURE ISSUES As seen, the growth of Broadband penetration in the remote areas is one of the challenges since there is insufficient infrastructure or backhaul. Implementing a broadband or mobile infrastructure in the remote area needs more specialists and higher cost of ownership for which private network operators find it unlikely to justify the investment over that long-distance network with low population density (Hollifield & Donnermeyer, 2003). Therefore, last-mile implementation should be reliable, affordable,

Chaiwat Oottamakorn, Piya Techateerawat, and Parinya Thetbanthad

scalable and financial viability. Various technologies may be suitable for last-mile broadband implementation as the backhaul in the remote areas such as Fiber (Passive Optical network: GPON), Satellite or Microwave. Each of these technologies has its benefits and drawbacks in terms of affordability, performance and total cost of ownership (TCO). As a result, no single technology solution can fit all remote area scenarios. About 60% of the 3,920 villages do not have any existing internet access (currently no available network connectivity). However, according to our survey information, there are no such obstacle for most of the rural area where internet accesses thru public and/or private network providers already exist. 2.2.2 NEED FOR IMPLEMENTABLE DIGITAL SERVICES No feasible and prolific commercial business model in the rural/remote areas is the main reason why there is the lack of Broadband penetration. People in the areas do not have sufficient knowledge to take advantage of these technologies. The traditional business model does not sustain in the rural/remote areas where population density is very low. It is necessary to find effective ways to empower and enable a sustainable model across all stakeholders in the areas (CEU, 2006). Table 2: Considered factors in the optimization problem. Factors Users Physical Social Facility Infrastructure and Communication Cost

Description Stakeholders, Gender, Age, Internet experience, Self-efficacy, Education Location, geographic limitation, Accessibility, Landmarks (School, Temple, Hospital, etc.) Usages, Activities, federal, state, and local agencies Electricity, Water, Energy Current Broadband and mobile service Implementation and Maintenance

3. TECHNOLOGY ALTERNATIVES AND IMPLEMENTATION FOR ACCESS, BACKHAUL, AND DEVICES 3.1 BROADBAND IMPLEMENTATION AND SERVICES With the mentioned technical constraints in the previous section, for broadband implementation, there are two main considerations needed to find solutions for the remote area. First, are the infrastructure issues (see Section 2.2.1). Secondly, the lack of awareness and digital capability (see Sections 2.1.3 and 2.2.2) is concerned. Since in the rural area, there already has been existing network infrastructure and access, the second solution is the only aware. In Kanungo et al., 2002, the use of geographical distribution is derived into a development plan with clustering techniques such as K-means Clustering or Self-Organizing Map (Kanungo et al., 2002; Bação et al., 2005). With these clustering approaches, we are able to divide the remote villages in several clusters in terms of infrastructure issues and the lack of knowledge. In order to achieve economic constraint, an optimal location in a cluster is determined by solving an optimization problem: Maximize utility functions U = Sum (w*f(x)), Subject to g(x) ≤ 0, h(x) = 0, (1), where x = considered factors shown in Table 2, g(x) is inequality constraints and h(x) is equality *Corresponding author (C.Oottamakorn). Tel:+66-646395414 E-mail: ochaiwat@gmail.com ©2019 International Transaction

constraints. As a result, the broadband implementation solution provides two layers of services: 1) network infrastructure (backhaul) and 2) Digital services and applications thru Wi-Fi technology and Learning center. For the remote villages, first, if applicable, the fiber (Passive Optical network: GPON) technology is exploited with an optical line termination (OLT) is installed at the optimal location in a cluster as shown in Figures 7 and 8. There are the total of 881 OLTs to support 4,760 services (Customer-premises equipment (CPE)/Optical Network Unit (ONU)) in the 1,909 remote villages (previously no any existing internet infrastructure). This technology can support high-speed internet accesses with more than 30/10 Mbps data rate (Download/Upload) per a service point (ONU). In case of geographic limitation over too long distance for the fiber technology in terms of technical and cost limitations, the broadband satellite capacity can be exploited to provide an internet backhaul for broadband services with more than 30/5 Mbps data rate (Download/Upload) per a service point (CPE) at remote sites.

Figure 7: A remote targeted village in the north of Thailand. (Courtesy of Google Map) For the remote villages, secondly, there are the total of 3,149 fixed wireless broadband services (Free Wi-Fi services) installed at schools and/or public locations which is calculated to be optimal locations to provide services in their clusters. They support more 100 concurrent users with IEEE 802.11a/b/g/n/ac and IEEE 802.11e (Wireless Multimedia) and the data rate of 1300 Mbps at 5 GHz and 450 Mbps at 2.4 GHz. The fixed wireless broadband services can provide high-speed internet connectivity with a low cost of implementation and maintenance.

New Network infrastructure (FTTx) Operator s Existing node Internet

Ex.

GPON / OLT in Outdoor Carbinet on Pole

OFC 12-core SM (ADSS)

ONU/ONT/CPE 30/10 Mbps. 1:8

Drop 2-core SM

An optimal location in a cluster

ONU/ONT/CPE 30/10 Mbps.

Remote villages in a cluster

Figure 8: GPON network infrastructure (backhaul). Besides to the fixed wireless broadband services (Free Wi-Fi services), 763 Learning centers at schools are calculated to be optimal locations to provide services in their clusters. A Learning center not

Chaiwat Oottamakorn, Piya Techateerawat, and Parinya Thetbanthad

only provide high-speed internet access but also provide enough learning tools and resources, i.e., computers, learning course, etc. Both fixed wireless technology and Learning center services will reduce limited end-user awareness and insufficient digital knowledge among most of the area of the remote population. Figure 9 shows the total solution for the Broadband implementation and services in the remote area. For the rural villages, there are only digital services implemented, i.e., fixed wireless broadband services (Free Wi-Fi services) and Learning centers at schools in order to overcome the fundamental constraints (Affordability and Lack of Awareness and Digital capability and technical constraint (Need for implementable digital services) discussed in Section 2. From (1), the optimal calculated result will be the locations of Learning centers at schools in the areas. Table 3 shows the summary of broadband implementation and services in the rural and remote areas. Table 3: Broadband implementation and services in the rural and remote areas. Infrastructure/Digital services GPON (Figure 10) Free Wi-Fi services (Figure 11) Learning centers at schools (Building) (Figure 12) Learning centers at schools (Room) (Figure 13) Free Wi-Fi services at schools (Figure 14) Free Wi-Fi services at local hospitals (Figure 14)

Rural area (Zone C) Existing network 15,723 228

Remote area (Zone C+) Passive Optical network with 881 OLTs installed 3,149 763

1,623

3,170 91

1,210 107

Fixed wireless broadband services at School

1:8

Internet

GPON OLT 8 PONs On Pole in cabinet 1:8

Power (Low Volt) Single Phase 220v

ONU/ONT/CPE 30/10 Mbps.

SLA

Switch (Manage) 8 port fast and 2 Gig

Access Point Outdoor 2 ea. External Antenna

Drop OFC 2 core

Learning center at School ONU/ONT/CPE 30/10 Mbps.

Learning Resources

SLA

Firewall Log

Switch (Manage) 48 port fast

All in one Computer 12 ea. Access Point Outdoor 2 ea. Indoor 2 ea. Speaker

Microphone

Headphone

Anti Virus

OS window

Access Point Controller

Smart TV LED > 55' Laser Printer All in one

UPS >6K

Battery Pack

CCTV 1 Set

5 Cameras

Figure 9: Total solution for the Broadband implementation and services.

Figure 10: Infrastructure: GPON

Figure 11: Digital services: Free Wi-Fi services

Figure 12: Digital services: Learning centers at schools (Building)

Chaiwat Oottamakorn, Piya Techateerawat, and Parinya Thetbanthad

Figure 13: Digital services: Learning centers at schools (Room)

Figure 14: Digital services: Free Wi-Fi services at schools and local hospitals

3.2 MOBILE IMPLEMENTATION AND SERVICES Currently, 4G is a main technology for mobile phone in Thailand while 3G and 2G service still exists. According to a report, the mobile penetration in Thailand is more than 100% and is still increasing. This may mean that the mobile networks may already penetrate the remote areas. In fact, however, as mentioned most of the target areas are in mountainous regions, no service operator can cover all of the area. Macrocell technologies (3G and 4G) carry most of the traffic in today’s mobile network but with the geographic constraint, the technologies are not suitable to employ in these types of areas. In order to meet the geographic requirements, we survey all of the 3,920 villages by measuring received signal strength (2G/3G/4G) of all service operators at particular spots in each village area as show in Figure 15. If no single service operator can provide more than -85 dBm of received signal in the spot (The basic of Cellular signal strength), a mobile site in the village will be recommended to implement. In a result, we found that there are the total of 4,916 particular spots in the areas of 1,890 remote *Corresponding author (C.Oottamakorn). Tel:+66-646395414 E-mail: ochaiwat@gmail.com ©2019 International Transaction

villages which have received signals less than the criteria as shown in Table 4. Nonetheless, there is at least one mobile provider in the rural area so that there is no necessary to implement any mobile implementation and services in the area. We have to implement different technologies for backhaul corresponding to the location requirements in each area. For example, in order to provide mobile service coverage in the remote areas, where household locations are scattered and unevenly on the mountains or surrounded by the mountains, broadband satellite solution is an optional and suitable solution for geographic limitation over too long distance for the fiber technology in terms of technical and cost limitations, the broadband satellite capacity can be exploited to provide an internet backhaul for broadband services with more than 30/5 Mbps data rate (Download/Upload) per a service point (CPE) at remote sites. In the remote areas, the economics of the deployment of mobile infrastructure for mass access are limited. Deploying large scale of mobile services has involved high investment compared to low density of population with very small subscribed power. An appropriate selection of mobile technology options are main technical factors for defining a deployed architecture for the remote areas and meet all of their constraints. There are a number of different technologies and terms which have been used across parts of the industry (Thota, Nag, Divyasukhananda, Goswami, Aravindakshan, Rodriguez, Mukherjee, & Nandi, 2013).

Figure 15: particular spots in each village area for measuring received mobile signal strength (Courtesy of Google Map). Table 4: Descriptive Information of particular spots in the areas of 1,890 remote villages (Zone C+). Area: Zone C+ North Central and South North-East Total

Total villages 2,027 808 1,085 3,920

Total implemented particular spots 2,819 912 1,185 4,916

Implemented villages 988 379 523 1,890

With the consideration perspectives: 1) about 100 meter-radius coverage to service a group of average 20-30 Households in the area and quick deployment nationwide, 2) cost-effectiveness 3) easy integration with the implemented broadband infrastructures, and 4) scalability, the Femtocell technology (Thota et al., 2013) is selected and deployed as show in Figure 16.

Chaiwat Oottamakorn, Piya Techateerawat, and Parinya Thetbanthad

A particular spot in Remote village

Service Operators

2300

TOT 2100

900

1800

AWN 2100

900

1800

TUC 2100 DTAC 1800

Cellular Gateway System

Internet

FTTx 30/10 Mbps. Outdoor Cabinet with Heat Exchange

CAT 800

Femtocell Access Point External Antenna Low-Loss Cable UPS 1 KVA AC Surge 25 KA Solar cell (if necessary) CPE/ONU CPE for Satellite (if necessary)

Satellite

Figure 16: The deployment solution for mobile service in the remote areas.

Figure 17: Link budget and set a service level agreement of more than -77.5 dBm of received signal in the 100 meter-radius coverage. In Figure 17, we calculate the link budget and set a service level agreement of more than -77.5 dBm of received signal in the 100meter-radius coverage with the usage of three 12-dBi external antennas. The designed system could be deployed within a few weeks with highly reduced cost due to the compact size of Femtocell equipment. Each such node can provide 3G/4G coverage of 100 meters at more than -77.5 dBm of received signal level and can support 16-32 concurrent users/calls. A Femtocell gateway is implemented in the service provider data center for connections and usages with service availability necessary for mobile services. With Femtocell technology, the equipment and implementation cost can reduce to approximately 150,000 baht (4,285 USD) per site compared to the cost of Metrocell (50,000100,000 USD). *Corresponding author (C.Oottamakorn). Tel:+66-646395414 E-mail: ochaiwat@gmail.com ©2019 International Transaction

The numerical capacity for Femtocell technology is analyzed and results show that a large number of concurrent users/calls with high quality of voice calls and internet usages can be supported with the deployed solution. Figure 18 shows a Mobile implementation and service at the particular spot.

Figure 18: A Mobile implementation and service.

4. CONCLUSION The main objective of this research work is to illustrates new tailored last-mile technologies developed and designed to implement and establish last-mile infrastructure for rural and remote areas, called Zone C and Zone C+ respectively, in Thailand (the total of 15,732 rural and 3,920 remote villages locating around the country. The National Broadcasting and Telecommunications Commission (NBTC) has driven the government digital economy policy in order to transform these remote people and societies to enhance how to live and produce in order to reduce a digital divide existing between urban and rural/remote areas. The goal is to provide both high-speed broadband internet services and mobile services efficiently and economically in the areas with last-mile technologies designed to meet the requirements and constraints of the areas. The developed system is composed of three major parts: 1) Fixed wireless broadband services (Free Wi-Fi services), 2) Learning centers at schools and 3) Femtocell mobile services. The locations for the implementation are determined based on data collected from our survey and the calculation of an optimization problem with clustering techniques. The concluding remarks with brief discussion on some issues are: 1. For realizing sustainable social development in term of technical perspective, this study has successfully demonstrated new tailored last-mile technologies designed to implement and establish lastmile infrastructure for remote areas in Thailand. Previously, in most of the areas, there was no existing network infrastructure and services. Private network operators find it unlikely to justify the investment over that long-distance network with low population density in the areas. With this implementation, people (state authorities, stakeholders, teachers and students) in the areas can access ICT information and applications such as e-Commerce, e-Education, e-Health, etc. However, the services from this implementation have been in an earlier stage (since July 2019). Still, System performance measurement

Chaiwat Oottamakorn, Piya Techateerawat, and Parinya Thetbanthad

and mechanisms are needed to be developed to make the network connections more reliable and tolerant in these types of areas. While in services, other external factors that may occur to affect the performance and consistency of network connectivity are needed to be identified and analyzed with remote and difficult terrains for transporting equipment, maintenance, and troubleshooting of the network. 2. In long term development, remote infrastructure with digital services does not guarantee the expansion of user adoption of broadband internet services in the areas. Remote areas are typically characterized by lack of skill and education. Thai government agencies have to stimulate the digital economies in the areas with community education efforts and programs in order for people to understand these new opportunities and the impact of broadband internet services on individuals, communities, and the economy as a whole. The challenge remains to understand how to maximize the advantage of the implementation in term of social assessment and economy. 3. This infrastructure implementation of the 3,920 remote villages, called Zone C+, in Thailand is the first phase of the project. According to the NBTC plan, for the second phase, the Zone C (rural areas - the total of 15,732 villages) will be considered. Technology and Infrastructure are needed to be explored to provide low-cost telecommunication in these rural areas. Initially, we learned from our survey work that 1) there are existing infrastructures by public and private network operators in most of the rural areas and 2) motivations and efforts that promote the user adoption of broadband services, personal and social benefits and ICT skills are fundamentally recommended.

5. ACKNOWLEDGEMENT This research was based on by the National Broadcasting and Telecommunications Commission (NBTC) project consulted by Thammasat University. The authors gratefully acknowledge the support of NBTC. Any opinions, findings, and conclusions or recommendations expressed in this paper are those of the authors and do not necessarily reflect the view of NBTC. The authors have very special thanks to the team from the Universal Service Obligation Department, NBTC and Thammasat University for their hard work and efforts that have been put together to complete this data collection and vital design foundation.

6. DATA AVAILABILITY AND MATERIALS Information regarding this work can be directed to the corresponding author.

7. REFERENCES Bação, F., Lobo, V., and Painho, M. (2005). Self-organizing Maps as Substitutes for K-Means Clustering. Lecture Notes in Computer Science, Vol. 3516, pp. 476-483. Bell, P., Reddy, P., and Rainie, L. (2004). Rural Americans’ Internet use has grown but they continue to lag behind others. Pew Internet &American Life. Retrieved September 2005, from <http://www.pewinternet.org/pdfs/PIP_Rural_Report.pdf>. CEU (Council of the European Union). (2006). The community strategic guidelines for rural development (programming period 2007–2013). Council decision of 20 February 2006. (2006/144/EC). Official Journal of the European Union, 25.2.2006. Community Development Department (CDD), Ministry of Interior, Thailand. *Corresponding author (C.Oottamakorn). Tel:+66-646395414 E-mail: ochaiwat@gmail.com ©2019 International Transaction

Crandall, R., Jackson, C., and Singer, H. (2003). The Effect of Ubiquitous Broadband Adoption on Investment, Jobs, and the U.S. Economy. Washington DC: Criterion Economics, 2003. Crandall, R., Lehr, W., and Litan R. (2007). The Effects of Broadband Deployment on Output and Employment: A Cross-sectional Analysis of U.S. Data. Issues in Economic Policy, vol. 6, 2007. Czernich, N., Falck, O., Kretschmer, T., and Woessmann, L. (2009). Broadband Infrastructure and Economic Growth. The Economic Journal, vol. 121(552), 2009. DeLong, M., Gahring, S., Bye, E., Johnson, K. K. P., and Anderson, J. (2002). Using the internet to enhance business opportunities in rural areas. Journal of Family and Consumer Sciences, 94(3), 33–38. Ford, G. S., and Koutsky, T. M. (2005). Broadband and economic development: A municipal case study from Florida. Review of Urban & Regional Development Studies, vol. 17(3), pp. 216 - 229, 2005. Foros, O., and Kind, H. J. (2003). The broadband access market: Competition, uniform pricing, and geographic coverage. Journal of Regulatory Economics, 23(3), 215. Government Accounting Office (GAO) (2006). Broadband deployment is extensive throughout the United States, but it is difficult to assess the extent of deployment gaps in rural areas. (GAO-06-426), released May 5: <http://www.gao.gov/new.items/d06426.pdf>. Government Strategic Information Center (GSIC), National Statistical Office, Thailand. Grubesic, T. H. (2003). Inequities in the broadband revolution. Annals of Regional Science, 37(2), 263–289. Grubesic, T. H., and Murray, A. T. (2002). Constructing the divide: Spatial disparities in broadband access. Papers in Regional Science, 81(2), 197–221. Grubesic, T. H., and Murray, A. T. (2004). Waiting for broadband: Local competition and the spatial distribution of advanced telecommunication services in the United States. Growth and Change, 35(2), 139–165. Hollifield, C. A., and Donnermeyer, J. F. (2003). Creating demand: Influencing information technology diffusion in rural communities. Government Information Quarterly, 20, 135–150. Kanungo, T., Mount, D. M., Netanyahu, N. S., Piatko, C. D., Silverman, R. and Wu, A. Y. (2002). An efficient k-means clustering algorithm: analysis and implementation. IEEE Transactions on Pattern Analysis and Machine Intelligence, 24(7), 881-892. Katz, R., Vaterlaus, S., Zenhäusern, P., and Suter, S. (2010). The impact of broadband on jobs and the German economy. Intereconomics, vol. 45(1), pp. 26-34, 2010. LaRose, R., Strover, S., Straubhaar, J., and Gregg, J. (2006). Closing the rural broadband gap: Toward a broadband development strategy. Poster presented at the Rural Development Project Director Meeting, US Department of Agriculture, Cooperative State Research, Education & Extension Service, Washington, DC, February 13. NTIA (2009). Testimony of Mark G. Seifert before the Subcommittee on Communications, Technology, and the Internet Committee on Energy and Commerce U.S. House of Representatives. Hearing on “Oversight of the American Recovery and Reinvestment Act of 2009: Broadband”. April 2, 2009. Preston, P. (2001). Re-shaping communications: technology, information and social change. London and Thousand Oaks, California: Sage Publications. Rogers, E. M. (2003). Diffusion of innovations (5th Ed.). New York: Free Press. Schmandt, J., Williams, F., Wilson, R. H., and Strover, S. (1991). Telecommunications and rural development: A study of public and private sector innovation. New York: Praeger. The basic of Cellular signal strength. <http://www.commdevices.com/files/information/cell_signal_1011431464546.pdf>.

Chaiwat Oottamakorn, Piya Techateerawat, and Parinya Thetbanthad

Thota, S., Nag, A., Divyasukhananda, S., Goswami, P., Aravindakshan, A., Rodriguez, R., Mukherjee, B., and Nandi, S. (2013). Computing for Rural Empowerment: Enabled by Last-Mile Telecommunications (Extended Version). Technical Report, Draft, 2013. Venkatachalam, S., and McDowell, S. D. (2002). What is broadband? What is rural? Government Information Quarterly, 20, 151–166. Vijayasaro, V., Niveathasaro. V. (2019). A concern review on potency of IoT applications with example CASE study. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. 10(2): 233-243. World

Telecommunication/ICT Development Telecommunication Union, 2017

Report

and

database.

(2017).

International

Dr.Chaiwat Oottamakorn is an Assistant Professor of College of Innovation, Thammasat University, Thailand. He received the B.S. degree in Electrical Engineering from Chulalongkorn University, Bangkok, Thailand, and the M.S. and Ph.D. degrees in Electrical Engineering from Polytechnic University, New York, USA. His areas of research encompass Internet Technologies, Mobile Communications, Technology Management, Applied Sciences, Network Servers, and Multimedia Systems. Dr.Piya Techateerawat is an Assistant Professor of Computer Engineering at Thammasat University. He received his B.Eng. from University of New South Wales, Australia with Honors in 2004. He continued his PhD study at Royal Melbourne Institute of Technology University, Australia, where he obtained his PhD in Wireless Sensor Network Security. His current interests involve applications of Sensor Network, Security and Quantum Cryptography. Parinya Thetbanthad is a PhD candidate in engineering of Thammasat University. He earned his Bachelor degree in a Computer Engineering and an Master’s degree in Information Technology Management. His work experiences are related to Network and Network Security.

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 10A13F

IMPACTS OF GENDER ON JOB SATISFACTION AND WORK MOTIVATION RELATIONSHIP: A CASE OF TEACHERS IN BALOCHISTAN, PAKISTAN Abdul Raziq a b

a,b*

, Raja M. Ilyas , Mir G. H. Talpur

Department of Statistics, University of Sindh, Jamshoro, PAKISTAN. Department of Statistics, University of Balochistan, Quetta, PAKISTAN.

ARTICLEINFO

A B S T RA C T

This study revealed that teacher’s satisfaction, motivation, sense of accomplishment, positive and productive behavior are statistically related concepts in a positive direction. The moderating effect of gender on the relationship of satisfaction with other related concepts was tested using hierarchical regression. It was concluded that in Balochistan, the teacher’s gender does not moderate any of the Keywords: above-mentioned relationships (R-Square change was insignificant in Job satisfaction; Work all three models). All required statistical assumptions like the satisfaction-motivation relationship; Hierarchical independence of errors, normality of residuals; multicollinearity and heteroscedasticity were tested and found met after possible Regression Analysis; standardization of variables. This study adds value to the pool of Moderating Effect; knowledge and helps institutional policymakers in making and Gender impact on job satisfaction; Teacher’s job implementation policies regarding teacher’s satisfaction-motivation satisfaction. relationship and the moderation effect of demographic indicators. Article history: Received 18 April 2019 Received in revised form 31 July 2019 Accepted 12 August 2019 Available online 20 August 2019

1. INTRODUCTION Owners, directors, and managers in organizations are very much interested to know whether their employees are satisfied with different aspects of an organization like facilities, policies, financial benefits, and opportunities. Satisfied employees work with more energy and motivation which is very fruitful for the business or organization to flourish. In recent years the substantial increase in the number of females entering the workforce arises an important question whether gender influences job satisfaction and its related concepts or not. In Pakistan, females are encouraged to work as teaching faculty for a number of reasons like short working hours, secure workplace and many others. Due to an increased number of females in teaching, it is very necessary to analyze the impact of gender on job satisfaction. This research is an attempt to analyze whether gender moderates the relationship between job satisfaction and *Corresponding author (Abdul Raziq). Tel: +92-333-7844693. E-mail: kakar.stats.uob@gmail.com

©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13F http://TUENGR.COM/V10A/10A13F.pdf DOI: 10.14456/ITJEMAST.2019.170

motivation, sense of accomplishment, and positive productive behavior of teachers working at schools, colleges, and universities in Balochistan province of Pakistan. A teacher is considered as satisfied if he or she is satisfied with certain areas of the job, including working hours, leaves policy, rules, and regulations, current salary, future career-building opportunities, provident fund, life and health insurance, job security and relationship with coworkers, juniors and seniors. The factors mentioned above are considered in while operationalization of satisfaction measurement scale. A motivated teacher would find opportunities to utilize skills and abilities, recommend other teachers and professors to work in his or her institute, feel independence while making decisions, and find new ways to enhance abilities and skills. Similar dimensions are considered while construction of motivation scale. Positive and productive behavior leads to job satisfaction and vice versa. A successful division of responsibilities, participation in decision making, finding various in work, sharing good experiences, providing professional and moral support and accomplishment of target successfully are the factors considered in developing a scale for positive and productive behavior. Sense of accomplishment derived from teacher's understanding about the level of competence, the confidence of working with more than one department, awareness of expectation from job and having clear goals and objectives and responsibilities The most common statistical technique for testing the moderating effect of a variable on a relationship is hierarchical regression analysis. For a successful regression model, it is important to test certain statistical assumptions apply to conduct multiple regression analysis. All necessary regression assumptions are tested. A number of studies have been conducted on satisfaction, motivation and their related aspects, but a few studies have been found in the selected research topic, i.e. to know the moderation effect of gender on the relationship between teacher’s satisfaction and other related concepts. The researchers could not find any study on the same topic on study population from teachers of Balochistan.

2. LITERATURE REVIEW Job satisfaction is an important driver that is derived from different components like motivation, positive and productive behavior, sense of accomplishment and other many more. Jenaibi in his research concluded that an un-satisfied workforce may lead to increased turnover and absenteeism at the place of work. Job satisfaction is composed of various areas of work like active management, communication, facilities, and fringe benefits, salaries, and career future (Jenaibi, 2010). Danish and Usman (2010) explored that reward and work recognition are the main sources of employee motivation. Motivation and its different dimensions are statistically significant with employee satisfaction. Results of a study (Lipinskiene, 2008) showed a positive and statistically significant relationship between employee job satisfaction and its various aspects. Siddiqi in his doctoral research dissertation (Siddiqi, 2012) explored that Turkish female teachers are more satisfied as compared to male teachers with their physical conditions, wages, organizational climate, and co-working status. Gender found to be a significant factor in teacher satisfaction. Another finding on Turkish teacher’s study by Shin and Sak (Sahin & Sak, 2015) revealed the same results that are

Abdul Raziq, Raja M. Ilyas, Mir G. H. Talpur

female teachers were more satisfied with different dimensions of satisfaction. Briones et.al. (2010) explored that satisfied and motivated staff from secondary school increase the reputation of their institutions which can lead to increased student learning. A contrary result was evident from Pakistan (Fatima et al., 2015) concluded that male staff members were more satisfied with their jobs, while (Lup, 2017) showed that male and female teachers were equally satisfied until promotion in job occurs. Sense of accomplishment and job satisfaction are statistically significantly related and gender moderates this relationship (Nasir et al., 2011), the same results were found in another research (Arshad, 2016). The relationship between gender and different statements on attitude to work and job satisfaction are significant (Abeka-Donkor, 2013), while gender does not matter for employees to be satisfied in China (Miao et al., 2017). Research from Malaysia (Met & Ali, 2014) showed that male employees are more satisfied with their salaries as compared to female employees while opposite results were derived from other research (Kim et al., 2009). Amarasena et al. (2013) demonstrated that demographic factors like gender, age, experience, marital status, number of children, and education of employees had no statistically significant differences in teacher’s job satisfaction. Results from the study showed that neither gender nor tenure act as moderators in the perceived supervisor support-organizational commitment relationship (Little, 2017). Research showed that gender moderates the relationship between self-esteem and life satisfaction (Zhang & Leung, 2002). Hayes (2013) devised a hierarchical regression approach to test statistical moderation where the interaction effect of moderating and independent variables is used to test for its significance. Jose in his book explained that there are certain regression assumptions like normality, homoscedasticity, multicollinearity, and independence and error term are major assumptions that should be tested before applying multiple regression analysis (Jose, 2013). Assumption whose violation can misinterpret the regression coefficient is multicollinearity and may be corrected using standardization technique (Jaccard et al., 1990). Based on the existing literature following model is devised for the research.

Figure 1: Model of Research. *Corresponding author (Abdul Raziq). Tel: +92-333-7844693. E-mail: kakar.stats.uob@gmail.com

3. HYPOTHESES Based on the above model diagram following hypotheses were derived. H#1: Job satisfaction is related to motivation, sense of accomplishment of teachers. H#2: Job satisfaction would lead towards positive and productive behavior. H#3: Gender affects the relationship between satisfaction and motivation H#4: Gender affects the relationship between satisfaction and sense of accomplishment H#5: Gender affects the relationship between satisfaction and positive productive behavior

4. RESEARCH METHODOLOGY A well-structured questionnaire was developed and distributed to school, college and university teachers in Balochistan, Pakistan. A total of 1048 (662 Male and 386 Female) responses were received and recorded for analysis. Based on the concept and understanding of items in the instrument, 12 items were summated for measuring satisfaction, 6 items were summated for measuring motivation, 10 items were summated for measuring positive and productive behavior and 6 items were summated for measuring the sense of accomplishment. After variable definition, hierarchical regression was run to access the moderating effect of gender on the relationship between job satisfaction and its different aspects, namely motivation, positive and productive behavior, and sense of accomplishment. Post regression assumptions were tested, and possible corrections were made to assess true relationships and effect.

5. RESULTS AND DISCUSSION To test the first hypothesis, which states that “The Job satisfaction is related to motivation, sense of accomplishment of teachers”, correlation analysis was run. Analysis of variable correlations in Table 1, reveals that all correlations are statistically significant at 1% level of significance, which leads to the conclusion that motivation, sense of accomplishment and satisfaction are statistically related. Table 1: Correlation Matrix of research variables

Job satisfaction Motivation Positive and productive behavior

Job satisfaction

Motivation

0.661** <0.001 1

Pearson Correlation P-value Pearson Correlation P-value Pearson Correlation P-value

Positive and productive behavior 0.715** <0.001 0.751** <0.001 1

Sense of accomplishment 0.455** <0.001 0.489** 0.000 0.496** <0.001

**. Significant at the 0.01 level

The Second research hypothesis as stated in the previous section requires testing the causal effect of job satisfaction on positive and productive behavior. Analysis in Table 2 and 3 show that teacher satisfaction effect positive and productive behavior of employee positively and significantly. Table 2: Model Summary (Predictors: (Constant), Job satisfaction) Model R 𝑅2 Adj 𝑅2 S.E of Estimate 1

0.715a

0.511

Abdul Raziq, Raja M. Ilyas, Mir G. H. Talpur

0.511

0.699

Table 3: Coefficients (Dependent Variable: Positive and productive behavior) Constant Job Satisfaction

𝛽 -9.3E-07 0.715

S.E .022 .022

𝛽∗ .715

t <0.001 33.063

P-value 1.000 <0.001

Table 4, the findings of hierarchical regression showing that the R-Square change in the second model is not significant (p-value > 0.05) stating that gender does not moderate the relationship between motivation and satisfaction of teachers. Table 6, presents that the interaction of gender and motivation is not statistically significant, which is the statistical evidence that gender does not moderate the relationship between teacher motivation and satisfaction. Post regression assumptions were also tested and presented via Durban Watson statistic (independence of error term) in Table 4, VIF and Tolerance statistics (testing multicollinearity) in Table 6, graphical representation of error term and predicted values for testing normality and homoscedasticity. All assumptions are met and fulfilled. It is concluded that Gender does not moderate the relationship between satisfaction and motivation. Table 4: Model Summary (Dependent Variable: Job satisfaction) Model

𝑅

0.662a

𝑅2

Adj 𝑅 2

S.E of Estimate

.439

.438

0.749

Change statistic F change 𝑅 2 change 0.439 408.452

0.663 .440 .438 0.749 0.001 2.417 2 a. Predictors: Constant, Gender, Motivation b. Predictors: Constant, Gender, Motivation, Interaction (Motivation x Gender) 𝜐1 , 𝜐2 are a degree of freedoms and DW is Darbin Watson statistics

𝜐1

𝜐2

P-value

1045

<0.001

1044

0.120

1.852

Table 5: ANOVA MODEL SS MS 𝜈 1 Regression 459.367 2 229.684 Residual 587.632 1045 0.562 Total 1046.999 1047 2 Regression 460.725 3 153.575 Residual 586.274 1044 .562 Total 1046.999 1047 a. Dependent Variable: Job satisfaction b. Predictors: (Constant), Gender, Motivation c. Predictors: (Constant), Gender, Motivation, Interaction (Motivation x Gender) ν, are degree of freedoms.

Model 1

𝛽

Table 6: Coefficients 𝛽∗ S.E t

Constant 6.9E-07 Motivation 0.663 Gender -0.043 2 Constant -0.002 Motivation 0.664 Gender -0.044 Interaction (Motivation x 0.037 Gender) a. Dependent Variable: Job satisfaction 𝛽, and S.E are Unstandardized Coefficients,

0.023 0.023 0.023 0.023 0.023 0.023 0.023

0.663 -.043 0.664 -0.044 0.036

<0.001 28.575 -1.838 -0.066 28.634 -1.878 1.555

P-value

408.452

<0.001b

273.476

<0.001c

P-value 1.000 <0.001 0.006 0.947 <0.001 0.061 0.120

Collinearity Statistics Tolerance VIF 0.998 0.998

1.002 1.002

0.996 0.998 0.998

1.004 1.002 1.002

𝛽 ∗ are Standardized coefficients

*Corresponding author (Abdul Raziq). Tel: +92-333-7844693. E-mail: kakar.stats.uob@gmail.com

Figure 1: Testing Normality of Error term.

Figure 2: Testing Heteroscedasticity and Linearity. Table 7, findings of hierarchical regression showing that the R-Square change in the second model is not significant (P-value > 0.05) stating that gender does not moderate the relationship between sense of accomplishment and satisfaction of teachers. Table 9, presents that interaction of gender and sense of accomplishment is not statistically significant, which is the statistical evidence that gender does not moderate the relationship between teacher sense of accomplishment and satisfaction. Post regression assumptions were also tested and presented via Durban Watson statistic (independence of error term) in Table 7, VIF and Tolerance statistics (testing multicollinearity) in Table 9. Graphs of the error term and predicted values for testing normality and homoscedasticity (not shown) also confirm these assumptions., graphical representation of error term and predicted values for testing normality and homoscedasticity. All assumptions are met and fulfilled. It is concluded that Gender does not moderate the relationship between satisfaction and sense of accomplishment.

Abdul Raziq, Raja M. Ilyas, Mir G. H. Talpur

Table 7: Model Summary c Change statistic S.E of 𝜐1 𝜐2 P-value DW 2 𝑅 change Estimate F change 1 0.719a 0.517 0.516 0.6958 .517 558.797 2 1045 <0.001 0.719b 0.440 0.515 0.6961 .000 0.183 1 1044 0.669 1.799 2 a. Predictors: Constant, Gender, Positive and Productive Behavior b. Predictors: Constant, Gender, Positive and Productive Behavior, Interaction (Positive and Productive Behavior x Gender) c. Dependent Variable: Job satisfaction 𝜐1 𝑎𝑛𝑑 𝜐2 are a degree of freedoms and DW is Darbin Watson statistics

Model

𝑅

𝑅2

Adj 𝑅 2

Table 8: ANOVA MODEL SS MS 𝜈 1 Regression 541.072 2 270.536 Residual 505.927 1045 0.484 Total 1046.999 2 Regression 541.161 3 180.387 Residual 505.838 1044 0.485 Total 1046.999 1047 a. Dependent Variable: Job satisfaction b. Predictors: (Constant), Gender, Motivation c. Predictors: (Constant), Gender, Motivation, Interaction (Motivation x Gender) ν, are degree of freedoms.

Table 9: Coefficients 𝛽 𝛽∗ S.E

Model

1 Constant 0 0.021 <0.001 Positive and Productive Behavior 0.721 0.022 0.721 33.424 Gender -0.076 0.022 -0.076 -3.532 2 Constant 0.001 0.022 0.037 Positive and Productive Behavior 0.721 0.022 0.721 33.364 Gender -0.076 -0.076 -3.504 Interaction (Positive and Productive Behavior x -0.009 0.022 -0.009 -0.428 Gender) a. Dependent Variable: Job satisfaction 𝛽, and S.E are Unstandardized Coefficients, 𝛽 ∗ are Standardized coefficients

F 558.797

P-value <0.001b

372.301

<0.001c

P-value

Collinearity Statistics Tolerance VIF

>0.999 <0.001 <0.001 .970 <0.001 <0.001 0.669

0.993 0.993

1.007 1.007

0.991 0.990 0.996

1.009 1.010 1.004

Table 10: Model Summary S.E OF Change statistic 𝜐1 Estimate F change 𝑅 2 change a 1 0.456 0.208 0.207 0.891 0.208 137.52 2 b 0.458 0.210 0.208 0.890 0.002 2.37 1 2 a. Predictors: Constant, Gender, Motivation b. Predictors: Constant, Gender, Motivation, Interaction (Motivation x Gender) c. Dependent Variable: Job satisfaction 𝜐1 , 𝜐2 are the degree of freedoms and DW is Darbin Watson statistics

Model

𝑅

𝑅2

Adj 𝑅

𝜐2

P-value

1045 1044

<0.001 .124

1.701

Table 10, findings of hierarchical regression showing that the R-Square change in the second model is not significant (P-value > 0.05) stating that gender does not moderate the relationship between positive productive behavior and satisfaction of teachers. Table 12 presents that the interaction of gender and positive, productive behavior is not statistically significant, which is the statistical evidence that gender does not moderate the relationship between teacher positive productive behavior and satisfaction. Post regression assumptions were also tested and presented via Durban Watson statistic (independence of error term) in Table 10, VIF and Tolerance statistics (testing multicollinearity) in Table 12. Graphs of the error term and predicted values for testing *Corresponding author (Abdul Raziq). Tel: +92-333-7844693. E-mail: kakar.stats.uob@gmail.com

normality and homoscedasticity (not shown) also confirm these assumptions. All assumptions are met and fulfilled. It is concluded that Gender does not moderate the relationship between satisfaction and positive productive behavior. Table 11: ANOVA MS 𝜈 MODEL SS 1 Regression 218.143 2 109.072 Residual 828.856 1045 .793 Total 1046.999 1047 2 Regression 220.018 3 73.339 Residual 826.981 1044 .792 Total 1046.999 1047 a. Dependent Variable: Job satisfaction b. Predictors: (Constant), Gender, Motivation c. Predictors: (Constant), Gender, Motivation, Interaction (Motivation x Gender) ν, are degree of freedoms.

P-value

137.515

<0.001b

92.585

<0.001c

Table 12: Coefficients a Model

𝛽

S.E

𝛽∗

Constant 1.447E-06 0.028 <0.000 Motivation 0.457 0.028 0.457 16.575 Gender -0.033 0.028 -0.033 -1.183 2 Constant 0.002 .028 0.061 Motivation 0.456 00.028 0.456 16.578 Gender -0.032 0.028 -0.032 -1.150 Interaction (Motivation x -0.042 0.028 -0.042 -1.538 Gender) a. Dependent Variable: Job satisfaction 𝛽, S.E are Unstandardized Coefficients , 𝛽 ∗ are standardized coefficients

P-value >0.999 <0.001 0.237 0.952 0.000 0.25 0.124

Collinearity Statistics Tolerance VIF 0.998 0.998

1.002 1.002

0.998 0.998 1.000

1.002 1.002 1.000

6. CONCLUSION Based on statistical analysis, motivation, sense of accomplishment and satisfaction of teachers in Balochistan are statistically significantly related at 1% level of significance. A satisfied teacher leads to positive and productive behavior. Teacher’s gender does not moderate the relationship between satisfaction and motivation at educational institutes of Balochistan. Gender does not moderate the relationship between satisfaction and sense of accomplishment at educational institutes of Balochistan. Gender does not moderate the relationship between satisfaction and positive productive behavior at educational institutes of Balochistan.

7. Data availability and material Data involved in this study can be requested to the corresponding author.

8. REFERENCES [1] Abeka-Donkor, S. (2013). Are Demographic Factors Predictors of Satisfaction? The International Journal of Business & Management, 1(3), 4-11. [2] Amarasena, T. S. M., R. Ajward, A., & Haque, A. K. M. A. (2013). The Effects of Demographic Factors On Job Satisfaction Of University Faculty Members In Sri Lanka. International Journal of Academic Research and Reflection, 3(4), 89-106.

Abdul Raziq, Raja M. Ilyas, Mir G. H. Talpur

[3] Arshad, S. H. (2016). Gender Discrimination and Job Satisfaction. International Journal of scientific research and management, 4(5), 4136-4150. [4] Briones, E., Tabernero, C., & Arenas, A. (2010). Job Satisfaction of Secondary School Teachers: Effect of Demographic and Psycho-Social Factors. Journal of Work and Psychology, 26(2), 115-123. [5] Danish, R. Q., & Usman, A. (2010). Impact of Reward and Recognition on Job Satisfaction and Motivation: An Empirical Study from Pakistan. International Journal of Business and Management, 5(2), 159-167. [6] Fatima, N., Iqbal, S., Akhwand, S. Y., Suleman, M., & Ibrahim, M. (2015). Effect of gender differences on job satisfaction of the female employees in Pakistan. International Journal of Economics, Finance and Management Sciences, 3(1), 27-33. [7] Hayes, A. F. (2013). Introduction to Mediation, Moderation, and Conditional Process Analysis, First Edition: A Regression-Based Approach (1st Edition ed.). [8] Jaccard, J., Wan, C. K., &Turris, R. (1990). The Detection and Interpretation of Interaction Effects Between Continuous Variables in Multiple Regression. Multivariate Behavioral Research, 25(4), 467-478. [9] Jenaibi, B. A. (2010). Job Satisfaction: Comparisons Among Diverse Public Organizations in the UAE. Management Science and Engineering, 4(3), 60-79. [10] Jose, P. E. (2013). Doing Statistical Mediation and Moderation. [11] Kim, B. P., Murrmann, S. K., & Lee, G. (2009). Moderating effects of gender and organizational level between role stress and job satisfaction among hotel employees. International Journal of Hospitality Management, 28, 612-619. [12] Lipinskiene, D. (2008). The Examination of Relationship Between Organizational Commitment and Job Satisfaction of Employees. Ekonomikairvadyba: aktualijosirperspektyvos, 4(13), 282-289. [13] Little, M. E. (2017). The Moderating Effect of Gender and Tenure on the Relationship between Perceived Supervisor Support and Organizational Commitment. (Master of Science), San Jose State University. (4808) [14] Lup, D. (2017). Becoming a Manager Increases Men’s Job Satisfaction, But Not Women’s. Harvard Business School Publishing Corporation, 1-5. [15] Met, M., & Ali, I. (2014). Investigating the Moderating Effect of Demographic Factors on Relationship between Monetary Motivation and Employee's Job Satisfaction at Oil and Gas Offshore Production Facilities in Malaysia. International Review of Management and Business Research, 3(2), 788-818. [16] Miao, Y., Li, L., &Bian, Y. (2017). Gender differences in job quality and job satisfaction among doctors in rural western China. BMC Health Services Research, 17, 1-9. DOI: 10.1186/s12913-017-2786-y [17] Nasir, R., Fatimah, O., Mohammadi, M. S., Shahrazad, W. S. W., Khairudin, R., & Halim, F. W. (2011). Demographic Variables as Moderators in the Relationship between Job Satisfaction and Task Performance. Pertanika J. Soc. Sci. & Hum, 19(S), 33-40. [18] Sahin, F. T., &Sak, R. (2016). A Comparative Study of Male and Female Early Childhood Teachers’ Job Satisfaction in Turkey. Early Childhood Educ J, 44(5), 473-481. [19] Siddiqi, J. (2012). Relationship Between Principals’ Sense of Achievement And Teachers’ Perceptions Of Their Principals’ Leadership Behaviors. (Doctor of Philosophy), Virginia Commonwealth University, VCU Scholars Compass. *Corresponding author (Abdul Raziq). Tel: +92-333-7844693. E-mail: kakar.stats.uob@gmail.com

[20] Zhang, L., & Leung, J.-P. (2002). Moderating effects of gender and age on the relationship between self-esteem and life satisfaction in mainland Chinese. International Journal of Psychology, 37(2), 83-92. Abdul Raziq is an Assistant Professor at the Department of Statistics, University of Balochistan, Quetta, Pakistan. He earned his M.Sc and M.Phil.degrees from the University of Balochistan, Pakistan. Abdul Raziq is a Ph.D. scholar of the Department of Statistics, University of Sindh, Jamshoro, Pakistan. His research is related to statistics with emphasis on Financial Time Series, Social Statistics, Applications of Statistics in Medical and Livestock. Professor Dr.Raja M. Ilyas was Professor at the Department of Statistics at the University of Sindh, Jamshoro, Pakistan, where currently he is working as a Visiting Professor. He earned his Ph.D. degree in Demography from University of Sindh, Jamshoro, Pakistan. Mir Ghulam HyderTalpur is a Professor in the Statistics at University of Sindh, Jamshoro Pakistan. He holds a B.Sc. (Hons) and M.Sc. Statistics from University of Sindh, Jamshoro and Ph.D. degrees in Operations Research from Shanghai University of Science & Technology, Shanghai, P. R. China (Now it has been renamed “Shanghai University”, Shanghai, P.R. China). Dr. Talpur has extensive experience with Post Doctorate from Ball State University Muncie Indiana USA. His theoretical background is Probability, Queuing Theory, Markov decision chains, Regression Models, Sampling Survey, Time Series Analyses and Applied Statistics in the field of Agriculture, Metrology, etc. As his research is more in Applied, he uses more other methodologies, often in joint projects with specialists in those fields.

Abdul Raziq, Raja M. Ilyas, Mir G. H. Talpur

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 10A13G

EFFECTS OF DIGITAL MARKETING ON INTERNATIONAL MARKET GROWTH Hanifeh Manafzadeh

, Zolaykha Manafzadeh

Marketing Management Program, Department of Management, Rasht Branch, Islamic Azad University, Rasht, IRAN.

ARTICLEINFO

A B S T RA C T

Article history: Received 06 April 2019 Received in revised form 19 June 2019 Accepted 28 June 2019 Available online 10 August 2019

Today, information and communication technology is the economic, social, and cultural development arm in different countries. Digital-marketing is one of the new processes and methods of marketing that has emerged as a result of the appearance/advent of an information technology phenomenon. One of its most significant tools is the Internet, which has profound effects on business processes. Despite the fact that the Internet as most effective electronic marketing tool with global markets has made it possible many companies access to global markets, but many companies are losing out on its use in export markets. Therefore, this study explains the effects of digital marketing on the growth of international markets. In this research data is gathered using field technique. In the field technique, the inventory is considered as a vital method of data collection. So, in this work an inventory was applied as an instrument for data collection. To examine the reliability of the inventory, the Cronbach's alpha was utilized. A questionnaire measuring for variables, including internet marketing capability, data availability, business network relationships, and the growth of the customer export market, is provided and distributed among 232 experts. Finally, the statistical hypothesis was tested through structural equations with LISREL software. The results of study confirmed the hypothesis of the effect of digital marketing ability on the growth of the export market and the business network relationships and information availability as well.

Keywords: E-marketing; International export market growth; Business network relationships; Digital marketing; Marketing ability.

1. INTRODUCTION The Internet has been revealed to encourage components of internationalization such as data aggregation and network opportunities. In any case, there is restricted understanding of how the Internet aggregated with showcasing opportunities extracted from international market growth [1]. Change, transformation, and innovation in different dimensions of life have always been an integral *Corresponding author (Hanifeh Manafzadeh). E-mail: p.manafzade@aftermail.ir ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13G http://TUENGR.COM/V10A/10A13G.pdf DOI: 10.14456/ITJEMAST.2019.171

part of the system of being. These novation and modern events have influenced whole factors of human life. The universe of business and economy is also section of human life and has not run away the movement of novation and shift. Perhaps it is safe to say that the domains that have the most impact on change and innovation are in the business and economy [2]. The features of this century are the amazing development of communication and information technology and its application to increase the quality and quality of service delivery. In addition, the service sector accounts for 20% of global trade and over the past fifteen years, commodity trade has been growing at a fast pace of more than 8% [3]. Today, information and communication technology is the economic and social arm and cultural development in different countries. Using this technology to address the challenges facing countries and cities at all levels [4]. According to the quick advancement of information and communication technology in the world and the deep impact of electronic equipment and tools in facilitating and accelerating work and saving time and cost, every day, the importance of using information technology is added [5]. Digital marketing is a new industrial revolution in the 21st century, and with the globalization of the market, progress and development. Today, the Internet is an important commercial factor and has grown faster than any other communication technology and has transformed world markets more than any other media technology [6]. E-marketing is an important dimension in which analysts must assess the company's capabilities to meet the needs of customers' demands and priorities, and regarding to the enhancing the importance of applying the Internet in trade, the advancement, and development of information technology and communications have had a profound and broad effect on trade processes, and the Internet has prepared the world's most useful internet marketing instrument with the probability to bring companies to international markets [7]. In recent years, the Internet and Internet marketing for companies in many industries have become revenue-generating and interacting with customers and stakeholders, offering electronic products and services and electronic sales. In fact, Internet marketing can be addressed as a novel theory and a trade-like business that consisted of the marketing of commodities, services, data, and opinions using the Web and other electronic tools [8]. Regarding the effect of the Internet on business and the arrangement of the basis of digital economy, Internet marketing has been considered as a key factor in the competitiveness of international players in order to attain the goals of modern marketing in electronic commerce. Increasing speed in computing, rapid processing of information, the ability to search and increase accuracy, omitting unnecessary intermediaries and doing electronic work, overshadow the exchange process, decrease the time of transactions, and enhance the value of transactions. Value of marketing and e-commerce is on the rise. In today's markets, the customer is equated with a true customer plus a virtual customer and Internet marketing on this axis [9]. The study of the impact of the Internet on international companies considers as section of the developmental part of understanding in the field of digital marketing background and international business. But despite the extensive experience of examining the effects of the Internet on internationalization as well as its ability for overseas customer access, there is an incomplete understanding of the complex relationship between digitalization of international companies and the functioning of international markets [10]. Since the probable relation among the Internet and the export outlets has recently been determined and examined by the researchers, there has been limited research in analyzing the impacts of internet marketing on the performance of online markets. So the special role of the Internet has

Hanifeh Manafzadeh, Zolaykha Manafzadeh

been overlooked in the Internet market as well as the Internet evaluation as the driving force behind the international performance of companies [11]. The importance of digital marketing although, at the beginning of the commercialization of the Internet, there were many tools for its ability to transform its business and its core activities, such as marketing, was mostly fictitious. But gradually, with the passage of time and various researches in this area, the capabilities and benefits of the Internet were genuinely identified. The benefits of internet marketing have been evaluated and categorized by various researchers. One of these categories belongs to Qiang and Chi (2001). The Internet as one of today's vital phenomena has a huge role in the success of export marketing. In this paper, in addition to examining the ninth roots of the Internet in removing marketing barriers, we examine the barriers to using this phenomenon of information technology by manufacturing and exporting companies. This is done by referring to related exporters and experts and their survey. After a detailed review of the benefits of using the Internet and collecting and analyzing data as well as determining the barriers to Internet use, we conclude it is necessary to make suggestions [12]. Hence, this study tries to analyze the effect of digital marketing on international market growth.

2. LITERATURE REVIEW The work [13] examined how the Internet compound with marketing ability extracted from international market growth. The research population consisting of 224 Australian companies investigates and examines structural equation modeling (SEM), which considered as a conceptual model of Internet marketing capabilities and international market growth. The findings showed that companies using Internet marketing capabilities profited with the losses of data uncertainty and enhanced capacity to improve international network capabilities. Besides, Internet marketing capabilities indirectly caused to international market growth as the company with a high level of international strategic direction and international network capabilities. Totally, Internet marketing capabilities increase the company’s capability to create other inner ability among the company, that in turn have a positive effect on the international market growth of the company. A study [14] explained through the world with digital changing to an increasingly vital source of competitive benefit in marketing. They showed problems regarding the findings of a study between conveniences populations of 777 marketing managers through the worlds. The findings of research shown that filling talent gaps set the organizational design and executing actionable metrics were the larger development opportunities for firms among sectors. A study [15] investigated the potential of Internet marketing for the growth of the international market. For this purpose, using the data of the companies of the export organization in Mazandaran province, there are 120 companies. The present research is applied in a targeted and survey type. Through descriptive indexes and inferential statistics, data analysis 94 that have a website has been studied over the years. The findings of the research indicate that there is a meaningful relation between Internet marketing capability on the availability of strategic direction information and international networking capabilities. In [16], the study focused on the effect of relationship digital marketing and customer satisfaction and trust on customer loyalty behavior of active tourism companies in the province of *Corresponding author (Hanifeh Manafzadeh). E-mail: p.manafzade@aftermail.ir ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13G http://TUENGR.COM/V10A/10A13G.pdf DOI: 10.14456/ITJEMAST.2019.171

Babol, Mazandaran province. A standard inventory consisting of 14 queries in 4 aspects was applied and divided between 300 samples as the statistical population of the research. Therefore, the analysis of relations between variables was analyzed using structural equation modeling using SPSS® and AMOS® software. The results indicated that relationship marketing affects both customer satisfaction and trust process. Customer satisfaction, independent variable, affected customer loyalty. Even car sales in Russia [17] needed a leeway for international market.

3. METHOD There are several methods for collecting data, and more than one method is often used to obtain information in research. This research data was gathered using field technique. The inventory was a vital method for data collection. The inventory is one of the powerful instruments for gathering data in descriptive research. A questionnaire tool was used to collect data. In this study, we are faced with a survey, as we examine the impact of the native features of the organization on the export performance of emerging markets. To examine the reliability of the inventory, the Cronbach's alpha was utilized. To this end, we designed a questionnaire for problem variables, including internet marketing capability, availability of information, business network relationships, and customer market growth, and provided to 213 experts. Then, after a descriptive analysis of respondents, we examined the variables' normalization. In this study, using descriptive and inferential statistics, LISREL software has been used for analyzing the data and testing the hypotheses. In descriptive statistics, the researcher actually describes the specimen in the study by collecting and summarizing the quantitative information obtained from the samples. In the inferential statistics, the researcher considers the one or more samples and uses statistical methods and models from the sample indicators or from the sample characteristics to determine the parameters and characteristics of the entire statistical society. In other words, using inferential statistics, the sample results are generalized to the entire statistical society, and the research without it is lacking scientific credibility.

3.1 CONCEPTUAL MODEL OF RESEARCH In this research, we intend to study the effect of digital marketing on the growth of international markets. So the conceptual model of research describe in Figure 1.

Figure 1: Conceptual model derived from the research of Bianchi and Mathews [11].

Hanifeh Manafzadeh, Zolaykha Manafzadeh

4. RESULT AND DISCUSSION 4.1 RELIABILITY OF THE QUESTIONNAIRE In order to assess the quality of the questionnaire and the desirability of its questions (reliability), Cronbach's alpha tests are considered, Considering the distribution of the questionnaire with 47 questions for a sample of 213 people, the collected data can be safely used as the computed Cronbach's alphas are more than 0.7, see Table 1. Table 1: Cronbach's Alpha Results (SPSS) Variable Digital marketing ability Availability of export information Business network relationships Export market growth

Questions 1-13 14-27 28-38 39-47

Cronbach's alpha 0.863 0.872 0.852 0.825

4.2 DATA NORMALITY To determine the normality of the data, we use the Kolmogorov-Smirnov test (K-S). This test was performed at a significant level of 0.05. If the value of sig or the p-value of this test is less than or equal to 0.05, the assumption of the normality of the data is rejected. The results of this test are reported in Table 2. Table 2: Results of normality of data from the Kolmogorov-Smirnov (K-S) Test (n=213). Variable Digital marketing ability Availability of export information Business network relationships Export market growth

Average 2.65

SD 0.70

K-S 0.78

Sig. level 0.125

Normality Normal

2.12

0.85

0.79

0.189

Normal

2.33

0.98

1.01

0.036

Normal

2.85

0.80

2.54

0.114

Normal

Since the significance level of all variables is greater than 0.05, the data is normal.

4.3 RESULT OF HYPOTHESES TESTING Table 3, given that factor, loads should be between 0 and 1, according to the results obtained from the table 3 and mean, SD and t-value graph, we can conclude that mean, SD values are the factor loads between 0 to 1 fields can well explain the relevant variables. If the values for standard tests and M are between 0 and 0.3, then the weak correlation is between 0.3 and 0.6, and the correlation is moderate and if there is between 0.6 and 1, there is a good correlation between the data. The impact of digital marketing on international companies is part of the growing body of knowledge in the international marketing and business sector. But despite extensive experience examining the impact of digital marketing on internationalization and its potential for foreign customer access, there is an incomplete understanding of the complex relationships between digitalization of international companies and the functioning of international markets. While recent research has identified and investigated the potential relationship between the *Corresponding author (Hanifeh Manafzadeh). E-mail: p.manafzade@aftermail.ir ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13G http://TUENGR.COM/V10A/10A13G.pdf DOI: 10.14456/ITJEMAST.2019.171

Internet and export outs, there has been limited research in analyzing the effects of digital marketing on the performance of online markets. As the Internet's special role in the direction of the internet market, as well as the Internet evaluation, has been ignored as the driving force behind the international performance of companies. Therefore, this study attempted to analyze the effect of digital marketing on the development of online markets. Table 3: Research hypotheses. Hypotheses Digital marketing ability→ Export market growth

Mean 0.27

SD 0.56

t-value 3.65

Results Confirmed

Availability of export information →Export market growth

0.7

0.34

1.8

Confirmed

Digital marketing ability → Availability of export information

0.71

0.67

8.21

Confirmed

Business Network Relationships →Export market growth

0.71

0.54

4.80

Confirmed

Digital marketing ability →Business Network Relationships

0.11

0.42

2.81

Confirmed

Availability of export information →Business Network Relationships

0.57

0.69

4.38

Confirmed

We examined the demographic characteristics of the respondents and according to the demographic characteristics: in the age group: 11% of respondents between the ages of 21 - 25, 22% of respondents between the ages of 26-30, 34% between 31-35, 25% of 36-40 years, and 8% has above 41 years of age. In education: 10% of the respondents were diplomas and lower, 13% of the respondents received an associate degree, 42% of respondents were bachelors and 35% of respondents were masters and higher. 25% under 5 years of age, 23% between 6-10 years, 23% 11-15 years, 18% between 16-20 years 11% more than 21 years. 40% of the sexes were female and 60% had male gender. We then examined these hypotheses using the structural equation model in LISREL. According to the results, all the hypotheses were confirmed. The first hypothesis: digital marketing capabilities have significant effects on the growth of the export market. Given the fact that the t-value test statistic is 3.65 and more than 1.96, the hypothesis is confirmed. Also, the value of the estimate and standard test statistic is ranged 0.3 and 0.6, so it is acceptable. The second hypothesis: the availability of export information has significant effects on the growth of the export market. Given the fact that the t-value test statistic is 1.8 and more than 1.96, the hypothesis is confirmed. Also, the value for the standard test statistic is 0.34 and ranged 0 and 0.3, so it is acceptable. The value of the estimate test statistic is 0.7 and ranged 0.6 and 0.1, so its value is desirable. The third Hypothesis: Digital marketing capabilities have a positive relationship with the availability of export information. Given that the t-value test statistic is 8.21 and more than 1.96, the hypothesis is confirmed. Also, the value of the standard test statistic is 0.67 and more than 0.4, so it is desirable. The value of the estimate test statistic is 0.71 and ranged from 0.6 to 1, so it is desirable. The fourth hypothesis: business network relationships have significant effects on the growth of

Hanifeh Manafzadeh, Zolaykha Manafzadeh

the export market. Given the fact that the t-value test statistic is 4.80 and more than 1.96, the hypothesis is confirmed. Also, the value of the standard test statistic is 0.54 and more than 0.4 and is between 0.6 and 1, so it is desirable. The value of the test estimate statistic is 0.71 and ranged from 0.6 to 1, so it is desirable. The fifth hypothesis: Internet marketing capability has significant effects on business network relationships. Given the fact that the t-value test statistic is 2.81 and more than 1.96, the hypothesis is confirmed. Also, the value for the standard test statistic is 0.42 and ranged from 0.3 to 0.6, so it is acceptable. The value of the test statistic is 0.11 and between 0.2 and 0.3, so its value is desirable. The sixth hypothesis: The availability of export information has significant effects on business network relationships. Given the fact that the t-value test statistic is 4.38 and more than 1.96, the hypothesis is confirmed. Also, the value for the standard test statistic is 0.69 and ranged from 0.3 to 0.6, so it is acceptable. The value of the test estimate is 0.57 and ranged 0.2 and 0.3, so its value is desirable. We designed a questionnaire for problem variables, including internet marketing capability, availability of information, business network relations, and the growth of the customer export market, and provided 213 experts.

5. CONCLUSION The impact of digital marketing on international companies is section of the growing body of understanding in the international marketing and business sector. But despite extensive experience examining the impact of digital marketing on internationalization and its potential for foreign customer access, there is an incomplete understanding of the complex relationships between digitalization of international companies and the functioning of international markets. While recent research has identified and investigated the potential relationship between the Internet and export outs, there has been limited research in analyzing the effects of digital marketing on the performance of online markets. As the digital marketing special role in the direction of the internet market, as well as the Internet evaluation, has been ignored as the driving force behind the international performance of companies. Therefore, this study attempted to analyze the effect of Internet marketing on the development of online markets. To this end, we designed a questionnaire for problem variables, including digital marketing capability, availability of information, business network relations, and the growth of the customer export market, and provided to 213 experts. The research results showed that digital marketing capabilities have significant effects on the growth of the export market. The availability of export information has significant effects on the growth of the export market. Digital marketing capabilities have significant effects on the availability of export information. Business network relationships have significant effects on the growth of the export market. The availability of export information has significant effects on business network relationships. The availability of export information has significant effects on business network relationships. It is suggested that this research be done in other companies active in the field of digital marketing and Internet markets and the results related to it are compared with the results of this research, because each organization and company need to know the exact customer and maintain it. *Corresponding author (Hanifeh Manafzadeh). E-mail: p.manafzade@aftermail.ir ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13G http://TUENGR.COM/V10A/10A13G.pdf DOI: 10.14456/ITJEMAST.2019.171

It is suggested that this research be done in other companies active in the field of digital marketing and Internet markets and sales, and its results will be compared with the results of this research because each organization and company need to customer’s accurate know and keep the customers.

6. AVAILABILITY OF DATA AND MATERIAL The used or generated data in this study is available by request to the corresponding author.

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Hanifeh Manafzadeh, Zolaykha Manafzadeh

[14] Peter S.H. Leeflang, Peter C. Verhoef, Peter Dahlström, Tjark Freundt. (2014). Challenges and solutions for marketing in the digital era. European Management Journal. 32: 1–12 [15] Sorayae, Ali and Maryam Azizi. (2016). The Impact of Internet Marketing Capacity on International Marketing Components. Second International Conference on Accounting and Management in the Third Millennium, Rasht, Rasht Municipality, Mirza Kuchma University of Technology. https: // www .civilica.com / Paper-AMTM02-AMTM02_129.html [16] Mohammadi Gol Afshani, Shabahang. (2016). The Effect of Relationship Marketing and Blend of Customer Satisfaction and Trust on Customer Loyalty Behavior Case Study: Customers of Active Tourism Companies, Second International Conference on Management and Information Technology, Tehran. [17] Gusev, S. A., Omelchenko, S. V., Panova, T. E., & Prokudin, D. A. (2018). Analysis of the Prospects of the New Cars Sales Market Development in Russia. International Transaction Journal of Engineering Management & Applied Sciences & Technologies, 9(5), 393-400.

Hanifeh Manafzadeh is a Graduate student at the Department of Management, Rasht Branch, Islamic Azad University, Rasht, Iran. His researches are Marketing Management.

Zolaykha Manafzadeh is a Graduate student at the Department of Management, Rasht Branch, Islamic Azad University, Rasht, Iran. Her research is in Modern Marketing and Management.

Trademarks Disclaimer: All product names including trademarks™ or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. The use of them does not imply any endorsement or affiliation.

*Corresponding author (Hanifeh Manafzadeh). E-mail: p.manafzade@aftermail.ir ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13G http://TUENGR.COM/V10A/10A13G.pdf DOI: 10.14456/ITJEMAST.2019.171

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 10A13H

A GAME THEORETIC APPROACH FOR ENERGY OPTIMIZATION IN CLUSTERED WIRELESS AD HOC SENSOR NETWORKS Asad Saleem

a,c,d*

, Malik Asfandyar , Hasan Mahmood

Key Laboratory of Specialty Fiber Optics and Optical Access Networks, Joint International Research Laboratory of Specialty Fiber Optics and Advanced Communication, Shanghai Institute for Advanced Communication and Data Science, Shanghai University, 200444, Shanghai, CHINA. b School of Automation and Electrical Engineering Beihang University of Aerospace and Aeronautics (BUAA), 100083, Beijing, CHINA. c Shenzhen Key Laboratory of Antennas and Propagation, College of Electronics and Information Engineering, Shenzhen University, 518060, Shenzhen, CHINA. d Department of Electronics, Quaid-i-Azam University, Islamabad, 45320, PAKISTAN. ARTICLEINFO

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Article history: Received 09 May 2019 Received in revised form 19 June 2019 Accepted 24 July 2019 Available online 10 August 2019

In this paper, our objective is to use the game-theoretic approach for clustered wireless ad-hoc networks to optimize system lifetime. Game theory (GT) has been exploited in the domain of biology and economics, but lately it is applied in routing and packet forwarding in Wireless Ad hoc Networks (WANETs). However, the clustering topic, concerned with self-directedness of sensor nodes into big groups, has not been examined under this model. Distance-based Clustered Routing For Selfish Sensors (D-CROSS) protocol assists in accomplishing energy conservation where every single sensor node is nominated as cluster head (CH) with zero probability rule (ZPR). Our analysis follows the non-cooperative game theoretic approach where each sensor node selfishly plays and tries to preserve its own energy and maximize its lifetime. We demonstrate here the Nash Equilibrium for mixed and pure strategies and anticipated payoffs. The comparison of the D-CROSS protocol with the Low Energy Adaptive Clustering Hierarchy (LEACH) protocol through simulations demonstrates that D-CROSS achieves improved performance in terms of network lifetime.

Keywords: Ad hoc networks; Clustering Schemes; Game Theory; WANET; Network Lifetime; D-CROSS; ZPR; LEACH.

1. INTRODUCTION Wireless Ad hoc Network (WANET) is basically a distributed network and it does not depend upon pre-existing infrastructure. Each such network consists of nodes with an external or internal antenna, radio transceiver, and battery. Each node is responsible for routing by packet forwarding. *Corresponding author (A.Saleem, H.Mahmood). E-mail: asadalvi64@yahoo.com, hasan@qau.edu.pk ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13H http://TUENGR.COM/V10A/10A13H.pdf DOI: 10.14456/ITJEMAST.2019.172

Sensor nodes may extend from few to thousands. Due to decentralized nature, WANET is used in emergency conditions such as natural disasters, temperature sensing, sound sensing, and military conflicts. Sensor nodes are normally trivial, autonomous, cheaper, and battery efficient, but they have limited energy capacity. So there is a decent energy-efficient mechanism required for long-lasting battery efficiency (Tong, Jiyi, He, Jinghua, & Munyabugingo, 2013; Das & Pal, 2019). Sensor nodes may extend from few to large numbers, so there is a need for predefined mechanism to enhance the performance of network. The clustering technique (Ye, Li, Chen, & Wu, 2005; Kumari, Singh, & Aggarwal, 2019) is a good way to enhance the battery power and for improving the network's lifetime. Network lifetime (NL) is an essential element in WANETs. Network lifetime is demonstrated as the lifetime of the individual node among all others who discharges its 99.9% energy. Once the sensing task is completed then the further data is transformed to the main center, which executes next tasks. Game theory (Koltsidas & Pavlidou, 2008) is an emerging field and it is used as a tool in ad hoc networks. It has so many applications in economy, biology and mathematics, and networking fields. Game theory is characterized by number of players, some strategies, and the Nash Equilibrium (NE) which is a substantial factor in GT. In (Tan et al., 2018), Repeated Game in Small World Networks (RGSWN) framework was proposed by scheming a robust and efficient ad hoc network. Initially, WANET with trivial-worldwide characteristics was assembled by forming ‘‘communication shortcuts’’ within multiple-radio sensor nodes. The path length decreases through averaged accelerating times in-network; in the meantime high clustering coefficients enhance network robustness. Many algorithms for network lifetime improvement have been discussed so far. In direct communication, data or information from transmitter to receiver reaches using single link. Sensor nodes deliver this information to the receiver or sink directly without any relay or intermediate node (Félegyházi, Buttyán, & Hubaux, 2003; Felegyhazi, Hubaux, & Buttyan, 2006; Nurmi, 2004). In some cases, sink is located far away from transmitter so this causes early battery drainage for nodes that have to deliver information directly to the sink, so this causes poor network lifetime. This issue can be solved if data is transmitted with high power or sink is located near to transmitter. In (Baker et al., 2018), game theory was used in WSNs to expand the energy proficiency of a network lifetime. Game theory is always appropriate for such complications as it is used for network-level or node to boost the decision-making competences of WSNs. Many power-efficient algorithms use relay nodes to transfer data from transmitter to destination (Stojmenovic & Lin, 2001; Rodoplu & Meng, 1999). The route selection method of these protocols is different from each other. By using intermediate nodes in MinimumTransmission Energy (MTE) causes battery drainage efficiency. In (Rai & Rai, 2019), a two-stage cooperative (TSC) communication model was considered and the main helper was inserted to handle the cooperation from helping set. Afterward, the two-stage link cost function was articulated under such circumstances where the magnitude of residual energy was presented to use for numerous strategy goals. However, the literature conveys different studies about conventional energy-efficient systems but several of these researches have deficiency of clustering based efficient ad hoc networks for an efficient network lifetime. In this paper, Distance-based Clustered Routing For Selfish Sensors (D-CROSS) protocol was

Asad Saleem, Malik Asfandyar, Hasan Mahmood

proposed to improve the ad hoc network lifespan. The cluster head (CH) was selected based on clustering game and Zero Probability Rule (ZPR) was considered for selection of each sensor node as CH. We compared the relation of D-CROSS and LEACH protocol for lifetime under such situation, where the number of nodes is not constant. We have found that D-CROSS have better performance than LEACH protocol for WLANs. The rest of the paper is structured as follows. Section II defines the radio model and energy dissipation. The game-theoretical approach and selection of CH methodology are demonstrated in section III. Section IV deals with the results and simulations for D-CROSS model and section V illustrates the conclusion.

2. RADIO MODEL AND ENERGY DISSIPATION Radio model consists of energy dissipation on the receiver and transmitter side (Heinzelman, Chandrakasan, & Balakrishnan, 2000). For radio model, e elec = 50nJ/bit is taken into account for 2

transmitter and for receiver side. Moreover, eamp2 = 10pJ/bit/m is considered for this model. While eamp4 = 0.0013pJ/bit/message are taken into account. These assumptions are taken into account for adjusting signal to noise ratio Eb=No to its acceptable level. ET x-amp2(I， S) = I

amp2

*𝑆𝛽 , where I

represents packets length, S represents distance between transmitter to the receiver and β=2 for free space model. Following （1） shows energy dissipation of transmitter amplifier an（2）shows total energy dissipation on transmitter side. 𝐸𝑇𝑥−𝑎𝑚𝑝 (𝐼, 𝑆) = 𝐼 ∗ 𝑒𝑎𝑚𝑝2 ∗ 𝑆 2 𝐸𝑖,𝐶𝐻𝑖 = 𝐼 ∗ 𝑒𝑒𝑙𝑒𝑐 + 𝐼 ∗ 𝑒𝑎𝑚𝑝2 ∗ 𝑆 2

（1) （2）

whereas (3) represents energy dissipation on the receiver side. The simple radio model is illustrated in Figure1. （3）

𝐸𝑟𝑥 (𝑆) = 𝐼 ∗ 𝑒𝑒𝑙𝑒𝑐

Figure 1: The Radio Model. *Corresponding author (A.Saleem, H.Mahmood). E-mail: asadalvi64@yahoo.com, hasan@qau.edu.pk ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13H http://TUENGR.COM/V10A/10A13H.pdf DOI: 10.14456/ITJEMAST.2019.172

The route selection method of these protocols is different from each other. By using intermediate nodes in Minimum Transmission Energy (MTE) causes battery drainage efficiency. If we have three nodes as presented in Figure 2 (a), then transmission from sensor node A to sensor node C by using intermediate sensor node B can be done by fulfilling given conditions as given in (4) and (5) 𝐸𝑇𝑥𝑥−𝑎𝑚𝑝 (𝐼, 𝑆 = 𝑆𝐴𝐵 ) + 𝐸𝑇𝑥𝑥−𝑎𝑚𝑝(𝐼, 𝑆 = 𝑆𝐵𝐶 ) < 𝐸𝑇𝑥𝑥−𝑎𝑚𝑝(𝐼, 𝑆 = 𝑆𝐴𝐶 )

（4）

2 2 2 𝑆𝐴𝐵 + 𝑆𝐵𝐶 < 𝑆𝐴𝐶

（5）

n nodes

Base Station

A B C

Figure 2: The transmission from A to C by using B (a), the Linear model (b) In the MTE routing protocol, data packets traverse through n nodes. As a result, there are n transmissions and n-1 receptions. Figure2 (b) illustrates Linear Network where r is distance between two consecutive nodes. In direct transmission, energy expenditure of a single I bit message from one node to base station is elaborated from (6), where nr is defined as the distance between receiver (Rx) and transmitter (Tx). （6）

𝐸𝑑𝑖𝑟𝑒𝑐𝑡 = 𝐸𝑇𝑥 (𝐼, 𝑆 = 𝑛 ∗ 𝑟) 𝐸𝑑𝑖𝑟𝑒𝑐𝑡 = 𝐼 ∗ 𝑒𝑒𝑙𝑒𝑐 + 𝐼 ∗ 𝑒𝑎𝑚𝑝2 ∗ (𝑛𝑟 )2 𝐸𝑑𝑖𝑟𝑒𝑐𝑡 = 𝐼 (𝑒𝑒𝑙𝑒𝑐 + 𝑒𝑎𝑚𝑝2 ∗ (𝑛𝑟 )2 )

（7）（8）

Energy expenditure in MTE routing protocol for 𝑛 transmitters and 𝑛 − 1 receptions is given as 𝐸𝑀𝑇𝐸 = 𝑛 ∗ 𝐸𝑇𝑥 (𝐼, 𝑆 = 𝑟 ) + (𝑛 − 1) ∗ 𝐸𝑟𝑥 (𝐼)

（9）

𝐸𝑀𝑇𝐸 = 𝑛 ∗ (𝑒𝑒𝑙𝑒𝑐 ∗ 𝐼 + 𝑒𝑎𝑚𝑝2 ∗ 𝐼 ∗ 𝑟 2 ) + (𝑛 − 1) ∗ 𝐸𝑟𝑥 ∗ 𝐼

（10）

𝐸𝑀𝑇𝐸 = 𝐼 ((2𝑛 − 1) ∗ 𝑒𝑒𝑙𝑒𝑐 + 𝑒𝑎𝑚𝑝2 ∗ 𝑛 ∗ 𝑟 2 )

（11）

Energy expenditure of MTE routing protocol should be less than that of direct communication protocol i.e., 𝐸𝑑𝑖𝑟𝑒𝑐𝑡 < 𝐸𝑀𝑇𝐸

Asad Saleem, Malik Asfandyar, Hasan Mahmood

(12),

𝐼 ∗ 𝑒𝑒𝑙𝑒𝑐 + 𝐼 ∗ 𝑒𝑎𝑚𝑝2 ∗ (𝑛𝑟 )2 < 𝐼 ((2𝑛 − 1) ∗ 𝑒𝑒𝑙𝑒𝑐 + 𝑒𝑎𝑚𝑝2 ∗ 𝑛 ∗ 𝑟 2 ) （13）, 𝑒𝑒𝑙𝑒𝑐 𝑒𝑎𝑚𝑝2

𝑛𝑟 2 2

(14).

Energy-efficient protocols depend upon distribution of nodes (Poe & Schmitt, 2009)and network topology. The clustering protocol is practiced for energy efficiency in WANETs. Nodes are organized in a specific pattern and they form a cluster. All nodes elect CH among themselves and CH is creditworthy for accumulating the information of all other nodes. Ordinary nodes deliver their information to CH of group, and afterward the CH sends the received data to the base station. Clustering is recognized as an energy proficient technique when compared to the direct communication in WANETs.

3. METHODOLOGY Wireless sensor networks contain small and sensing nodes that are energy efficient. Communication among these nodes and sink is held due to wireless signals. These networks are gaining popularity due to their use in different atmospheres such as sensing (Michiardi & Molva, 2002) or military applications. The main objective of this sensor network is to improve the lifetime of network. The game theory approach is utilized for decision making capability in wireless ad hoc networks to optimize node level as well as network-level performance.

3.1 GAME THEORETICAL APPROACH Game theory (Agah, Das, & Basu, 2004) is a theory of decision making under certain conditions and it tries mathematically to understand the performance in strategic circumstances, where each player makes it choice based on other player strategies. It is well-defined as the mathematical practice for designing, predicting and understanding the outcomes of game. Game theory is determined by the number of nodes or players (2 or more), expected to be intelligent, smart, and rational, that interrelate with others by selecting numerous actions, on the basis of their assigned preferences. In game theory, Nash Equilibrium (NE) has much importance and it can be explained as a strategy in game theory where each and every node adopts some specific strategy which they are willing to change in near future. NE for a single time game is different from a repeated game. Low cost, high sensing abilities, and network lifetime improvement are desirable features in wireless ad hoc networks. These features create new areas of applications like monitoring, sensing, and tracking. Game theory is further divided into two types: 1-Noncooperative Games 2-Cooperative Game In Noncooperative games, each player wants to defeat its opponent player by choosing some strategies from strategic space. Each player wants to maximize its own payoff by reducing the cost of transmitting the data packets. Noncooperative games are further divided into two types such as static games and dynamic games. In static games, each player makes its strategy choice simultaneously without any knowledge of other player choices. These games are normally represented diagrammatically using game table. In dynamic games, each player knows the moves played by another player and they have historic knowledge of this game. These games are normally *Corresponding author (A.Saleem, H.Mahmood). E-mail: asadalvi64@yahoo.com, hasan@qau.edu.pk ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13H http://TUENGR.COM/V10A/10A13H.pdf DOI: 10.14456/ITJEMAST.2019.172

represented by game trees. Here Nash equilibrium can be found by forwarding induction or through backward induction. In Cooperative games (Cheng, Gao, Zhang, & Yang, 2019), utility depends upon the strategies of all players in the coalition. Cooperative games describe the outcomes of game only when players play together for overall system payoff improvement. The group of cooperative players is called coalition. The overall goal of this game is to establish such algorithm so no player has any benefit from deviating this strategy. In coalition games (N, v), where N shows number of players participating in coalition game and v is the utility of coalition game. Repeated games may introduce new equilibrium points and this can force players to play cooperatively. Super Additivity Rule fulfills here which explains that payoff of coalition players is always greater than the sum of individual player payoff such as 𝑣 (𝑆1 𝑈 𝑆2 ) ≥ 𝑣 (𝑆1 ) + 𝑣 (𝑆2 )

(15),

where 𝑆1 and 𝑆2 are basically the coalition structure, 𝑣 (𝑆1 ) and 𝑣 (𝑆2 ) are the separate payoff, and 𝑣 (𝑆1 𝑈 𝑆2 ) is joint payoff. Game theory has many applications in the field of economics, biology, engineering, computer science and WANETS (Srivastava et al., 2005).

3.2 DISTANCE-BASED CLUSTERED ROUTING FOR SELFISH SENSORS (D-CROSS) The D-CROSS routing protocol is basically a non-cooperative game approach in game theory. All sensor nodes behave selfishly here and try to improve their lifespan individually. Each node tries to conserve its energy by refusing the data delivery and hopes that other nodes will perform this task. Nodes are demonstrated as players and they join a clustering game to initiate a campaign for CH selection with the same probability. Global knowledge of player’s location and how many players are taking part in clustering game should be clear to every other node. D-CROSS shows performance better to the popular clustering algorithm (LEACH). D-CROSS routing protocol comprises two phases which are named as set-up phase and steady-state phase. First phase deals with the realization of cluster, selection of CH, broadcasting the signal of CH declaration and scheduling the TDMA based frames for every node. The second phase deals with the data transmission among ordinary nodes to CH and CH to sink. In D-CROSS, the CH selection scenario is revealed as the clustering game well-defined by CG = (N, S, U), where the N is total number of nodes in the WANET, S= {𝑆𝑖 } are the useable strategies to every player or node and U is the utility function. S = (D, N D) is the available strategy space to each player where D stands for declaring itself cluster head and N D stands for not declaring itself cluster head. If both players decide not to declare themselves as cluster head then payoff of each player will be zero. If player A decides itself as member of CH and player B choose N D then player B payoff will be v and player A payoff will be v-c where c stands for cost and vice versa for opposite strategy. Strategy S = (D, N D) and S = (N D, D) both are Nash Equilibrium strategies for this game model. Table 1 depicts the all available payoffs and strategies for all players. Table 1: The payoffs and strategies for 2 players clustering game.

𝑷𝒍𝒂𝒚𝒆𝒓 𝑩

𝐷𝑒𝑐𝑙𝑎𝑟𝑒 𝑁𝑜𝑡 𝐷𝑒𝑐𝑙𝑎𝑟𝑒

Asad Saleem, Malik Asfandyar, Hasan Mahmood

𝑷𝒍𝒂𝒚𝒆𝒓 𝑨 𝐷𝑒𝑐𝑙𝑎𝑟𝑒 𝑁𝑜𝑡 𝐷𝑒𝑐𝑙𝑎𝑟𝑒 (𝑣 − 𝑐, 𝑣 − 𝑐) (𝑣 − 𝑐, 𝑣) (𝑣, 𝑣 − 𝑐) (0, 0)

Cost (c) basically represents the energy expenditure in data delivery from an ordinary node to CH or from CH to base station. Parameter c depends upon three factors data size, total amount of packets acknowledged, and distance among transmitting node to receiving node (Koltsidas & Pavlidou, 2008). The probability of announcing themselves as a CH is p and probability for not declaring themselves as CH is q = 1-p. Probability of declaring itself CH has the following formula 𝑷 = 𝟏 − (𝒄/𝒗)

𝟏 𝑵−𝟏

(16),

𝑐

whereas 𝜔 = ≤ 1. Equilibrium probability p will never exceed more than 1. Probability p 𝑣

decreases as the number of players fall which means nodes become less cooperative as total number of nodes increase. Let’s take another case where only one node declares itself as cluster head then probability p can be explained as 𝑃𝐴 = 1 − (𝑐/𝑣 )

𝑁 𝑁−1

(17).

Probability 𝑃 and 𝑃𝐴 both will be the same only when there is only one player left in the game. For N = 2, 𝑝 = 1 − 𝜔, and𝑃𝐴 = 1 − 𝜔 2 . Each sensor node or player that has already assisted as CH, the probability remains zero until all neighboring nodes have assisted as CH. Afterward, it approaches again to the usual mode of probability (p) computation. In ZPR, the node which has served as cluster head will never deviate from this probability because no one will be willing to declare itself cluster head more than one time till all nodes selected as cluster head as this causes payoff reduction. So there is no need to enforce the cooperative behavior to each node, and the cooperation comes up naturally from the rules of game.

3.3 ENERGY CONSUMPTION A sensor node whenever it is willing to send the K bit packet or data to an alternative sensor node then energy consumes in two ways. Firstly, energy consumes in transmitter side of electronic circuitry denoted by eelec. Secondly some part of energy consumes in amplifying the signal power so receiver can collect that data denoted as eamp according to (Younis & Fahmy, 2004). Some parts of energy consume in data delivery from transmitter to cluster head, some part of energy consumes in data transmission from CH to base station and some part of energy consumes in receiving the packets. Energy consumption in data delivery from ordinary node to cluster head can be represented from this formula 2 ) 𝐸𝑖,𝐶𝐻𝑖 = 𝐾 ∗ (𝑒𝑒𝑙𝑒𝑐 + 𝑒𝑎𝑚𝑝2 ∗ 𝑑𝑖,𝐶𝐻 𝑖

(18).

The energy consumption in data transmission from CH to a particular base station can be represented as 4 ) 𝐸 𝐶𝐻,𝑠𝑖𝑛𝑘 = 𝐾 ∗ (𝑒𝑒𝑙𝑒𝑐 + 𝑒𝑎𝑚𝑝4 ∗ 𝑑𝐶𝐻,𝑠𝑖𝑛𝑘

where eamp2 is square law distance attenuation and eamp4 Cost function has the following relationship

(19), is fourth power distance attenuation.

*Corresponding author (A.Saleem, H.Mahmood). E-mail: asadalvi64@yahoo.com, hasan@qau.edu.pk ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13H http://TUENGR.COM/V10A/10A13H.pdf DOI: 10.14456/ITJEMAST.2019.172

𝑐 = 𝑁𝑢 ∗ 𝐸𝑟𝑥 + 𝐸𝑎𝑔𝑔𝑟 + 𝐸 𝐶𝐻,𝑠𝑖𝑛𝑘 > 𝐸𝑖,𝐶𝐻𝑖 = 𝛿

(20),

where 𝑁𝑢 is the neighboring node and this is the case where cost is constant. Take a new case when the cost function relies on the number of players or the total number of self-elected cluster heads. So cost can be represented as 𝑐=

𝑁 𝑁𝐶𝐻

𝑐1

(21).

The above expression shows that when the total number of nodes or players increases then the cost function increases relatively or with the addition of the number of cluster heads, cost function reduces. The expression for the cost function for the expected number of CH’s is given as 𝑐 = 𝑐(𝑝) =

𝑁 𝑁𝑝

𝑐1 =

𝑐1

(22)

𝑝

For the association of the expected payoff of declaring itself as CH and not declaring the cluster head, we have the following expression 𝑣 − 𝑐(𝑝) = 𝑣. (1 − (1 − 𝑝) 𝑁−1 )

(23),

𝑐(𝑝) = 𝑣. (1 − 𝑝) 𝑁−1 𝑐1 𝑝

(24),

= 𝑣. (1 − 𝑝) 𝑁−1

(25),

or 𝑐1 𝑣

= 𝑝. (1 − 𝑝)𝑁−1

The maximum value of the above expression is 0.25 when N = 2. Hence if

(26). 𝑐1 𝑣

< 1/4 then the

benefit of delivering the packets is so large that no one player will try to play non-cooperatively. So all players declare themselves as CH, no matter what other players decide their strategy. In response to the increment of cost function value, the probability decreases as the number of players increase.

4. RESULT AND DISCUSSION The transmission and communication capability for a long time of all sensor nodes with other sensor nodes depends upon the battery efficiency. Sometimes there exists a large distance between transmitter and receiver nodes which causes battery drainage very quickly. Mostly sensor nodes behave selfishly and they don’t want to transmit the data packets for other nodes which cause the packets or information loss, so there is a need for cooperation from all nodes under all circumstances. Nodes that cooperate form groups and they choose a group leader among themselves for a given round which proceeds towards the battery efficiency. The group leader or CH is responsible for message transmission between ordinary node to sink (receiver). The MATLAB software was used for execution of theoretical results. The graphical representation of probability of declaring itself as cluster head is shown in Figure 3. After the increment of number of nodes (N), the probability of declaring itself as cluster head reduces. For higher value of 𝜔, the probability of declaring itself as group leader is found as minimum.

Asad Saleem, Malik Asfandyar, Hasan Mahmood

Figure 3: The Probability of declaring itself as Cluster head Mostly all nodes do not declare themselves as cluster heads so the network can face a condition when only one node plays cooperatively. The probability when at least single node out of all announces itself as CH is given as ,

𝑐

1 𝑁−1

𝑝 =1−( ) 𝑁𝑣

(27).

The probability of only one node declaring itself as cluster head is different from the probability of each node declaring itself as CH, as given below in Figure 4.

Figure 4: The Probability of at least one node declaring itself as cluster head.

Simulation for a lifetime is conducted in an area of 50 x 50 where N = 100 sensor nodes are placed randomly. The sink was positioned at (25, 125). Initially, the total energy for entire nodes was fixed as Einit = 0.5, however the data packets had a fixed value of 𝑘 = 2000. The path loss (PL) exponent for lower range transmission among two nodes was 2 and for long-range transmission was 4. The average clusters per round were 5% which proposes that after every 20 rounds, all sensor nodes must have served as CH only once. The parameters for consumption of energy are shown in following Table 2.

Table 2: The assumptions for Energy-related parameters. 1 2 3 4

𝑒𝑒𝑙𝑒𝑐 𝑒𝑎𝑚𝑝2 𝑒𝑎𝑚𝑝4 𝑒𝑓𝑢𝑠𝑒

50nJ/bit 10 pJ/bit/m2 0.0013 pJ/bit/m4 5 nJ/bit/message

The results for numerous cases of 𝜔 are shown in Figure 5, and it is clear that the curve for the LEACH protocol is exhibiting a straight line which further explains its independency from the parameter 𝜔. D-CROSS protocol acquires better performance than LEACH in almost all cases except at 𝜔 = 0.05. At 𝜔 = 0.05 D-CROSS seems to acquire maximum lifetime value. It is generally observed that the selfishness of the sensor nodes leads to a better performance than the LEACH.

Figure 5: The Network lifetime for D-CROSS under different values of 𝜔 and comparison with LEACH. For explaining the performance of D-CROSS protocols in more detail, the integral value of alive sensor nodes through the passage of rounds is shown below (see the Figure6). We consider only two values of D-CROSS protocol such as 𝜔 = 0.1 and 𝜔 = 0.9, and afterward, compare these values with LEACH. It is essential to notice that integral value of alive nodes reduces to zero after 2065 for LEACH protocol but at the same instant, the number of alive nodes for both cases in D-CROSS is greater than 50 %, and as a result it proves the feasibility of our proposed D-CROSS protocol.

Figure 6: The Number of nodes alive versus a number of rounds for 𝜔 = 0.1 and 𝜔 = 0.9 for D-CROSS and comparison with LEACH.

Asad Saleem, Malik Asfandyar, Hasan Mahmood

Now we are interested in discussing the relation of D-CROSS and LEACH protocol for a lifetime when the numbers of nodes are not constant. We distributed the CROSS algorithm into two types such as D-CROSS1 and D-CROSS2, where D-CROSS1 deals with the equilibrium probability for cluster head declaration and D-CROSS2 deals with probability which maximize the payoff. The energy values are considered the same as explained before, but in this case we increase the node deployment area from 50 x 50 to 100 x 100. The percentage of nodes declaring themselves as cluster head for LEACH is taken as 5 %, and for D-CROSS1 and D-CROSS2 the parameter 𝜔 is fixed as 0.5. We varied the nodes from 60 to 150 to measure the required results. It is clear that D-CROSS2 performs better results than D-CROSS1 due to more suitable value of self-declaring probability and D-CROSS1 outperforms the LEACH protocol in network life. It is interesting to note that D-CROSS2 shows good results than LEACH when the number of nodes increases (see Figure7).

Figure 7: The network lifetime for LEACH, D-CROSS1, and D-CROSS2 for a different number of nodes.

5. CONCLUSION In this paper, we considered some measures for boosting the effectiveness of sensor nodes and to improve the network lifetime in wireless ad hoc sensor networks. Communication between the nodes is executed by means of a single-hop channel or by using a multi-hop channel. Minimum transmission power assures the improved network lifetime. D-CROSS deals with selection of CH, broadcasting the message of CH selection, and TDMA base frames allocation to each node for message transfer. By using the simulator, we have found that LEACH protocol is independent of the 𝜔 parameter, while the numbers of clusters in D-CROSS are dependent on the value of parameter𝜔. We emphasized on the effect of variation of number of CH per round and determined its impact on the network lifetime, the number of alive nodes, and maximum lifetime. The simulation results revealed that D-CROSS performs better than the LEACH protocol in almost every case. *Corresponding author (A.Saleem, H.Mahmood). E-mail: asadalvi64@yahoo.com, hasan@qau.edu.pk ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13H http://TUENGR.COM/V10A/10A13H.pdf DOI: 10.14456/ITJEMAST.2019.172

6. AVAILABILITY OF DATA AND MATERIAL The used or generated data in this study is available by request to the corresponding author.

7. REFERENCES Wang Tong, Wu Jiyi, Xu He, Zhu Jinghua, and Charles Munyabugingo. “A cross unequal clustering routing algorithm for sensor network”. In Measurement Science Review, 13(4): 200-205, 2013. Das, Sumanta, and Sarit Pal, "Analysis of Energy-Efficient Routing Protocols in Mobile Ad Hoc Network." In Advances in Computer, Communication and Control. Springer, Singapore, pp. 285-295, 2019. Mao Ye, Chengfa Li, Guihai Chen, and Jie Wu. Eecs, “An energy-efficient clustering scheme in wireless sensor networks”. In Performance, Computing, and Communications Conference, 2005. IPCCC 2005. 24th IEEE International: pp. 535-540, 2005. Kumari, Parveen, Sugandha Singh, and Gaurav Aggarwal. "Energy Efficiency Analysis of Cluster-Based Routing in MANET." In Intelligent Communication Technologies and Virtual Mobile Networks, Springer, Cham: pp. 460-469, 2019. Georgios Koltsidas and Fotini-Niovi Pavlidou, “Towards a game-theoretic formulation of clustering routing in wireless sensor networks”. In Proceedings of the 3rd International Conference on Performance Evaluation Methodologies and Tools, page 10. ICST (Institute for Computer Sciences, Social- Informatics and Telecommunications Engineering), 2008. Tan, Mian, et al. "A game-theoretic approach to optimize ad hoc networks inspired by small-world network topology." In Physica A: Statistical Mechanics and its Applications 494 : pp.129-139, 2018. Mark Felegyhazi, Levente Buttyan, and Jean-Pierre Hubaux, “Equilibrium analysis of packet forwarding strategies in wireless ad hoc networks the static case”. In Personal Wireless Communications: pp.776-789, 2003 Mark Felegyhazi, J-P Hubaux, and Levente Buttyan, “Nash equilibria of packet forwarding strategies in wireless ad hoc networks. Mobile Computing”, In IEEE Transactions on, 5(5):pp. 463-476, 2006. Petteri Nurmi, “Modelling routing in wireless ad hoc networks with dynamic bayesian games”. In Sensor and Ad Hoc Communications and Networks, 2004. IEEE SECON 2004. 2004 First Annual IEEE Communications Society Conference on: pp. 63-70, 2004. Baker, Thar, Jose M. García-Campos, Daniel Gutiérrez Reina, Sergio Toral, Hissam Tawfik, Dhiya Al-Jumeily, and Abir Hussain, "Greeaodv: an energy-efficient routing protocol for vehicular ad hoc networks." In International Conference on Intelligent Computing, Springer, pp. 670-681, 2018. Ivan Stojmenovic and Xu Lin, “Power-aware localized routing in wireless networks. Parallel and Distributed Systems”, In IEEE Transactions on, 12(11): pp. 1122-1133, 2001. Volkan Rodoplu and Teresa H Meng, “Minimum energy mobile wireless networks. Selected Areas in Communications”, In IEEE Journal on, 17(8): pp. 1333-1344, 1999. Rai R., Rai P, “Survey on Energy-Efficient Routing Protocols in Wireless Sensor Networks Using Game Theory”. In Advances in Communication, Cloud, and Big Data. Lecture Notes in Networks and Systems, Vol 31. Springer, Singapore, 2019. Wendi Rabiner Heinzelman, Anantha Chandrakasan, and Hari Balakrishnan, “Energy-efficient communication protocol for wireless micro sensor networks”. In System Sciences, 2000, Proceedings of the 33rd Annual Hawaii International Conference on, pp. 10-16, 2000.

Asad Saleem, Malik Asfandyar, Hasan Mahmood

Wint Yi Poe and Jens B Schmitt, “Node deployment in large wireless sensor net-works: coverage, energy consumption, and worst-case delay”. In Asian Internet Engineering Conference, pp.77-84, 2009. Pietro Michiardi and Re k Molva,.” Game theoretic analysis of security in mobile ad hoc networks”. In Technical report, 2002. Afrand Agah, Sajal K Das, and Kalyan Basu, “A game theory-based approach for security in wireless sensor networks”. In Performance, Computing, and Communications, 2004 IEEE International Conference on, pp. 259-263, 2004. Cheng, J., Gao, Y., Zhang, N., & Yang, "An Energy-Efficient Two-Stage Cooperative Routing Scheme in Wireless Multi-Hop Networks." In Sensors, 19(5): pp. 1002, 2019. Srivastava, V., Neel, J., MacKenzie, A. B., Menon, R., DaSilva, L. A., Hicks, J. E., and Gilles, R. P, “Using game theory to analyze wireless ad hoc networks”, In IEEE Communications Surveys and Tutorials, 7(4): pp. 46-56, 2005. Ossama Younis and Sonia Fahmy, “Distributed clustering in ad-hoc sensor net-works: A hybrid, energy-efficient approach”. In INFOCOM 2004. Twenty-third Annual Joint Conference of the IEEE Computer and Communications Societies, vol.1, 2004. Dr.Asad Saleem is a Post-doctoral fellow at College of Electronics and Information Engineering, Shenzhen University, Shenzhen, P.R.China. He has completed his Master degree from Quaid-iAzam University, Islamabad, Pakistan. He received his PhD degree from School of Communication and Information Engineering, Shanghai University, Shanghai, China. His research interests are Massive MIMO Systems, Wireless Ad hoc Networks, mmWAVE Channel, and Antenna Designing. Malik Asfandyar is currently doing a Ph.D. degree at School of Automation and Electrical Engineering from Beihang University of Aerospace and Aeronautics, China. His research interests are in the areas of Statistical Signal and Image Processing, Estimation, Detection, and Medical Signal, Business Data Analysis using CNN/RNN Models And Image Processing. Dr.Hasan Mahmood is an Associate Professor at the Department of Electronics, Quaid-i-Azam University, Islamabad, Pakistan. He had his M.Sc degree in Electrical Engineering/Communications Technology, from University of Ulm Ulm 89069, Germany. He received his PhD degree in Electrical Engineering, from Stevens Institute of Technology Castle Point on Hudson, Hoboken NJ 07030, USA. His research interests focus on Ad hoc Networks, Channel Coding, Computer Architecture, Game Theory, Information Theory and Wireless Networks.

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THE PRELIMINARY INVESTIGATION BODIES IN THE 1917-1930S, XX CENTURY IN SOVIET RUSSIA: DIRECTIONS OF MODERNIZATION Maxim Y. Fisakov a*, Olga A. Andreeva a a

Department of Theory and History of State and Law, Taganrog Institute of Management and Economics, Taganrog, RUSSIA. ARTICLEINFO

A B S T RA C T

Article history: Received 07 June 2019 Received in revised form 19 July 2019 Accepted 29 July 2019 Available online 10 August 2019

The relevance of the historical and legal analysis of the formation and activities of the preliminary investigation bodies in the 1917-1930S, XX Century allows us to understand the reasons for their modernization during the fierce class struggle for the establishment of Soviet power and its relationship with the changing realities of social and state development of that period. The article shows that the reorganization of the preliminary investigation during the Soviet period was evidence that reforms cannot be effective if they are not comprehensive and do not cover the entire law enforcement system.

Keywords: Preliminary investigation bodies; History of state; Soviet investigation bodies; Criminal procedure law; Prosecutor's office.

1. INTRODUCTION The historical and legal analysis of the formation of the Soviet bodies of preliminary investigation, their procedural status, powers, interaction with other law enforcement agencies allows us to understand the reasons for their modernization during the fierce class struggle for the establishment of a new government. The first decrees regulating the structure and activities of investigative bodies emphasized their punitive nature, as they were to become part of the new justice. The legislator, combining the investigation and the trial, establishes their election and accountability by the Soviet government, since in any formation, ensuring law and order is the main function of the state, which must be able to protect itself. In the conditions of a modern free interpretation of the Soviet period in the history of state and law, it is not always given an objective assessment, which leads to distortions or oblivion of the achievements that could be taken into account when modernizing the bodies of the preliminary investigation [1] and their organizational and legal foundations. The reorganization of the preliminary *Corresponding author (Olga A. Andreeva). E-mail: ol-andr1@yandex.ru ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13I http://TUENGR.COM/V10A/10A13I.pdf DOI: 10.14456/ITJEMAST.2019.173

investigation during the Soviet period was evidence that reforms cannot be effective if they are not comprehensive and do not cover the entire system of law enforcement agencies. An objective assessment of the 1917 revolution is that an agrarian state with the majority of the illiterate population was able to create the potential to develop and use the latest technologies, gain great influence in the international arena, and implement a number of principles of a social state. Gradually, production relations, and especially superstructures, began to slow down social processes, which was not the result of a revolution, but a consequence of the policy of establishing an administrative command system. As a result of the strengthening of party leadership, the rejection of innovations in government, socio-economic processes, maintaining the previous pace of development became impossible, which led to their stagnation and history took a different path. During the revolution, fundamentally new bodies of state power and administration, special bodies were created with the aim of protecting the revolutionary order [2], those relating to the accounting and registration apparatus were preserved, the old judicial system was spontaneously abolished, the creation of new courts through elections and revolutionary tribunals began. To conduct a preliminary investigation in complex cases, investigative commissions were created consisting of three persons who were elected by the executive committees of the local soviets and could be recalled by them. The activities of law enforcement agencies at that time were political in nature since they were aimed at protecting the new regime and its management methods. From the point of view of the new government, the causes of criminal offenses should have disappeared in a socialist society, therefore they were created as temporary structures of government. The direction of their modernization was determined by political, socio-economic, cultural-historical and other conditions that determined the level of development of the state and society, setting them with relevant tasks.

2. METHOD The theoretical and methodological basis for studying the features of their modernization in the Soviet period in the system was the principles of dialectics, historical knowledge, determinism, alternativeness, and others, justifying the reasons for changing them, in the process of changing the judicial system during the 1917-1930s, XX Century. As a result, it was established that the reorganization of the preliminary investigation during the Soviet period was evidence of the ineffectiveness of the reforms if they are not of a comprehensive nature, covering the entire system of law enforcement agencies.

3. RESULT AND DISCUSSION 3.1 THE THEORETICAL AND LEGAL FOUNDATIONS OF THE INSTITUTIONALIZATION OF THE BODIES OF PRELIMINARY INVESTIGATION IN THE 1917-1930S, XX CENTURY Post-revolutionary political and economic instability, corporate competition, the growth of individualism and estrangement of social layers of the population became the reasons for the growth of professional crime, the formation of criminal groups, the emergence of new crimes, and the lack of effective methods of dealing with them in practice led to unpredictable results. The aggravation of the criminal situation was also associated with the activities of the Provisional Government, which in

Maxim Y. Fisakov, Olga A. Andreeva

the Declaration declared "a complete and immediate amnesty for all political and religious matters, including terrorist assassinations, military uprisings and agrarian crimes, etc."[3], which became the reason for even more rampant banditry in the country. Although the Provisional Government considered itself the successor of the old regime, it was forced to abolish the gendarme corps (March 6, 1917), the police department (March 10, 1917), and security departments, which embodied the arbitrariness of the tsarist government. The police were renamed the militia, reassigning their leadership to local authorities. The First World War, the February Revolution, the policies of the Provisional Government led to an increase in crime in the country. Statistics show that the number of convicts for murders has increased: in 1910 - 6777, 1911 - 7517, 1912 - 8134, etc. cases; the number of repeat offenders increased by 100 convicted by general courts in 1908 - 18.3, 1909 - 13.3, 1910 - 21.4, 1911 - 21.9, 1912 - 23, 2. First, the place in number was occupied by property crimes [4]. Thus, the Soviet government had to create a new law enforcement system that would be more effective than that had existed before the revolution. The modernization of the judicial system of that period was associated with the problems of pre-trial proceedings and the need to improve the institution of preliminary investigation. Immediately after the armed uprising in Petrograd on October 25 (November 8), 1917, the AllRussian Congress of Soviets of Workers 'and Soldiers' Deputies became the supreme body of state power in the country, its executive body was the All-Russian Central Executive Committee (VTsIK), consisting of 13 commissariats. One of them was the Commissariat for Internal Affairs, headed by the first People’s Commissar Alexei Ivanovich Rykov. The Decree of the NKVD (People's Commissariat for Internal Affairs) "On the Workers' Militia" of October 28 (November 10) 1917 established its goals and objectives; in the Decree (instructions) of the NKVD and the NKU (People's Commissariat of Justice of the RSFSR) of October 12, 1918, the objects of jurisdiction of the Soviet militia [5] [6] were determined, and accountability and responsibility of officials were discussed. The main duties of the militia included: - disclosure of crimes, operational-search measures, participation in the preliminary investigation; - rendering assistance to judicial and investigative authorities, detention, delivery to court or for interrogation of accused and suspects; - conducting searches, examinations, seizures, execution of sentences, etc. After the victory of the October Revolution, the judicial system that existed in the Russian Empire was abolished along with the institution of judicial investigators, which were replaced by specially created commissions at the city and district Soviets, initially in Moscow and Petrograd, and then in other cities and provinces where they collegially examined criminal cases, and accepted decisions on them. The investigation of the crimes was carried out by the Red Guard headquarters, whose competence included military criminal and other crimes, the Cheka - counter-revolutionary activity, as indicated in the report of F.E. Dzerzhinsky in December 1917: "the commission conducts only a preliminary investigation, since this is necessary to prevent" [7] and a number of other bodies. *Corresponding author (Olga A. Andreeva). E-mail: ol-andr1@yandex.ru ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13I http://TUENGR.COM/V10A/10A13I.pdf DOI: 10.14456/ITJEMAST.2019.173

Initially, their activities were not regulated by law, and they were forced to be guided by revolutionary legal consciousness since it was forbidden to refer to the laws of ousted governments.

3.2 LEGAL BASIS FOR THE FORMATION OF BODIES OF PRELIMINARY INVESTIGATION IN THE 1917-1930S, XX CENTURY The problem of the judicial system began to be solved after the adoption of the SNK (Council of People's Commissars) of the RSFSR Decree on the Court No. 1 of November 22, 1917, the draft of which was prepared by the Deputy People's Commissar of Justice P.I.Stuchka. In accordance with it, the preliminary investigation in criminal cases was entrusted to local judges and local councils, under which investigation commissions consisting of three members were established to carry out the preliminary investigation in the most important cases. At the same time, no government body could give instructions on the direction of the investigation of the criminal case. Decree of the SNK of the RSFSR on Court No. 2 of March 7, 1918, in Article 8 contained an indication that the proceedings should be carried out in accordance with the rules and regulations of the Judicial Statutes of 1864, and People's Judges received the right: - to appoint a preliminary investigation in criminal cases subject to their conduct; - monitor the production of the inquiry by the militia, give them guidance on the case; - if necessary, in the case (Article 8), carry out a preliminary investigation. Another body conducting the preliminary investigation, according to Art. 28 of the Regulations were the county and city Investigative Commissions, which conducted a preliminary investigation in criminal cases under the jurisdiction of the People's Courts with the participation of six assessors. Each of them carried out the investigation independently, but a number of issues related to the selection of a preventive measure, indictment, dismissal, trial, etc., were resolved by them collectively. The said commissions had the right to limit the participation of the defender allowed by the court in the criminal case, if that was required by the interests of disclosing the truth in it. The activity of investigative commissions was controlled by a people's court that examined complaints against their decisions or actions. The investigative commissions of the district courts were created on the basis of Decree of the Council of People's Commissars of the RSFSR "On the Court" No. 3 of July 20 of that year. Their competence included a preliminary investigation in cases of banditry, robbery, murder, grievous bodily harm, forgery of banknotes, speculation, as well as in the most difficult cases, jurisdictional county and city courts. The activities of the investigative commissions was a stage of criminal proceedings, during which the following was carried out: collection, verification, and evaluation of evidence that provided the basis for decision-making on the termination of the criminal case or its transfer to court. The preliminary investigation began from the moment a criminal case was opened, as the investigator or inquiry body issued a decision. In the Instruction "On the Organization of the Workers and Peasants' Militia" adopted in October 1918, the investigation of cases referred to them by the People's Court was assigned to its competence and criminal investigation. During the Civil War, the number of criminal offenses increased, so, according to incomplete data from Tsentororoisk, in 38 provinces of the RSFSR in 1919, 2816 robberies and robberies were committed, and in 1920 - already 7319; in 1919, 108638 crimes were registered, and in 1920 already 341142. The total crime detection rate did not exceed 45% for individual provinces and 25% for

Maxim Y. Fisakov, Olga A. Andreeva

serious ones. The most common at that time were banditry, terrorism, property crimes, and others [8]. Under these conditions, new forms and methods were needed to build the entire system of law enforcement and judicial bodies, including the institution of preliminary investigation. The formation of the Soviet judicial system in the 1920s was determined by the idea of the withering away of the institutions of state and law after the victory of socialism. The Guiding Principles on Criminal Law of the RSFSR (December 1919) indicated that "having carried out the communist system, the proletariat will destroy both the state as an organization of violence and the law as a function of the state" [9]. Changes in the organizational structure of the preliminary investigation occurred after the adoption by the All-Russian Central Executive Committee on October 21, 1920, of the “Regulations on the People's Court of the RSFSR”. In it, instead of investigative commissions, the following institutions were created: - people's investigators at the provincial Soviets of people's judges; - Investigators on critical cases at the provincial departments of justice; - Investigators for critical cases at the People’s Commissariat of Justice. They had the right to conduct a preliminary investigation of complex crimes on their own, their competence included significant cases that were subject to a people's court with six assessors. When considering criminal cases, people's courts could decide to limit investigative actions to an inquiry conducted by militia investigators or to transfer them to the commission of inquiry beforehand. Thus, until May 1922, the Soviet criminal process had a mixed form, consisting of pre-trial search and adversarial proceedings [10] [11] [12]. People’s investigators were elected by the provincial executive committees of the Soviets, they could be recalled, they belonged to the jurisdiction of the Soviets of people's judges. One of the criteria for selecting personnel in these bodies was the presence of party membership since party discipline in the ranks of the CPSU (b) was an effective way to control them. There were fewer communists among the investigative authorities than in court or in the prosecutor's office since they required more professionalism than loyalty to the new government. In 1925, among party investigators, party members were 48.4%; among senior investigators - 32.3% [13]. In subsequent years, the party affiliation of law enforcement officials grew from 54.1% to 67.8%. Organizationally, people's investigators were part of the structure of the People's Commissariat of Justice of the RSFSR, their jurisdiction extended only to the territories of their plots. Subsequently, the posts of people's investigators on important matters at the provincial departments and the People’s Commissariat of Justice were established. The status of the investigator as a representative of the judiciary was maintained in the first Code of Criminal Procedure of the RSFSR of 1922 and 1923. They indicated that the investigators were in the courts that controlled their activities, being controlled by the prosecutor, they could challenge his actions in court. Thus, the Soviet preliminary investigation institutionally retained that place in the structure of the judiciary, which it occupied even before the revolution. In 1924, the Fundamentals of Criminal Procedure of the Union of Soviet Socialist Republics and Union Republics were adopted, which indicated who had the right to carry out an investigation of crimes, they included: people's *Corresponding author (Olga A. Andreeva). E-mail: ol-andr1@yandex.ru ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13I http://TUENGR.COM/V10A/10A13I.pdf DOI: 10.14456/ITJEMAST.2019.173

investigators, investigators of the tribunals, military investigators and investigators in the most important cases of the People’s Commissariat of Justice. Criminal investigation investigator posts were abolished, and those conducting pre-trial investigations were considered as carriers of the judicial function of justice. They had the right to initiate an investigation on citizens' statements, militia reports, officials and institutions, by order of a judge, and also at their discretion. The final decision to terminate the case or bring to trial belonged to the people's court, which allowed the appeal and the decisions of the investigator. At the All-Russian Congress of Soviet Justice Workers in 1924, the idea was proposed for discussion of reassigning the entire investigative and investigative apparatus to the prosecutor’s office, combining inquiry and preliminary investigation, which would become “two equal areas of judicial work”. It was not shared by experienced lawyers and the People’s Commissariat of Justice. However, the discussion about transferring the preliminary investigation from the court to the prosecutor's office ended with the recognition on March 15, 1928, by the Board of the NKU RSFSR of its correctness [14]. The political will of the authorities was realized in the Decree of the Central Executive Committee and the Council of People's Commissars of the USSR of January 30, 1929, which transferred the investigating apparatus to the prosecutor’s office, so the preliminary investigation, having lost the signs of competition, turned into a “prosecutor’s inquiry” with an accusatory bias. Thus, the idea of the prosecutor of the Supreme Court of the USSR A.Y. Vyshinsky realized, a preliminary investigation, as judicial activity ceased to exist, which led to an increase in the prosecution and a change in the existing principle of adversarial process in criminal proceedings. In the future, proposals were discussed on the reassignment of the investigative apparatus of the NKU of the RSFSR, its liquidation in general and the transfer of its functions to the militia. Decisions of the NKU RSFSR repeatedly indicated that prosecutors should not turn investigators into their assistants without providing them with an independent procedural status, but their situation worsened after the formation of the USSR Prosecutor’s Office on December 17, 1933. If earlier it was in the structure of the People’s Commissariat of Justice, now it has become a public authority, which has changed its status and position. The prosecutor had the right to entrust the militia with an inquiry, his materials were sent to the prosecutor, who approved the indictment and referred the case to court. In 1936, investigative departments were established in the structure of the USSR Prosecutor's Office and in the composition of republican prosecutor's offices, which carried out operational management and control of the preliminary investigation. In the late 30s, new investigative bodies were created outside the justice system: - December 22, 1938, in the structure of the NKVD of the USSR, an investigative unit was established; - September 4, 1939, investigative units were created in the Main Directorate of State Security and the Main Economic Directorate; - On August 5, 1939, the same unit was formed in the structure of the Main Prison Directorate. As a result, the posts of investigators and senior investigators appeared in the NKVD system, the procedural position of which was determined by the rights and obligations established by law in relation to inquiry bodies and departmental regulatory instructions.

Maxim Y. Fisakov, Olga A. Andreeva

4. CONCLUSION This study finds that the formation of new legal relations begins with a review of existing practice and the fitting of established legal constructions to it, which in the future and in a new form will reflect other social relations. A study of the formation and activities of the preliminary investigation bodies in the Soviet period allows us to conclude that they were transformed from an institution related to judicial activity to the prosecution system and then were assigned to the sphere of internal affairs bodies. It is established that in the late 1930s in the USSR, a dualistic model of departmental investigative apparatus was created, which was not similar to their pre-revolutionary organization. The legal status and scope of powers of the preliminary investigation bodies in the system of power relations determine the effectiveness of the fulfillment of their obligations to protect the rights and freedoms of man and citizen.

5. AVAILABILITY OF DATA AND MATERIAL Information used or generated from this study is available upon request to the corresponding author.

6. REFERENCES [1] Koni A.F. Collected work in 8 volumes. V 1: From the notes of the judicial investigator. Moscow, 1966. [2] The decree of the Peoples’ Commissariat for Internal Affairs of RSFSR «On working militia» // Newspaper of the Provisional Worker and Peasant Government 1917. No 2. [3] Declaration of the Provisional Government on its composition and tasks (1917, March 3) / Textbook on the history of state and law of the USSR. Pre-October period/ed. Y.P. Titova and O.I. Chistyakova. Moscow, 1990. 461. [4] Problems of crime. Moscow, 1928. Issue 3. 203-207. [5] Mulukaev R.S., Malygin A.Y. Soviet militia, stages of development. Moscow, 1985; [6] Decrees of the Soviet government. Moscow, V.3., 1964: SU of the RSFSR. 1918. No. 75. Article 813; State Archive of the Russian Federation (GA RF). F.393. Op. 1. D. 2.L. 52. [7] Lenin V.I. and the Cheka. Collection of documents (1917-1922). Moscow, 1987. 23. [8] The Ministry of the Interior of Russia: 1802-2002: historical outline: in 2 volumes – V 2. St. Petersburg, 2002. 161. [9] Guidelines on the Criminal Law of the RSFSR (1919 Dec 12) / Anthology of the history of the domestic state and law 1917 - 1991 Edited by Chistyakov O.I. Moscow, 1997. 63. [10] Onischuk, Z.M. The bodies of the preliminary investigation in the first period of the history of the Soviet criminal process (1917-1922) of Kharkov Law Institute. 1961; [11] Shimanovsky, V.V. The development of the organizational structure and procedural position of the preliminary investigation bodies, 1917-1933. // Crime control issues. Moscow, 1968. [12] Dervishev, Y.V. The bodies of the preliminary investigation of Russia: past, present, future: textbook. Omsk, 1998. *Corresponding author (Olga A. Andreeva). E-mail: ol-andr1@yandex.ru ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13I http://TUENGR.COM/V10A/10A13I.pdf DOI: 10.14456/ITJEMAST.2019.173

[13] A summary report on the activities of the provincial regional and regional courts for 1925. Moscow, 1926. [14] Oleinik I.I. The justice authorities of Soviet Russia in 1917-1936 Ivanovo: IGEU, 2003. 165. Maxim Y. Fisakov is a post-graduate student of the Department of Theory and History of State and Law, Taganrog Institute of Management and Economics (TIM&E), Taganrog, RUSSIA. He graduated as a laywer (specialist) from Rostov Law Institute of the Ministry of Internal Affairs of Russia Rostov-on-Don. Russia. He specializes in the Problems of Theory and History of Law Enforcement Bodies of Russia, the Soviet Union and the Russian Empire. Professor Dr.Olga A. Andreeva is Professor at the Department of Theory and History of State and Law, Taganrog Institute of Management and Economics(TIM&E), Taganrog, RUSSIA. She graduated her Doctoral degree in Philosophy from Leningrad State University, Leningrad, Soviet Union as a Philosopher (specialist). Her specializations are in the fields of History and Philosophy of Law.

Maxim Y. Fisakov, Olga A. Andreeva

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PAPER ID: 10A13J

INTERACTION EFFECT OF SOCIAL SUPPORT: THE EFFECT OF WORKLOAD ON JOB BURNOUT AMONG UNIVERSITIES ACADEMICIANS: CASE OF PAKISTAN Faisal Khan a* , Amran Md Rasli b , Muhammad Yasir c , and Qaiser Khan d a

Department of Management Sciences, University of Swabi, Anbar, Swabi, KP PAKISTAN. Sumait University, ZANZIBAR. c Department of Management Sciences, Bacha Khan University Charsada, KP PAKISTAN. d Department of English, University of Malakand, Chakadara, Dir Lower, KP PAKISTAN. b

ARTICLEINFO

A B S T RA C T

Article history: Received 14 May 2019 Received in revised form 25 July 2019 Accepted 05 August 2019 Available online 12 August 2019

The support comes primarily from the organization through supervisors but cooperation among the employees cannot be overlooked. The purpose of the present study is to investigate the relationship between workload and burnout dimensions (emotional exhaustion and disengagement) and identifying the interaction effect of social support with job burnout among academicians. The collected data is analyzed with the help of the Statistical Package of Social Sciences (SPSS). The study objectives are reached with the help of regression and Hierarchical Multiple Regression Analysis. The findings of the study reveal that workload has positive relationship with burnout dimensions, while supervisory and colleague support influence the relationship between workload and burnout dimensions. The study tests these relationships with the help of JD-R model. The study highlights implications for individual employees, institutions and recommends measures at policy level concerning the work environment where academicians can respond in a productive manner.

Keywords:

Emotional Exhaustion; Disengagement; Hierarchical Multiple Regression Analysis; Job DemandsResources (JD-R) model; Academicians’ workload.

1. INTRODUCTION Since the 1990s, special attention has been given to the impact of stress on students drop-out, academic achievement, confidence and motivation of students. In comparison, less work has been done on the effects of teachers’ stress, morale, resistance ability, motivation, and capabilities. The review of literature indicates that workload is an important and significant topic in research among academicians in higher education institutions (HEIs). At the dawn of the 21st century, plenty of changes have occurred in technology, working styles, and cultures, where such changes have created new challenges for all sectors. These changes have also given rise to distinct types of problems in *Corresponding author (Faisal Khan). E-mail: faisalkhanutm@yahoo.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13J http://TUENGR.COM/V10A/10A13J.pdf DOI: 10.14456/ITJEMAST.2019.174

educational institutions. In consequence, unusual job-related demands have emerged in different sectors. These changes demand innovation in the organizational life which has also rendered the working environment more complex. The employees face different types of problems to handle innovation, technological changes, and advancements, which may also lead them into a state of stress (Khan, Yusoff, & Khan, 2014). Generally, stress in a working environment is the outcome of lack of requisite skills and training to cope with increased job demands that result in slowing down job performance, professional development and job productivity (Khan, Rasli, et al. 2014). According to Winefield et al. (2003), the teaching profession is considered one of the less stressful professional sectors due to freedom and less workload in the working environment of higher education (Khan, Rasli, et al. 2015; Khan., Yusoff., & Khan., 2014). With the arrival of technology in the sector, job demands have multiplied, and academicians are expected to perform at many fronts in teaching, research, and administration. With particular reference to the developing world, academicians are in a very complex situation as they have to meet the requirements of revised policies for professional development and research productivity. On several occasions, they may feel intense pressure and may trigger exhaustion and job acquittal (Khan, Rasli, et al., 2014). In 2002, a paradigm shift in the higher education sector of Pakistan to meet global market needs and productivity have led to increased incidence of job stress and burnout. In the scenario, academicians are also expected to concentrate on research along with teaching because the ranking and productivity of the institutions are determined not only by the number of students but also the number of Ph.D. faculty and the number of research publications. The present study uses the Job Demands-Resources (JD-R) model which explains that as job demands exceed in comparison to the available resources, the academicians suffer exhaustion. The findings are also based on the assumption of the conservation resources theory according to which less or lack of resources gives rise to burnout, which also suggests that to leave or quit the organization results decrease in commitment and performance level.

2. THEORETICAL AND EMPIRICAL CONTRIBUTIONS The present study has both theoretical and practical implications. The originality and contribution of the paper are that it uses validation through the JD-R model of burnout by using a sample of 162 academicians from universities in Pakistan. The JD-R model consists of two main processes such as health and motivation processes. The study has used workload in the health process and has found that there is positive relationship between the workload and burnout dimensions especially emotional exhaustion and disengagement. The results of the study also establish the moderating or interaction effect of social support on the relationship between the workload with emotional exhaustion and disengagement. The study also extends the JD-R model of burnout to the moderating effect of job resources. This study has practical implications for the individual, organizational and policymakers related to Higher Education Institutions (HEIs). At individual level, the study is significant for academicians as it contributes to the level of awareness about workload and burnout. The study also reveals the importance of social support for decreasing the level of workload and burnout among individuals. Further, the study provides the antecedents and precedents of burnout among 2

Faisal Khan, Amran Md Rasli, Muhammad Yasir, and Qaiser Khan

academicians in university academicians. Similarly, the study attempts to develop coping strategies among academicians from a level of burnout and workload. The present study also informs academicians about the nature and scope of support from supervisors and coworkers in increasing or decreasing the level of workload, emotional exhaustion, and disengagement. In teaching profession, an academician needs to interact and develop interpersonal relationship with students, colleagues, and supervisors. In the present study, therefore, social support is one of the main dimensions of job resources that moderate the relationship between job demands and job burnout. The study recommends provision for improving working conditions and to provide a congenial atmosphere with a view to reduce the pressure of job demands and to maximize utilization of the allocated resources within the organization. In this connection, Tytherleigh (2003) asserts that “an unmet need can frustrate employees and will continue to influence their behavior until it is satisfied; managers can therefore effectively work with employees by identifying the level of need which he or she is trying to satisfy and by attempting to build opportunities in the work environment that will allow them to satisfy their own needs” (p.1). As revealed from the findings of the study, academicians have been suffering from burnout and it is therefore essential to draft a comprehensive policy for stress management. It will be helpful to involve the professionals in programs and workshops on burnout related problems in the education sector for better coordination between organization demands and individual aspirations.

3. LITERATURE REVIEW Cherniss (1980) as cited by Schaufeli and Buunk (2003) refers to burnout as “a process in which the professionals” (p.387) attitudes and behaviors change in negative ways in response to job strain’. This process, according to Cherniss, then, occurs as a result of three interlocking stages: (1) An imbalance between resources and demands (stress), (2) the immediate, short term emotional tension, fatigue, and exhaustion (strain), and (3) the appearance of a number of changes in attitude and behavior, such as a tendency to treat clients in a detached and mechanical fashion, or a cynical preoccupation with gratification of one’s own needs (defensive coping). Burnout emerges from the working environment and has significant effects on the employees when job demands exceed the capacity of employees (Maslach, 2003; Sadeghi & Khezrlou, 2016). In other words, burnout is feeling of disinterestedness, reduction in performance and weariness (Khan et al., 2015; Maslach & Jackson, 1981). Since 1970s, burnout has been a widely recognized individual as well as an organizational problem that relates to people’s work-relationship and the subsequent difficulties that may arise in the relationship (Maslach et al., 2001). It has been measured by examining the teachers’ level of emotional exhaustion, depersonalization, and personal accomplishment. Burnout is one of such symptoms that has been noted for teachers’ dissatisfaction with their professional environment. In either case, loss or displacement of good teachers has repercussions for individuals and society. Teachers’ loss of enthusiasm and idealism for teaching profession affects student-teacher relationships, students’ achievements and teachers’ efficiency (Farber, 2010; Khan., et al., 2014; Mahmoudia et al., 2019). Burnout thus is negatively associated with well-being of teachers that ask for proper remedial measures. *Corresponding author (Faisal Khan). E-mail: faisalkhanutm@yahoo.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13J http://TUENGR.COM/V10A/10A13J.pdf DOI: 10.14456/ITJEMAST.2019.174

The first factor of burnout, emotional exhaustion refers to “job-related demand stressor” upon an employee and the symptoms that lead to an increase in absenteeism and withdrawal from the profession. The second factor is depersonalization which refers to work-related stress and is characterized as a negative attitude towards clients, co-workers, and/or managers and its main factors include job-related failures and lack of control. The third factor of burnout is decrease in personal accomplishment due to unmet targets and organizational expectations and role ambiguity. It also refers to downward trend in the employee’s feeling of competence and success at the job. In order to properly appreciate job burnout, we need to know about stress, job stress, strain and their prevalence in higher education. Earlier studies of burnout focused mainly on the helping professions, but the present study focuses an educational setup to empirically examine the components of burnout (emotional exhaustion and depersonalization) and to develop hypothesis. The existing literature considers workload one of the main predictors of burnout. According to Khan et al )2014(, workload is defined as work done in a specific time or the amount of work supposed to be done in a specific time. It is defined in terms of research productivity, professional development and time. Several researchers proved that workload has a positive relationship with burnout (Bakker et al., 2006; Blau, 2003; Demerouti et al., 2000). Some other studies found that workload had negative relationship with burnout dimensions of emotional exhaustion and depersonalization (Elloy et al., 2001). It is felt in the profession due to lack of skills, career development, long working hours, number of students in classes, teacher shortage (Mullins, 2005; Teven, 2007). Further, workload affects academicians’ performance and commitment and makes them more exhausted and burnout so that they develop a trend to quit a job. The workload is a widely used term and Meyer )1998( explains that it is the assigned work to academicians, while Soliman and Soliman )1997( view it in the sense of the duties and responsibilities of teaching, research and administrative duties. To facilitate the academicians, various types of resources are provided to enhance productivity and commitment at both individual and organizational levels. Furthermore, in the present study, the research uses the moderating effect of social support as a resource in the relationship between workload and job burnout dimensions particularly emotional exhaustion and disengagement. Theresearchers, Moeller et al (2013), Sun et al (2011) and Himle et al (1991) emphasize that social support can be the potential moderator between the demands and outcomes among the university academicians. Job resource is another very important variable of the study. Bakker et al )2004( opine that resources are important to demands in an organization and are utilized to make easy the achievement of work objectives, to get personal growth and to decrease job demands. Job resources are thus meant to achieve goals of a job (Hobfoll, 1989). The resources are linked with physical, psychological, organizational or social views of jobs that reduce job demands and achieve goals, along with ensuring development and personal growth of employees (Chen & Chen, 2012; Schaufeli & Bakker, 2004). From the review, it is clear that social support is one of the causes of stress and burnout. Stress does not only arise due to workload but also due to insignificant social hold. Osipow and Davis (1998) estimate that social support consists of coworkers and friends. Social support reduces the effect of stressors and there is reliable proof that employee takes support from experienced persons (Lee & Ashforth, 1996). Several researchers also note that support group is more helpful in preventing 4

Faisal Khan, Amran Md Rasli, Muhammad Yasir, and Qaiser Khan

burnout (Maslach & Goldberg, 1998; Schaufeli & Enzmann, 1998). The study assumes that social support can affect the relationship between job demands like workload and burnout dimensions, but no such study found the moderating effect of social support among academicians in higher education institutions in Pakistan. In addition, this relationship is based on recent new changes in market needs in the higher education system in Pakistan. The present study also extends the JD-R model of burnout among the academicians. JD-R model consists of two main factors: demands and resources, wherein the workload is used as demand and social support are used as a resource. The study more specifically examines the following hypotheses: Hypothesis 01: Workload has a positive relationship with emotional exhaustion. Hypothesis 02: Workload has a positive relationship with disengagement Hypothesis 03: Social support moderates the relationship between workload and emotional exhaustion. Hypothesis 04: Social support moderates the relationship between workload and disengagement.

4. RESEARCH METHODOLOGY The present study is cross-sectional and has a quantitative research design. The data has been collected from randomly selected 162 respondents including lecturers, assistant professors, associate professors and professors from public sector universities in Malakand Division of Khyber Pakhtunkhwa Pakistan with the help of a self-administrated questionnaire. The questionnaire consists of four different sections. The first section relates to personal information including age, gender, marital status and education while the second section consists of workload items. The third section is about the level of and provision of social support items while the last section deals with burnout dimension items. SPSS software is used as an analytical tool.

4.1 RESEARCH QUESTION Is there is a positive relationship between workload with emotional exhaustion? Is there is a positive relationship between workload with disengagement? Is social support moderates the relationship between workload and emotional exhaustion? Does social support moderate the relationship between workload and disengagement?

4.2 INSTRUMENTS: Workload has been investigated with the help of dimensions like workload demands, research productivity, professional or career and skill development and number of working hours. The workload is measured through 12 items including five items of Crespoand Bertrand (2013) and three items of Skaalvik and Skaalvik (2011). Social support has been investigated by categorizing it in the support from co-workers, supervisors, and organization. It is measured with the help of six items of Iverson et, al., (1998) having reliability value of 0.90 (Iverson et al., 1998). Burnout is measured by the two dimensions of emotional exhaustion and disengagement using OLBI, the alternative inventory to MBI (Demerouti et al., 2010) that consists of both negative and positive sixteen items. Reliability values reported are 0.82 and 0.83 of Cronbach’s alpha (Demerouti et al., 2010) (Demerouti et al., 2001; Demerouti et al., 2003). *Corresponding author (Faisal Khan). E-mail: faisalkhanutm@yahoo.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13J http://TUENGR.COM/V10A/10A13J.pdf DOI: 10.14456/ITJEMAST.2019.174

5. DATA COLLECTION PROCEDURE For the purpose of collecting the research data, the questionnaire was individually distributed among the academicians with explicit confidentiality of the information. The process of data collection was completed from 162 respondents in a period of six months. However, different data tests were conducted such as normality, multicollinearity of the data and scanned the missing data.

6. FINDINGS AND DISCUSSION In the present study, Pearson correlation was used to measure the relationship of the workload with burnout dimensions: emotional exhaustion and disengagement among the academicians from HEIs of Pakistan. Table 1 shows that workload has positive relationship with emotional exhaustion and disengagement among academicians. The results of the study were in line with the studies like Khan et al, (2014). Further, it was also examined that as workload increased the level of emotional exhaustion and disengagement increased too. The determinants of job burnout within organization have been discussed in several studies like turnover, low productivity, absenteeism, job dissatisfaction, and reduced organizational commitment (Boyas et al., 2012; Yusoff, et al., 2014). Table 1: Pearson Correlation. Workload Emotional Exhaustion Disengagement

Workload Emotional Exhaustion Disengagement 1 0.455* 1 0.454* 0.962* 1 *Significant at 0.001

For validating the findings of the present study, the regression analysis was used to measure the positive relationship of workload with emotional exhaustion and disengagement. In the model of regression analysis, independent variable workload was entered with dependent variable emotional exhaustion and disengagement. The findings in Table 2 show that emotional exhaustion and disengagement reveal 4.4% and 9.9% variances significance at p<0.001 with F=24.390 and 22.128. Table 2: Regression Analysis. Step One Workload R R2 F Model

Emotional Exhaustion Disengagement Standardized β Coefficients T-test scores Standardized β Coefficients T-test scores 0.171 1.746* 0.183 1.901 0.081 0.099 0.044 0.054 24.390* 22.128* *Significant at p<0.001

6.1 HIERARCHICAL MULTIPLE REGRESSION ANALYSIS The analysis was conducted with the help of Hierarchical Multiple Regression Analysis )HMRA(. To achieve the objectives of the study, HMRA was used for the relationship between the moderating variable, dependent and independent variables. Because different studies examining the relationship among variables have used hierarchical regression methodology (Nyaoga & Kibet., 2010). Moderating equation is as follows:

Step 1:

Y = α + β 1X1 + ε

(1),

Step 2:

Y = α + β 1X1 + β 2X2+ ε

(2),

Step 3:

Y = α + β 1X1 + β 2X2 + β 3X1X2 + ε

(3),

Faisal Khan, Amran Md Rasli, Muhammad Yasir, and Qaiser Khan

where Y= Emotional Exhaustion, X1 = Workload, X2 = Social Support, X1X2= Interaction effect of Emotional Exhaustion and Social support, ε = error term, β1 , β2 , β3 are model’s cofficients. In this study, the objectives were analyzed by using HMRA model. In the model of HMRA, the independent variable- workload was entered with the dependent variable- emotional exhaustion as shown in Table 3. The Table shows that the F values are 68.496 and variation is 20.4% in emotional exhaustion. In the second model along with independent variable, the moderating variable- social support was entered with dependent variable- emotional exhaustion that showed 28.4% variation in the model. In the last step of the HMRA model, the interaction term of workload and resources, social support has entered the model with dependent variable- emotional exhaustion. Based on Table 3, 29.1% variation occurred in the model, while the interaction term was significant at p>0.05. Table 3: Hierarchical Multiple Regression Analysis, between workload emotional exhaustion. Emotional Exhaustion Standardized β Coefficients t-value Workload (Wl) 0.455 8.276** Adjusted R2 0.204 R2 Model 0.207 F Model 68.496** Workload 0.284 4.693* Social Support -0.335 -5.538** Adjusted R2 0.284 R2 Model 0.290 F Model 53.443** Workload 0.287 4.757* Social Support (SS) -0.341 -5.661** Interaction (Wl*SS) 0.097 1.873* Adjusted R2 0.291 R2 Model 03 0.299 F Model 03 37.139** Note: a = Dependent Variables; *Significant at p<0.05; **Significant at p<0.001.

EMOTIONAL EXHAUSTION

MODEL 01

5 4.5 4 3.5 3 2.5 2 1.5 1

Low SS High SS

Low WL

High WL

Figure 1: Moderating Effect of Social Support on Workload and Emotional Exhaustion. Figure 1 shows the moderating or interaction effect of social support on the relationship between job demand dimension: workload and burnout dimension: emotional exhaustion among the academicians. The results of Figure 1 reveal when the level of social support is low, the effect of *Corresponding author (Faisal Khan). E-mail: faisalkhanutm@yahoo.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13J http://TUENGR.COM/V10A/10A13J.pdf DOI: 10.14456/ITJEMAST.2019.174

workload on emotional exhaustion is high, while high level of social support lowers the effect of workload on emotional exhaustion. The HMRA Model for interaction effect is as follows: Step 1:

Y = α + β 1X1 + ε

(4),

Step 2:

Y = α + β 1X1 + β 2X2+ ε

(5),

Step 3:

Y = α + β 1X1 + β 2X2 + β 3X1X2 + ε

(6),

where Y= Disengagement, X1 = Workload, X2 = Social Support, β 3X1X2= Interaction effect of Disengagement and Social support , ε = error term, β1 , β2 , β3 are model’s cofficients.

Table 4: Hierarchical Multiple Regression Analysis, between workload and disengagement. MODEL 02

Disengagement Standardized β Coefficients t-value Workload 0.454 8.253* Adjusted R2 0.203 R2 Model 0.206 F Model 68.107** Workload 0.300 4.898* Social Support -0.302 -4.933** Adjusted R2 0.268 R2 Model 0.273 F Model 49.244** Workload 0.302 4.960* Social Support -0.308 -5.051** Interaction (Wl*SS) 0.096 1.821* Adjusted R2 0.274 R2 Model 03 0.282 F Model 03 34.226** Note: b = Dependent Variables; *Significant at p<0.05; **Significant at p<0.001, Wl=workload, SS= Social Support

The analysis of moderation was carried out with the help of HMRA. In the model of the HMRA, the independent variable- workload was entered with the dependent variable- disengagement as shown in Table 4, that the F-values are 68.107 and variation 20.3% in disengagement. In the second model, along with independent variable the moderating variable- social support was entered with the dependent variable- disengagement that showed 26.8% variation in the model. In the last step of the HMRA model, the interaction term of workload and resources, social support was entered into the model with dependent variable- disengagement. Based on Table 4, 27.4% variation occurred in the model, while the interaction term was significant at p>0.05. Figure 2 reports the relationship between workload and disengagement with the moderating effect of social support among academicians. Figure 2 shows that as the level of social support is low, the effect of workload on disengagement is high while in reverse as the level of social support is high, the effect of workload on disengagement is low.

Faisal Khan, Amran Md Rasli, Muhammad Yasir, and Qaiser Khan

DISENGAGEMENT

5 4.5 4 3.5 3 2.5 2 1.5 1

Low SS High SS

Low Wl High Wl Figure 2: Moderating Effect of Social Support on Workload and Disengagement

7. CONCLUSION During the analysis of data, the relationship between workload and burnout dimensions including emotional exhaustion and disengagement among the university academicians was examined. It was found that there was a positive relationship between workload with burnout dimensions. As evidence, the study cleared that increase in the level of workload on academicians increased the burnout level. The findings of the study corresponded with earlier studies in the field. For instance, Greenglass et al. (2001) reported that workload had positive relationship with emotional exhaustion (Devereux et al., 2009). Other studies conducted in hospital with data collected from nurses mentioned that workload was a main predictor of burnout especially emotional exhaustion (Maslach, et al., 2001; Schaufeli & Enzmann, 1998). Similarly, Male and May (1997) reported moderate level of workload in emotional exhaustion in ordinary school teachers. In 2000, a study diagnosed that emotional exhaustion occurred due to high working pressures and lack of resources (Demerouti, et al., 2000). A study reported that as workload increased, level of burnout (emotional exhaustion) also increased and vice versa (Bakker et al., 2005; Droogenbroeck et al., 2014). In addition, the study also investigated the moderating effect of social support on the relationship between workload and burnout dimensions like emotional exhaustion and disengagement. The study found a significant moderating effect of social support between the relationship of the workload with emotional exhaustion and disengagement. Further, the study also revealed that increasing the level of social support especially supervisory support and coworkers support decreased the level of workload and burnout dimension. The results of the study were also parallel to other studies. Several studies had also revealed positive relationship between workload with emotional exhaustion (Bakker et al., 2005; Greenglass, et al., 2001), which indicated that higher workload caused emotional exhaustion among academicians (Acker, 2003; Lee & Ashforth, 1996). Emotional Exhaustion due to work overload could be normalized with effective social support from supervisors and coworkers. The study results also corresponded with previous studies of the moderating effect of social support (Janssen et al., 2004). Similarly, academicians having high social support from coworkers were expected to positively value and evaluate their personal accomplishments. The results were in line with Himle et al. (1991) who held social support both instrumental and informational from co-workers to moderate the relationship between demands like workload and job burnout. *Corresponding author (Faisal Khan). E-mail: faisalkhanutm@yahoo.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13J http://TUENGR.COM/V10A/10A13J.pdf DOI: 10.14456/ITJEMAST.2019.174

Moreover, the finding of the study also indicated that social support led to low disengagement. Consequently, the academicians having access to social support through coworkers and supervisors developed their personal relationships with their students. The findings were parallel to study of mental hospital workers by Leiter (1990), that reported burnout (depersonalization) lower with more mobilization of resources (family). Similarly, Bakker et al. (2003) conducted study on the moderating effect of social support of the relationship between job demands (workload, emotional demands, and physical demands) and job burnout (emotional exhaustion, disengagement) in homecare organization. Wheaton (1985) concluded that job resources (social support, autonomy, feedback) buffered the relationship between job demands and burnout.

8. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding author.

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Faisal Khan, Amran Md Rasli, Muhammad Yasir, and Qaiser Khan

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Male, D. B., & May, D. (1997). Research Section: Stress, Burnout, and Workload in Teachers of Children with Special Educational Needs. British Journal of Special Education, 24(3), 133-140. Maslach. (2003). Job Burnout: New Directions in Research and Intervention. Current Directions in Psychological Science, 12(5), 189-192. DOI: 10.1111/1467-8721.01258 Maslach, & Goldberg, J. (1998). Prevention of burnout: New perspectives. Applied & Preventive Psychology, 7, 63-74. Maslach, & Jackson., S. E. (1981). The measurement of experienced burnout. Journal of Organizational Behavior, 2(2), 99-113. DOI: 10.1002/job.4030020205 Maslach, Schaufeli, W. B., & Leiter, M. P. (2001). Job Burnout. Annual Review of Psychology, 52, 397422. DOI: 10.1146/annurev.psych.52.1.397 Mahmoudia, F., Mahmoudi, A., Shahrakic, H.R., Shamsaeib, M., Kakaei, H. 2019. Relationship Between Academic Burnout and Economic and Social Factors with Life Expectancy in Students of Shiraz University of Medical Sciences. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. 10(2), 193-201. Meyer, K. A. (1998). Faculty Workload Studies: Perspectives, Needs, and Future Directions. ASHE-ERIC Higher Education Report, Vol. 26, No. 1: ERIC. Moeller, C., & Chung-Yan, G. A. (2013). Effects of social support on professors' work stress. International Journal of Educational Management, 27(3), 188-202. Mullins, L. J. (2005). Management and organizational behavior: Prentice Hall/Financial Times. Nyaoga, R B, & Kibet., K. S. (2010). The Effectiveness of Performance Appraisal Systems in Private Universities in Keynya: An Assessment of Kabarak University Performance Appraisal Systems. African Journal of Business & Management., 1, 123-134. Sadeghi, K., & Khezrlou, S. (2016). The experience of burnout among English language teachers in Iran: self and other determinants. Teacher Development, 1-17. DOI: 10.1080/13664530.2016.1185028 Schaufeli, & Bakker, A. B. (2004). Job demands, job resources, and their relationship with burnout and engagement: a multi-sample study. Journal of Organizational Behavior, 25(3), 293-315. DOI: 10.1002/job.248 Schaufeli, & Enzmann, D. (1998). The Burnout Companion to Study and Practice: A Critical Analysis: Taylor & Francis Group. Schaufeli, W. B., & Buunk, B. P. (2003). Burnout: An overview of 25 years of research and theorizing. The handbook of work and health psychology, 2, 282-424. Skaalvik, E. M., & Skaalvik, S. (2011). Teacher job satisfaction and motivation to leave the teaching profession: Relations with school context, feeling of belonging, and emotional exhaustion. [doi: 10.1016/j.tate.2011.04.001]. Teaching and Teacher Education, 27(6), 1029-1038. Soliman, I., & Soliman, H. (1997). Academic workload and quality. Assessment & Evaluation in Higher Education, 22(2), 135-157. Sun, W., Wu, H., & Wang, L. (2011). Occupational stress and its related factors among university teachers in China. Journal of Occupational Health, 53(4), 280-286. Teven, J. J. (2007). Teacher Temperament: Correlates with Teacher Caring, Burnout, and Organizational Outcomes. Communication Education, 56(3), 382-400. DOI: 10.1080/03634520701361912 Wheaton, B. (1985). Models for the stress-buffering functions of coping resources. Journal of Health and Social Behavior, 352-364.

Faisal Khan, Amran Md Rasli, Muhammad Yasir, and Qaiser Khan

Winefield, Gillespie, N., Stough, C., Dua, J., Hapuarachchi, J., & Boyd, C. (2003). Occupational Stress in Australian University Staff: Results From a National Survey. International Journal of Stress Management, 10(1), 51-63. Dr. Faisal Khan is an Assistant Professor of Department of Management Sciences, at University of Swabi. He received his MBA from FUUAST Islamabad Pakistan. He continued his Ph.D. study at Universiti Teknologi Malaysia, Malaysia, where he obtained his Ph.D. in Management. His researchs are Quantitative Analysis, Academic Writing, Research Methodology, Data Collection, Quantitative Data Analysis, Survey Methodology and Data Analysis, Methodology, Research Analysis, Data Analysis, Participant Observation. Dr.De Amran Md Rasli is currently the Vice Chancellor of Sumait University Zanziba. He earned his Ph.D. in Society, Business and Globalization from Roskilde University, Denmark. His research is Organizational Management.

Dr. Muhamad Yasir is an Assistant Professor of Department of Management Sciences, at Bacha Khan University Charsadda. He received his MS. from National Defence University Islamabad Pakistan. He continued his Ph.D. study at Universiti Teknologi Malaysia, Malaysia, where he obtained his Ph.D. in Management. His research forcuses on Leadership and Organizational Behaviours. Dr. Qaiser Khan is an Associate Professor of Department of English, at University of Malakand. He received his MS. from University of Malakand Chakdara, KP Pakistan. He continued his Ph.D. study at National University of Modern Language Islamabad, Pakistan, where he obtained his Ph.D. in English. His research interests include Language, Gender, Curriculum and Education.

Trademarks Disclaimer: All products names including trademarksTM or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. The use of them does not imply any endorsement or affiliation.

*Corresponding author (Faisal Khan). E-mail: faisalkhanutm@yahoo.com ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13J http://TUENGR.COM/V10A/10A13J.pdf DOI: 10.14456/ITJEMAST.2019.174

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 10A13K

IMPACTS OF LIVELIHOOD ASSETS ON WELLBEING OF RURAL HOUSEHOLDS IN NORTHERN NIGERIA Yusuf Kasim a* a

Department of Public Administration, Umaru Ali Shinkafi Polytechnic, Sokoto, NIGERIA. ARTICLEINFO

A B S T RA C T

Article history: Received 29 May 2019 Received in revised form 26 July 2019 Accepted 02 August 2019 Available online 12 August 2019

This study explores the determinants of well-being amongst rural households in Northern Nigeria, particularly, as it relates to accessibility to livelihood assets. Specifically, this study examined the correlation between access to human assets, financial assets, and well-being. Quantitative approach through a cross-sectional survey method was employed while the questionnaire was used, and the data for the study were collected from 350 Keywords: Financial asset; Well- rural households in Sokoto State using purposive sampling, and partial least squares (Smart-PLS 2.0) was used to evaluate the statistical significance being; Human and correlation between the predictors and criterion variables (Human asset; NorthernAsset, Financial Asset, and Well-being). The results of the study revealed Nigeria households; that accessibility to human assets and the financial asset has a positive Sustainability of livelihoods. effect on well-being. This study concludes that for well-being and prosperity to thrive in Northern Nigeria, rural households need to have access to human assets and financial assets to overcome poverty and vulnerability. Similarly, the study suggests further studies in another geographical context in Nigeria, the collection of data using a longitudinal survey and the examination of the effect of other livelihoods assets on wellbeing. Additionally, in terms of policy implication, the study suggests that concerned authorities in the Northern Nigeria in particular, and the Nigerian government, in general, should emulate the Malaysia strategy towards ensuring the well-being of the rural households through ensuring access to critical resources or assets that enhance well-being to support the sustainability of their livelihoods. © 2019 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Attaining wellbeing has become an issue that has generated a lot of concern because of its close relationship with poverty, and more importantly its economic dimension that is used as an indicator for poverty and ill-being (Ahmad et al., 2016). This has made the quest for wellbeing not only an international issue but also yardstick for the sustainability of livelihoods both in urban and rural areas. However, resources that are critical to the attainment of wellbeing are lacking, particularly, in subSaharan Africa where poverty and other forms of deprivation manifest more thereby making *Corresponding author (Yusuf Kasim). E-mail: abulmaryameduonly@gmail.com ©2019 International Transaction Journal

of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13K http://TUENGR.COM/V10A/10A13K.pdf DOI: 10.14456/ITJEMAST.2019.175

livelihood sustainability a more difficult task, therefore living standard in the SSA is poor and the sub-region has turn out to be the pool of poverty and ill-being in the World (Ochieng et al., 2017). Related to the above it has been asserted that the incidence of ill-being has resulted in having a significant population in sub-Saharan Africa in despair and hunger (Amao et al., 2017). Nigeria which is the focus of this study has its worrisome share of ill-being, poverty and deprivation, therefore, it is not surprising that studies revealed that issue of wellbeing, particularly, of rural households is appalling despite natural and human resources the country is endowed with (Amao et al., 2017; Kanayo, 2015). This submission attests to the branding of Nigeria as povertystricken country, although in the midst of abundance in human and material resources, with high rate of poverty, hunger, unemployment, high rate of out of school children, high rate of child and maternal death with an alarming rate of malaria (Jacob, 2015), thus wellbeing in Nigeria has become in doubt. Similarly, geopolitical zones in Nigeria have their share of poverty and ill-being with Northern Nigeria having highest population poor who are largely rural dwellers in wanton deprivation and illbeing (Udoh et al., 2017). The upsurge of literature about wellbeing indicates how important the issue of achieving wellbeing has become in today’s world for instance impact of foreign aid on wellbeing (Abubakar, 2015), impact of fair-trade on wellbeing (Seville et al., 2011), Zakat and wellbeing (Kasri, 2017), ecotourism and wellbeing (Lima & Hauteserre, 2014), effect of social capital on wellbeing (Seferiadis et al., 2015), role of economic growth towards promoting wellbeing (Quartey et al., 2017), effect of solid waste management on wellbeing (Rahman et al., 2017). However most of this studies conducted were in other geographical context and the very few conducted in sub-Saharan in Africa and Nigeria, were not in Northern Nigeria, particular on the effect of human and financial assets on the wellbeing of rural households, thus the need for this study in the empirical context chosen by this study. Accordingly, in its quest to study wellbeing of rural household in Northern Nigeria, this paper subscribed to the postulation of sustainable livelihood approach which sees the wellbeing within the frame unhindered access to livelihood asset, competent capabilities and other material and nonmaterial resources that are fundamental to the sustainability of livelihood as the means for achieving wellbeing (Morse & McNamara, 2013). Additionally, the choice of SLA was on the submission that, sustainable livelihood leads to wellbeing as it enhances the capabilities of households and protect them from poverty and vulnerability (Chambers, 1995). It has been asserted that, SLA is central to rural development and by implication it promotes wellbeing of rural households since it empowers them socially, economically and politically (Scoones, 2009), therefore this study finds SLA suitable for the present study. This paper therefore aims at exploring the relationship between human asset, financial asset and wellbeing of rural households in Nigeria.

2. LITERATURE REVIEW 2.1 WELLBEING Wellbeing represents a state of fulfillment, abundance in health and wealth which indicates a positive change in the quality of life of a person or group of persons. It is that material, psychological/meta-physical wellness that indicates an improvement in the quality and longevity of one’s life or of a population, resulting from upward improvement in income, access to community

Yusuf Kasim

assets and social services which create a material condition for good standard of living and general human development (Popova, 2017). In a similar view, wellbeing is conceived as a state in which wealth is created, thus giving birth to the attainment of the good life, secured livelihoods as well as socio-economic empowerment (Chambers, 1995). Accordingly, wellbeing is associated with a state of being happy which may either be occasioned by ties, a social relation or economic pathways that produce the condition of wellbeing (Seferiadis et al., 2015). In the context of this study, wellbeing represents a socio-economic condition that guarantees an increase in income, food security material health, savings and easy access to community capitals which, by and large, are fundamental to human development. Empirical studies established the linkage between access to livelihood assets and human wellbeing, and particularly, human asset and financial asset which are the concern of the present study for instance increase in households’ or individual income which enhance more consumption and savings (Adunga, 2013) standard of living, quality of life, income level and access to market (Popova, 2017), education and capabilities (Ahmad et al., 2016). These important elements of livelihood assets are considered to be effective towards improving the standard of living and quality of life of an individual or household which largely influences wellbeing status.

2.2 HUMAN ASSET Human asset symbolizes a collection of capabilities such as skills and aptitude, knowledge, a physical and mental ability that enable households and individual to conquer the ecosystem and meet livelihoods need (Butt et al., 2015). It entails an array of productive capacities that empower the individual or household towards earning livelihood which in turn secure the individual or household that accessed and utilized it (Kamaruddin & Samsudin, 2014). Fundamentally, human asset enables those that utilized it to have advantages of engaging into gainful employment, off-farm activities, and other forms of engagements that pay and support livelihoods accomplishment which lead to poverty reduction (Weiss, 2015). Sen (1997) argues that human asset rest on individual’s capabilities which involve knowledge, economic, social and mental capabilities which jointly would enhance investment and in turn lead to livelihoods attainment of the individual or household. It is therefore imperative to infer that, human asset depict knowledge, employment opportunities resulting from the physical and mental capability that all together empower those that utilized it and enable them in meeting their livelihoods requirements. Empirical literature stressed the linkage between access to human asset and poverty reduction, for instance it was established that access to human asset enhances income of household (Kamaruddin & Baharuddin, 2015), while in terms of food consumption it has been submitted that access to human asset improves and sustains food intake of households (Parmawati, 2018). Furthermore, the need to have access to human asset has been emphasized as it empowers households and helps towards improving their wellbeing (Sulemana et al., 2018). It has been observed that lack of education and low-level educational qualifications have relation to poverty incidence, as such level of education relates positively to sustainable poverty reduction (Ibrahim et al., 2018). Accordingly, it could be emphasized from the above overview that access to human assets consistently has an impact on sustainable poverty reduction as access to human assets enhances sustainable livelihoods. The referred studies were conducted in other contexts other than Nigeria and Northern Nigeria *Corresponding author (Yusuf Kasim). E-mail: abulmaryameduonly@gmail.com ©2019 International Transaction Journal

respectively, thus there is the need to further conduct a similar study in another environment to reassert the viability of access to human asset towards ensuring wellbeing. This study, therefore, presumes the positive effect of access to human asset towards attaining, therefore hypothesized that: H1: There is a positive relationship between access to human assets and Wellbeing.

2.3 FINANCIAL ASSET Financial asset implies a range of economic sources and resources that empower households and individual to accumulate wealth and make an investment, and develop livelihood strategy to sustain their livelihood (Ibrahim et al., 2018). Similarly, financial assets comprise of accessible stocks like cash and deposits, liquid-able assets such as livestock, and income or cash flow from regular income, farm and off-farm activities, transfers and remittance which improve livelihoods and provide an opportunity to accessing other livelihood assets (Bajwa, 2015). A financial asset is conceived as economic resource pathways that include deposits and credit in monetary terms, assets, and savings in banks as well as productive infrastructure that enhance livelihoods outcome and potential which in turn affect the wellbeing of households (Scoones, 2009). Empirical studies indicate the correlation between access to financial assets and the sustainability of livelihood outcomes and in turn wellbeing. A study conducted (Ibrahim et al., 2018) asserted that access to financial assets enhances access to health and medical facilities as the household can afford medical bills which have a resultant effect on human assets of the household. Similarly, a study conducted in Malaysia (Kamaruddin, & Baharuddin, 2015) stressed that income increase supports household livelihoods which further helps in improving their wellbeing. In line with this, it was further confirmed that access to financial assets enhances the wellbeing of households as a benefit of transfer was found to have a positive correlation with increased income (You et al., 2019). Furthermore, findings of a study conducted to support the importance of access to a financial asset, and particularly possession of the liquid asset and transfer from the government in form of support in improving the livelihoods of household and ensuring wellbeing (Patnaik, & Narayanan, 2015). The referred literature emphasized the importance of accessibility to the financial asset as a veritable resource for securing and ensuring the sustainability livelihood which could result in wellbeing. The referred studies were conducted in other contexts other than Nigeria and Northern Nigeria respectively, thus there is the need to further conduct a similar study in another environment to reassert the viability of access to financial asset towards ensuring wellbeing. Therefore, this study hypothesized that: H2: There is a significant positive relationship between access to financial assets and Wellbeing.

3. METHODOLOGY/MATERIALS This study adopts a quantitative research design. Specifically, cross-sectional design was employed and a questionnaire was used for the collection of data for this study which was basically for the purpose of exploring the effect of Human asset and Financial assets on the Well-being of rural households in Northern Nigeria. Similarly, descriptive survey was embraced as it measures what occurs rather than why it occurs (David, 2004). This survey approach was found suitable for this study. Additionally, the purposive sampling method was used to draw the sample for the study and the justification for the selection of the purposive sampling technique was based on existing literature

Yusuf Kasim

which indicated that Sokoto State is amongst the States with high incidence of poverty in Nigeria (Anyebe, 2015) vis-à-vis being homogenous with other State in Northern Nigeria. Similarly, purposive sampling was adopted in line with the submission that when the terrain is well known to the researcher purposive sampling can be good for a study, thus the sample drawn can stand as a representative sample (David, 2004). The sample size was determined using Krejcie and Morgan sample size determination table which indicated that 384 samples are adequate for a population of more than a million (1,000,000). Thus, this study 384 respondents were drawn within Sokoto State in line with (Krejcie & Morgan, 1970). The method for data analysis used in this study was Structural Equation Modelling using partial least squares software (Smart-PLS 2.0) path modeling in line with (Joe F Hair, Ringle, & Sarstedt, 2011). The justification for using PLS-SEM was based on its efficacy of both assessing the measurement model as well as the structural model as asserted (Hair et al., 2011).

4. RESULTS AND FINDING This section of the paper deals with the evaluation of the data collected from the selected respondents within the empirical area using PLS-SEM 2.0 as submitted (Hair, Hult, Ringle, & Sarstedt, 2014). In the evaluation process measurement model was considered through the assessment of Average Variance Extracted (AVE), items loading and discriminant validity for both the predictors and criterion variables, while in assessing the structural model hypotheses were tested through the assessment of path coefficient, while R2, effect size f 2 and model’s predictive significance were all determined.

4.1 ASSESSMENT OF MEASUREMENT MODEL As stated earlier in the methodology part, Partial Least Square (Smart PLS 2.0) was used for the assessment of the measurement model (Hair et al., 2014) as the tool for the analysis of data in this study. The scientific tool employed for the analysis of the data assesses measurement model which basically evaluates the reliability of the measures of the variable of a study, in particular, it assesses the reliability of the measures of all the reflective variables of this study (HA, FA &WB) which by and large explore the goodness of fit of the model itself so as to attain universal practicability (Hoe, 2008). Figure 1 shows the measure model via the PLS algorithm.

Table 1 : Factor Loading, Composite Reliability & Convergent Validity Construct

Human Asset

Financial Asset

Wellbeing

Items Loadings AVE Composite Reliability HA01 0.45 0.50 0.83 HA04 0.63 HA06 0.78 HA07 0.82 HA08 0.79 FA01 0.76 0.61 0.76 FA02 0.81 WB01 0.83 0.50 0.76 WB02 0.79 WB07 0.58 WB09 0.44 Source: Simulation by Researcher

Table 1 above shows the results of measurement model assessment related to factor loading, AVE and composite reliability of the study’s constructs (HA, FA, WB). Additionally, the results indicate that all the parameters for assessing measurement scale are met, for instance, all the loadings attained the minimal value required of an item for it to be an accepted indicator measuring construct ranging between 0.44 and 0.83 see (Hair et al., 2014). Similarly, the values of the AVE and composite reliability assessed are all within the accepted levels with AVEs of 0.50 (HA); 0.61 (FA); and 0.50 (WB) as expressed (Hair et al., 2014). Therefore, it is pertinent to say that reliability, internal consistency, and convergent validity are all achieved by this study. Additionally, Discriminant validity was assessed in this study as suggested by literature (Hair et al., 2014). In this context, discriminant validity was basically assessed to ascertain how the measures of the study’s constructs converge in capturing their respective constructs which were evaluated using the square root of AVE of the individual construct. Diagonally the values of AVEs’ are greater than the loadings beneath it, hence it shows that discriminant validity is attained. Table 2 demonstrates further. Table 2: Discriminant Validity (Fornell-Lacker Criterion) (Source: PLS Output). Financial Asset Human Asset Wellbeing

Financial Asset 0.78 0.23 0.51

Human Asset

Wellbeing

0.71 0.29

0.70

4.2 ASSESSMENT OF STRUCTURAL MODEL In particular, assessment of structural model deals with testing (statistically) validity of the hypothesis and this study, two (2) hypotheses were examined using path-coefficients, coefficient of determination, individual contribution (effect size) and the model’s predictive weight, while bootstrapping method was employed for the path-coefficient assessment (hypothesis testing) all the hypotheses being directional (1-Tailed). The Figure 2 shows the path modeling. Table 3: Results of Hypothesis Testing (Source: Author’s PLS-SEM Output) Construct Financial Asset  Wellbeing Human Asset  Wellbeing

Beta 0.47 0.18

STD. Err 0.06 0.06

T. Values 8.12 3.25

Judgment Supported Supported

Table 3 captures the results for hypothesis testing which revealed that all the hypotheses of the study are statistically and positively significant, thus supporting the assertion that there is strong positive relationship between access to Financial asset (FA) and Wellbeing (WB) with β-value of

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0.47 and t-value of 8.12, as well as between access to Human asset (HA) and Wellbeing (WB) with a β-value of 0.18 and t-value of 3.25 respectively.

Figure 2 Structural Model (PLS Bootstrapping).

4.3 DETERMINATION OF R2 In the evaluation of the structural model determining the value of R2 is very central therefore this study considered as suggested (Hair et al., 2014). The significance of the coefficient of determination cannot be overemphasized because it sums up the total effect of the exogenous constructs on the endogenous construct. It has been posited that the coefficient value attained could be substantial, moderate and weak at 0.75; 0.50 and 0.25 respectively (Hair et al., 2014). It should be noted that the coefficient of determination Table 4 usually indicates variance explained which in this study 0.289 above the weak threshold, therefore it could be deduced that the construct of this study contributes about 29% in attaining wellbeing. Table 4: Coefficient of Determination (R2) (Source: Author’s PLS Algorithm) Construct Wellbeing

R-Squared value (R2 ) 0.289

The next technical endeavor by this study is the determination of the effect size f2 which basically aimed at evaluating the individual contribution of the exogenous constructs (IVs) which is done through excluding, one after the other, the individual exogenous constructs to what change will occur in original value of the R2 (Included), thus the formula was used as espoused (Hair et al., 2014) was adopted which summarized effect size as

(1). Table 4: Evaluation of Effect Size (Source: Simulation by the Researcher). Latent Construct Financial Asset Human Asset

R2 Included 0.29 0.29

R2 Excluded 0.14 0.26

F-Squared 0.22 0.04

Effect Size Medium Small

Table 4, results show that all the exogenous constructs of the study have an effect on the endogenous construct since the removal of the individual construct caused changes in the coefficient of determination R2, therefore it suffices to say the exogenous constructs have an impact (medium *Corresponding author (Yusuf Kasim). E-mail: abulmaryameduonly@gmail.com ©2019 International Transaction Journal

and small) on the outcome (endogenous construct).

4.4 EVALUATION OF PREDICTIVE RELEVANCE This component of the study assesses the predictive worth of the study’s model and in line with that blindfolding technique was used via evaluation of construct cross-validated redundancy as suggested (Geisser, 1974). The function of predictive relevance rests on its assessment of the goodness of fit of a research model on the premise that if the Q2 value of a model is greater than zero (>0) predictive relevance is achieved by the model (Hair et al., 2014). Accordingly, in line with the above suggestion, it could be deduced that predictive worth by this research is achieved as indicated by Table 5, (SSE = sum square error; SSO = sum square observed). Table 5, the result shows that the Q2 value of the model is greater than zero as such the model is relevant as its predictive ability is with the threshold. Table 5: Predictive relevance (Source: Author’s Blindfolding Output). Total Wellbeing

SSO 1292

SSE 1168.77

1-SSE/SSO 0.0954

4.5 DISCUSSION OF FINDINGS This component of the paper narrates the findings of the study which correlates with previous studies conducted in a different empirical context. It captures the tested hypothesized relationships between predictor (exogenous) variables and the criterion (endogenous) variable. Therefore, the PLSSEM tool of analysis employed estimated the statistical significance of the relationship as buttressed below. 4.5.1 HUMAN ASSET AND WELLBEING Accordingly, H1 states that there is a positive relationship between access to human assets and Wellbeing. Thus to evaluate that PLS bootstrapping was used to ascertain the path coefficients and the results indicate a very significant relationship between access human asset (HA) and wellbeing (WB) with a β-value of 0.18 and t-value of 3.25 (***) which support the position that rural households in Northern Nigeria should have access to Human asset so as to achieve wellbeing. This finding corroborates the findings of (Ibrahim et al., 2018) that ill-being status of the study’s respondent was because they do not have access to Human asset. Similarly, the finding of this study concurs with the results of (Kamaruddin & Baharuddin, 2015) that access to Human assets enhances the income of the study’s respondents thereby improving the wellbeing of their households. Relatedly, the result of this study is in line with a previous study (Kamaruddin & Samsudin, 2014) in which access to human asset was found to have an impact towards enhancing the wellbeing of the rural poor in Malaysia. Accordingly, this study submits that, for a rural household in Northern Nigeria to achieve wellbeing they must be human asset secure which by and large would enrich them, like knowledge, skills, and maternal health are sacrosanct to achieving wellbeing. 4.5.2 FINANCIAL ASSET AND WELLBEING Similarly, as with the first hypothesis, H2 states that, there is a positive relationship between access to financial asset (FA) and wellbeing (WB), therefore to ascertain that PLS bootstrapping was

Yusuf Kasim

ran to examine path significance, and the results show a very significant positive relationship between access to FA and WB with a β-value of 0.47 and t-value of 8.12 (***) thus signifying strong positive correlation. This finding corroborates a study by (Ibrahim et al., 2018) which mentioned the importance of financial assets towards improving the standard of living. Similarly, livelihood study conducted results indicated the importance of financial assets towards acquiring another livelihood asset which makes life prosperous and hence wellbeing (Udoh et al., 2017). In a related study on income, diversification results indicate the importance of financial asset in further investment which leads to more income to the households which would have a resultant effect on the overall wellbeing of the household through diversified means of generating income (Loison et al., 2017). Additionally, finding of this study concurs with a study conducted in six countries (Cambodia, Nepal, the Philippines, Sri Lanka, Thailand, and Vietnam) whose finding shows that acquisition of financial asset has efficacy in reducing poverty hence wellbeing is attained (Boonyabancha & Kerr, 2015). Consequently, it is therefore based on the finding of this study and other empirical studies that this paper submits that for the wellbeing of rural households in Northern Nigeria to be achieved, access to FA or its acquisition is very critical as it enhances income-earning which by and large has effect on their overall living standard.

4.6 IMPLICATION OF THE STUDY The empirical findings of this study indicate that, access to livelihood assets, particularly, the variables of this study i.e (Human asset and FA) are very critical towards ensuring wellbeing of rural households not only in the empirical area but in other contexts as empirical findings from other societies were brought to fore which converged with the findings of this study. Empirically, the finding of this study shows that poor rural households could overcome poverty and ill-being if they strive and conquer livelihood assets, particular, they should access and harness the element of human assets and financial assets. Managerially, the finding of this study provides government and policymakers a strategic paper towards making and implementation of policies that would enhance access to livelihood assets which by and large would impact positively on the wellbeing of the rural households in Northern Nigeria and beyond. This could be achieved through adoption of comprehensive policies and programmes which would have impact on the wellbeing of rural households for instance Malaysian government deployed strategies that enhanced households’ human and financial assets which, by and large, influence wellbeing like development of human resource through effective education policies from primary school to tertiary level, TVET which have effect of human asset; while with regard to financial asset Amanah Ikhtiar provides loans without collateral, establishment of community shop (Kedai Rakyat 1Malaysia) which subsidizes goods and consumable which in turn results in saving cost, whose combined effect have impact on wellbeing (Abdelatti et al., 2016). Similarly, effective entrepreneurial programs (Kamaruddin & Samsudin, 2014) developed by the Malaysia government should be adopted by the government in Northern Nigeria and beyond to promote the wellbeing of rural households. Theoretically, this study has confirmed the postulation of the sustainable livelihood approach which emphasized the efficacy of livelihood assets in curtailing poverty and vulnerability, *Corresponding author (Yusuf Kasim). E-mail: abulmaryameduonly@gmail.com ©2019 International Transaction Journal

thus it guarantees wellbeing.

5. CONCLUSION The study was conducted to assess the impact of access to livelihood assets, particularly, human assets and financial assets on the wellbeing of rural households in Northern Nigeria. The findings of the study confirmed the efficacy of human assets and financial asset on wellbeing. This study adds value to the existing body of knowledge through establishing the correlation between livelihood assets and wellbeing of rural households in Northern Nigeria, particularly, the constructs of this study HA and FA. Recommendations were made to bridge the limitation of the present study, while inferences were drawn from Malaysia which should be adopted to achieve wellbeing in Northern Nigeria.

6. REFERENCES [1] Abdelatti, H., Elhadary, Y., And, & Samat, N. (2016). Addressing poverty in Sudan and Malaysia: A Story of Success and Contraint. Journal of Sustainable Development, 9(2), 206–220. [2] Abubakar, A. M. (2015). Linking aid, pro-poor public spending and poverty reduction : A cross country panel analysis using eight poverty and wellbeing indicators. Developing Countries Studies, 5(14), 80–87. [3] Adunga, E. (2013). Factors influencing income levels of (agro) pastoral communities: International Journal of Social Economics, 40(3), 207–219. [4] Ahmad, N. F., Mansor, M., & Paim, L. (2016). Income poverty and well-being among Vulnerable Households: A Study in Malaysia. Asian Social Science, 12(2). [5] Amao, J. O., Ayantoye, K., & Fanifosi, G. E. (2017). An analysis of multidimensional poverty and its determinants in rural Nigeria. Journal of Development and Agricultural Economics, 9(10), 303–311. [6] Anyebe, A. A. (2015). An assessment of the poverty eradication program ( NAPEP ) in Nigeria. Journal of The Faculty of Economics and Administrative Sciences, 5, 13–28. [7] Bajwa, S. K. (2015). A study of the status of livelihood assets at household level: Evidence from Saidpur Village. [8] Boonyabancha, S., & Kerr, T. (2015). How urban poor community leaders define and measure poverty. Environment and Urbanization, 27(2), 637–656. [9] Butt, T. M., Gao, Q., Zakaria, M., & Hussan, Y. (2015). An analysis of the effectiveness of farmer field school (FFS) approach in sustainable rural livelihood (SRL): The experience of Punjab-Pakistan. Agricultural Sciences, 6(6), 1164–1175. [10] Chambers, R. (1995). Poverty and livelihoods : whose reality counts ? Environment and Urbanization, 7(1), 173–204. [11] David, E. G. (2004). Doing Research in the Real World. Sage publications in London. [12] Geisser, B. Y. S. (1974). A predictive approach to the random effect model. Biometrik, 2, 101–107. [13] Hair, J. F., Hult, G. T. M., Ringle, C. M., & Sarstedt, M. (2014). Partial least squares structural equation modeling ( PLS-SEM ). Sage publications Ltd, London. [14] Hair, J. F., Ringle, C. M., & Sarstedt, M. (2011). PLS-SEM : Indeed a silver bullet. Journal of Marketing Theory and Research, 19(2), 139–151. [15] Hoe, S. L. (2008). Issues and procedures in adopting the structural equation modeling technique. Journal of Applied Quantitative Methods, 3(1), 76–83.

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[16] Ibrahim, A. Z., Hassan, K. H., & Kamaruddin, R. (2018). The level of livelihood assets ownership among vulnerability group in East Coast of Malaysia. European Journal of Sustainable Development, 7(3), 157–161. [17] Jacob, J. (2015). Illusions to poverty reduction in Nigeria. International Journal of Innovative Research and Development, 4(10), 343–356. [18] Kamaruddin, R. & Baharuddin, A. (2015). The importance of good aquaculture practices in improving fisher'sincome: a case of Malaysia. International Journal of Social Economics, 42(12), 1090–1105. [19] Kamaruddin, R. & Samsudin, S. (2014). The sustainable livelihoods index : A tool to assess the ability and preparedness of the rural poor in receiving the entrepreneurial project. Journal of Social Economics Research, 1(6), 108–117. [20] Kanayo, O. (2015). Poverty incidence and reduction strategies in Nigeria : Challenges of Meeting 2015 MDG Targets. Journal of Economics, 5(2), 201–217. [21] Kasri, R. A. (2017). Determinants of poverty amongst zakah recipients in Indonesia: a household level analysis. International Journal of Islamic Economics and Finance Studies, 3(3), 30–40. [22] Krejcie, R. V, & Morgan, D. W. (1970). Determining sample size for research activities. Educational and Psychological Measurement, 38(1), 607–610. [23] Lima, I. B., & Hauteserre, A. (2014). Community capitals and ecotourism for enhancing Amazonian forest livelihoods. Anatolia: An International Journal of Tourism and Hospitality Research, 22(2), 37– 41. [24] Loison, A., Harriet, S., & Bignebat, C. (2017). Patterns and determinants of household income diversification in rural Senegal and Kenya. Journal of Poverty Alleviation and International Development, 8(1), 93–126. [25] Morse, S., & McNamara, N. (2013). Sustainable livelihood approach. https://doi.org/10.1007/97894-007-6268-8 [26] Ochieng, A., Cheruiyot, T., Tarus, D., & Kenya, M. (2017). Effect of economic and political empowerment on community wellbeing. Journal of Public Policy and Governance, 1(1), 14–24. [27] Parmawati, R. (2018). Analysis of poverty in forest surroundings. Jurnal Antropologi: Isu-Isu Social Budaya, 20(1), 1–15. [28] Patnaik, U., & Narayanan, K. (2015). How effective are coping mechanisms in securing livelihoods against climatic aberrations? International Journal of Climate Change Strategies and Management, 7(3), 359–374. [29] Popova, Y. (2017). Relations between wellbeing and transport infrastructure of the Country. In Procedia Engineering (Vol. 178, pp. 579–588). [30] Quartey, P., Danquah, M., & Iddrisu, A. M. (2017). Rural Financial Intermediation and Poverty Reduction: Evidence from Ghana Final Report for UGRF (8th Call) Grant. [31] Rahman, M. Z., Siwar, C., Begum, R. A., & Author, C. (2017). Achieving sustainable livelihood through solid. International Journal of GEOMATE, 12(30), 19–27. [32] Scoones, I. (2009). Livelihoods perspectives and rural development. Journal of Peasant Studies, 36(1), 171–196. [33] Seferiadis, A. A., Cummings, S., Zweekhorst, M. B. M., & Bunders, J. F. G. (2015). Producing social capital as a development strategy: Implications at the micro-level. Progress in Development Studies, 15(2), 170–185. *Corresponding author (Yusuf Kasim). E-mail: abulmaryameduonly@gmail.com ©2019 International Transaction Journal

[34] Seville, D., Buxton, A., & Vorley, B. (2011). Under what conditions are value chains effective tools for pro-poor development? World. Retrieved from http://pubs.iied.org/pdfs/16029IIED.pdf [35] Sulemana, M., Francis, B., & Malongza, I. (2018). Development in practice assessment of the livelihood empowerment against poverty program in Karaga district, Ghana program in Karaga District, Ghana. Development in Practice, 4524, 1–11. [36] Udoh, E. J., Akpan, S. B., & Uko, E. F. (2017). Assessment of sustainable livelihood assets of farming households in Akwa Ibom State, Nigeria. Journal of Sustainable Development, 10(4). [37] You, H., Hu, X., Bie, C., & Zhou, D. (2019). Impact of livelihood assets on farmland-Transferred Households ’ Willingness to Urbanism and Policies Implications for farmland transfer : Evidence from Zhejiang, China. Hindawi Discrete Dynamics in Nature and Society, 1–13.

Dr.Yusuf Kasim is a Chief Lecturer at the Department of Public Administration, Umaru Ali Shinkafi Polytechnic, Sokoto, NIGERIA. His research encompasses Poverty and Wellbeing study.

Trademarks Disclaimer: All products names including trademarks™ or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. The use of them does not imply any endorsement or affiliation.

Yusuf Kasim

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 10A13L

PERFORMANCE EVALUATION USING NETWORK DATA ENVELOPMENT ANALYSIS APPROACH WITH GAME THEORY UNDER MIXED GREY-FUZZY UNCERTAINTY IN IRAN KHODRO COMPANY Maryam Tabasi a, Mehrzad Navabakhsh a*, Hafezal Kotobashkan a, Reza TavakkoliMoghaddam b a b

Department of Industrial Engineering, South Tehran Branch, Islamic Azad University, Tehran, IRAN. Department of Industrial Engineering, College of Engineering, University of Tehran, Tehran, IRAN. ARTICLEINFO

A B S T RA C T

Article history: Received 10 June 2019 Received in revised form 15 July 2019 Accepted 01 August 2019 Available online 14 August 2019

Standard Data Envelopment Analysis (DEA) is a method for performance evaluation which does not consider the internal relations between decision making units (DMUs). Evaluating DMUs as blackboxes makes the evaluation unreal. Multistage DEA considers the internal structure of DMUs. In this article, all the outputs of first stage will be the only inputs of second stage which are also named intermediate measures. Both cooperative and non-cooperative games can be useful to obtain efficiency scores of DMUs. This study have used Nash bargaining game, Centralized and Stackelberg game to obtain efficiency of each DMU and the result show that efficiencies obtained from centralized game are the same as efficiencies obtained from Stackelberg game and they are greater than efficiencies obtained from Nash game. Also in real world the data is not always certain. We use both fuzzy and grey theory to widely manage the real situation. The case study of this article is Iran Khodro Company which is one of the most important companies at automobile industry and has a wide process of delivering for automobiles.

Keywords:

Fuzzy Sets Theory; Grey Theory; DEA; Stackelberg game; Centralized game; Nash game; Decision making unit (DMU).

1. INTRODUCTION Performance evaluation always is one of the most important activities to survey current situation and to discover improvement opportunities. Among lots of methods, Data Envelopment Analysis (DEA) is one of the best, because of its ability to spot multiple inputs and outputs. Network DEA considers the internal relation between inputs and outputs. In many cases outputs from the first stage become the inputs to the second stage. Outputs from the first stage are referred to as intermediate measures. For example, Seiford and Zhu [1] use a two- stage network structure to measure the *Corresponding author (Mehrzad Navabakhsh). E-mail: m_navabakhsh@azad.ac.ir

©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 19069642 CODEN: ITJEA8 Paper ID:10A13L http://TUENGR.COM/V10A/10A13L.pdf DOI: 10.14456/ITJEMAST.2019.176

profitability and marketability of US commercial banks. Profitability is measured relative to labor and assets as inputs, and the profits and revenues are outputs. In the second stage, for marketability, the profits and revenue are then used as inputs, while the outputs are market value, returns and earnings per share. Chilingerian and Sherman [2] evaluate measuring physician care with a two-stage process. The first stage with inputs including registered nurses, medical supplies, capital and fixed costs is a manager-controlled process. The outputs are patient days, quality of treatment, drugs dispensed among others. These outputs are also the inputs of the second stage. The second stage is physician-controlled. Research grants, quality of patients, and quantity of individuals trained by specialty are the outputs of the second stage. These DEA approaches with two-stage network structure use the standard DEA approach which does not consider the potential conflicts between the two stages arising from the intermediate measures. For example, in order to achieve an efficient status, the second stage may have to reduce its inputs (intermediate measures). So the outputs of the first stage will reduce, thereby the efficiency of first stage will reduce. To solve such conflict, Kao and Hwang [3] combine the efficiency scores of the two stages in a geometric manner, and Chen et al. [4] aggregate the two stages using weighted additive model. Liang et al. [5] using game theory concept developed some DEA models. Specifically, Liang et al. [5] develop a Stackelberg game model of a centralized or cooperative game Model. This paper applies both cooperative and non-cooperative game to obtain the efficiency score of stages in the existence of mixed uncertainties.

2. LITERATURE REVIEW The overall efficiency of network DEA models is the product of the efficiency of the different processes so alternative efficiency decompositions are possible. Therefore there can be different efficiency scores that correspond to the same level of overall efficiency. So there can be multiple alternative efficiency decompositions and the problem is which efficiency decomposition is better to use. In two-stage systems, there are different approaches of solving the uncertainty about how the processes efficiencies should be computed. One approach is to compute the best and worst possible efficiency scores of each process, by choosing the best score for one process and the worst for the other process, depending on which process efficiency is the decision maker more concerned with [5],[6]. The problem with this approach is that the analyst has to establish an order or ranking of the importance of the processes, something which is neither easy nor practical in the case of more than two stages [8]. Despotis et al. propose a model for computing an Ideal Point with the largest possible efficiency scores of each stage and then determine the process efficiencies using the lexicographic weighted Chebycheff method. This approach can be applied to general multistage networks. Another approach in the case of two-stage systems is to look for efficiency decompositions based on game theory [8]. DMUs are viewed as players in a game, payoffs are cross-efficiency scores, and each DMU may choose to take a game to maximize its payoff [9]. A Stackelberg game was proposed by Liang et al. [8]. This type of leader-follower game is 2

Maryam Tabasi, Mehrzad Navabakhsh, Ashkan HafezalKotob, Reza Tavakkoli-Moghaddam

difficult to extend and would imply an ordering of the importance of the different processes. For the case of two-stage systems, Du et al. [25] have proposed the Nash bargaining solution. This is a cooperative game approach and can be used to the multistage systems.

3. APPROACH In this part the approach using three different methods of game theory considering the uncertainty of both fuzzy and grey theory is presented.

3.1 FUZZY SETS THEORY Fuzzy numbers and linguistic variables are presented as following: Variables whose values are words or sentences in natural or artificial languages are named linguistic variables [10]. The values of linguistic variables can be quantified. For instance, performance ratings of alternatives can be described using linguistic variable, such as very bad, bad, partly bad, mediate, partly good, good and very good, given by the decision makers (DMs). Normal interval grey numbers can represent these linguistic positive values, including [0.0, 0.1], [0.1, 0.3], [0.3, 0.4], [0.4, 0.6], [0.6, 0.7], [0.7, 0.9], and [0.9, 1.0], respectively.

3.2 GREY RELATIONAL ANALYSIS Grey relational analysis provides a mathematical way to evaluate the correlation between the series that compose a set space [11], [12], [13]. Each alternative contains a set of criteria. A grey relational space is the set of values of all alternatives together. The grey relational analysis can capture the correlations between the reference level and other compared factors of a system [14]. The grey relational analysis can recognize both qualitative and quantitative relationships among complex factors in a system [15]. Various normalization methods can be employed to express criteria in dimensionless units in order to be comparable [16]. Following are some concepts [17], [18], [19]. Suppose X is a decision set of grey relations, x0X the referential sequence and xiX the comparative sequence with x0(k) and xi (k) representing, respectively, the numerals at point k for x0 and xi. The relation (x0(k), xi(k)) is the grey relational coefficient of these factors in point k if (x0(k), xi(k)) and (x0 , xk) are real numbers and satisfy the following four grey axioms, and the average value of (x0(k),xi(k)) is the grade of grey relation (x0 ,xk). (1) Norm interval 0(x0 ,xk) 1,k; if x0 =xi then (x0 ,xk)=1,; if x0 =xi, where  is an empty set then(x0 ,xk)=0,. (2) Duality symmetric If x, yX and X={x,y}(x,y)=(y,x), (3) Wholeness If X={xii=0,1,…,n} , n>2 then (xi ,xj )(xj ,xi). (4) Approachability When x0(k)-xi(k) is increasing then (x0(k),xi(k)) is decreasing. According to the above four axioms, the grey relational coefficient is computed by *Corresponding author (Mehrzad Navabakhsh). E-mail: m_navabakhsh@azad.ac.ir

i (k) =

min i

− + + min|[u− 0 (k),u0 (k)]−[rik ,rik ] |+ρ max

k + − + |[u− 0 (k),u0 (k)]−[rik ,rik ]

|+ρ max i

− + + max|[u− 0 (k),u0 (k)]−[rik ,rik ]| k

+ − + max|[u− 0 (k),u0 (k)]−[rik ,rik ]|

(1)

Where x0(k)-xi(k)=i(k), and ζ is the distinguished coefficient. The distinguished coefficient lies between 0 and 1. A value of 0.5 has been employed in the real-life situations [19], [20].

3.3 PROPOSED FUZZY GREY RANKING METHOD The procedure of the fuzzy grey ranking method is consist of the below issues. If a multiple attribute decision-making problem with interval numbers has m feasible plans X1 , X2 , … , Xm and n indexes G1 , G2 , … , Gn and the index value of j-th index Gj of alternative Xi is an interval number [a−ij , a+ij ] , i = 1,2, … , m , j = 1,2, … , n. Briefly in our approach, first and second stage prepare the data, third stage provides an ideal vector, fourth stage calculates connection coefficients based on decision maker selection of the distinguishing coefficient. Calculating Grey Relational Analysis is consisting of following steps: Step1. Convert linguistic or fuzzy variables to normal interval grey numbers according Table 1. Obviously this method does not calculate positive criterion the same as negative criterion. Positive criterion or benefit criterion is the criterion that, the greater Gj is, better its performance. For example job experience or output of a decision maker unit. And negative criterion or cost criterion is the criterion that, the smaller Gj is, better its performance. For example transportation cost or input of a decision maker unit. Linguistic variables are related to normal interval grey numbers in Table1. Table 1.Linguistic variables related to normal interval grey numbers Linguistic variable for positive criterion for negative criterion Very bad Very high bad high partly bad partly high mediate mediate partly good partly low good low Very good Very low

normal interval grey number [0.0,0.1] [0.1,0.3] [0.3,0.4] [0.4,0.6] [0.6,0.7] [0.7,0.9] [0.9,1.0]

Step2. Construct decision matrix A with normal interval grey numbers. + + + − − − , r11 , r12 , r1n [r11 ] [r12 ] … [r1n ] + + + − − − , r22 , r2n [r22 ] … [r2n ] A= [r21 , r21 ] … … … … + − + − − + [[rm1 , rm1 ] [rm2 , rm2 ] … [rmn , rmn ]]

(2)

Step3. Determine reference number sequence. The element of reference number sequence is composed of the optimal weighted interval number index value of every plan + + + − − U0 = ([u− (3) 0 (1), u0 (1)], [u0 (2), u0 (2)], … , [u0 (n), u0 (n)]) is called a reference number sequence if Maryam Tabasi, Mehrzad Navabakhsh, Ashkan HafezalKotob, Reza Tavakkoli-Moghaddam 4

+ − − u+ 0 (j) = max rij , j=1,2,…,n u0 (j) = max rij 1≤i≤m

1≤i≤m

Step4. Calculate the connection between the sequences composed of interval number standardizing index value of every plan and reference number sequence. First, calculate the connection coefficient i (k) with formula (1) between the sequence composed of interval number standardizing index value of every plan + − + − + − (n), rin (n)]) and reference number sequence with formula(3) ([ri1 , ri1 ], [ri2 , ri2 ], … , [rin

Ui =

Here ρ ∈ [0,1] is called a distinguishing coefficient. The smaller ρ is, the greater it’s distinguishing power. In general, the value of ρ may change according to the practical situation. The classical grey-related parameter ρ is equivalent to the proportion of emphasis given to the max function. Our study follows most existing work and sets a classical grey-related parameter to 0.5.

3.4 NETWORK DATA ENVELOPMENT ANALYSIS APPROACH In the standard DEA, the units are treated as black-boxes and internal structures of DMUs are ignored. So Network Data Envelopment Analysis is suggested. Two-stage network structures are processes where outputs from the first stage become inputs to the second stage. The outputs from the first stage are called intermediate measures. The standard DEA approach does not address potential conflicts between the two stages arising from the intermediate measures. For example, in order to achieve an efficient status, the second stage may have to reduce its inputs (intermediate measures). Such an action would reduce the first stage outputs, so the efficiency of that stage will reduce. Liang et al. [5] solved such conflict, they developed a number of DEA models using game theory concept. Specifically, they developed a leader–follower model, and a centralized or cooperative game model.

4. GAME THEORY Game theory helps NDEA (Network Data Envelopment Analysis) to obtain the efficiencies of DMUs. First we explain about three different models, and then we use and compare them.

4.1 NASH BARGAINING GAMe MODEL Two stages are two individuals bargaining with each other for a better payoff, which is the efficiency of each individual stage. This paper shows that non-linear Nash bargaining model can be converted into a linear programming problem which has one parameter whose lower and upper bounds can be determined. In this model, the standard DEA model determines the breakdown or status quo point. The selection of the breakdown point will affect the bargaining efficiency scores of the two stages. Figure 1 shows a two-stage process. We suppose there are n DMUs and each DMUj(j = 1, 2, ..., n) has m inputs to the first stage, denoted by 𝑥𝑖𝑗 (i = 1, 2,..., m), and d outputs from this stage, denoted by 𝑧𝑑𝑗 (d = 1, 2, ..., D). Then these d outputs become the inputs to the second stage, which are called intermediate measures.𝑦𝑟𝑗 (r =1, 2,... , s) shows the s outputs from the second stage. *Corresponding author (Mehrzad Navabakhsh). E-mail: m_navabakhsh@azad.ac.ir

Based upon the constant returns to scale (CRS) model, the (CRS) efficiency scores for each DMUj(j = 1,2,. . . ,n) in the first and second stages can be defined by 𝑒𝑗1 and 𝑒𝑗2 , respectively, 𝑒𝑗1 =

1 ∑𝐷 𝑑=1 𝑤𝑑 𝑧𝑑𝑗

∑𝑚 𝑖=1 𝑣𝑖 𝑥𝑖𝑗

∑𝑠

𝑢𝑟 𝑦

≤ 1𝑒𝑗2 = ∑𝐷𝑟=1 𝑤2 𝑧 𝑟𝑗 ≤ 1 𝑑=1

(4)

𝑑 𝑑𝑗

where 𝑣𝑖 , 𝑤𝑑1 , 𝑤𝑑2 and 𝑢𝑟 are unknown non-negative weights. Then in a linear fractional programming problem which can be converted into a linear CRS DEA model, these ratios are optimized [22]. 𝐷𝑀𝑈𝑗 , j=1,…, n

𝑥𝑖𝑗 , 𝑖 = 1, … , 𝑚

𝑧𝑑𝑗 , 𝑑 = 1, … , 𝐷

𝑦𝑟𝑗 , 𝑟 = 1, … , 𝑠

Figure1: The two-stage process. As noted both in Kao and Hwang [3] and Liang et al. [5], it is reasonable to set 𝑤𝑑1 equal to 𝑤𝑑2 , since the value assigned to the intermediate measures should be the same regardless of whether they are viewed as inputs to the second stage or outputs from the first stage. Then in this case, given the individual efficiency scores 𝑒𝑗1 and 𝑒𝑗2 , we define the overall efficiency of the entire two-stage process for DMUj (j = 1,. . . ,n) as 𝑒𝑗 = 𝑒𝑗1 . 𝑒𝑗2 since 𝑒𝑗 =

∑𝑠𝑟=1 𝑢𝑟 𝑦𝑟𝑗 ∑𝑚 𝑖=1 𝑣𝑖 𝑥𝑖𝑗

1 𝑠 ∑𝐷 𝑑=1 𝑤𝑑 𝑧𝑑𝑗 ∑𝑟=1 𝑢𝑟 𝑦𝑟𝑗 . 2 ∑𝑚 ∑𝐷 𝑑=1 𝑤𝑑 𝑧𝑑𝑗 𝑖=1 𝑣𝑖 𝑥𝑖𝑗

= 𝑒𝑗1 . 𝑒𝑗2

(5)

The definition (Equation (5)) ensures that 𝑒𝑗 ≤1 from 𝑒𝑗1 ≤ 1 and 𝑒𝑗2 ≤1, also the overall process is efficient if and only if 𝑒𝑗1 = 𝑒𝑗2 = 1. The Nash approach is to regard the process as a centralized model, where the overall efficiency given in (5) is maximized, and by finding a set of multipliers, a decomposition of the overall efficiency is obtained. This decomposition produces the largest first (or second) stage efficiency score while maintaining the overall efficiency score. We first briefly introduce the Nash bargaining game approach. The set of two players in the bargaining is denoted by N = {1, 2}, and a payoff vector is an element of the space 𝑅 2. We assume S as a feasible subset of the payoff space, and a breakdown point ⃗⃗⃗⃗⃗ 𝑏 is an element of the payoff space. A bargaining problem can be specified as the triple (N, S, ⃗⃗⃗⃗⃗ 𝑏 ) consisting of participating individuals, feasible set, and breakdown point. The feasible set should be compact, convex, and contain some payoff vector such that each individual’s payoff is at least as ⃗⃗⃗⃗⃗ ) that is large as the individual’s breakdown payoff [23]. The solution is a function F (N, S,𝑏 associated with each bargaining problem (N, S,⃗⃗⃗⃗⃗𝑏). A reasonable solution should satisfy the four properties: (i) Pareto efficiency (PE), (ii) invariance with respect to affine transformation (IAT), (iii) independence of irrelevant alternatives (IIA), and (iv) symmetry(SYM) [23], [24]. These properties are extensively discussed in the literature. We regard the two individual stages as two players, the efficiency ratios as the payoffs, and 6

Maryam Tabasi, Mehrzad Navabakhsh, Ashkan HafezalKotob, Reza Tavakkoli-Moghaddam

weights chosen for efficiency scores as strategies. To proceed, one needs to find a breakdown point for stages 1 and 2. If one decides not to bargain with the other player, the breakdown point represents possible payoff pairs obtained. A number of elements can be natural candidates for this role. If the two stages do not negotiate, their efficiency scores will be the worst. Note that such a DMU may not exist, however, its inputs and outputs are observed. Let 𝑥𝑖𝑚𝑎𝑥 = max{𝑥𝑖𝑗 } , 𝑦𝑟𝑚𝑖𝑛 = 𝑗

min{𝑦𝑟𝑗 } , 𝑗

𝑧𝑑𝑚𝑖𝑛

= min{𝑧𝑑𝑗 } and 𝑗

𝑧𝑑𝑚𝑎𝑥

= 𝑚𝑎𝑥 {𝑧𝑑𝑗 } then 𝑗

(𝑥𝑖𝑚𝑎𝑥

, 𝑧𝑑𝑚𝑖𝑛

) (i=1,…,m , d=1,…,D)

represents the least ideal DMU in the first stage, they consume the maximum amount of input values, and produce the least amount of intermediate measures. Similarly in the second stage, we denote (𝑧𝑑𝑚𝑎𝑥 , 𝑦𝑗𝑚𝑖𝑛 ) (d=1,… , D, r=1,…,s) as the least ideal DMU, which consumes the maximum amount of intermediate measures while producing the least output. The worst CRS efficiency is the above two least ideal DMUs. The (CRS) efficiency scores of the 1 2 two least ideal DMUs in the first and second stage are denoted as 𝜃𝑚𝑖𝑛 and 𝜃𝑚𝑖𝑛 , respectively.We 1 2 use 𝜃𝑚𝑖𝑛 and 𝜃𝑚𝑖𝑛 as our breakdown point. Then our (input-oriented) DEA bargaining model for a specific 𝐷𝑀𝑈0 can be expressed as [6] 1 2 1 2 ∑𝑠𝑟=1 𝜇𝑟2 𝑦𝑟0 − 𝜃𝑚𝑖𝑛 ∑𝐷 max α × ∑𝑠𝑟=1 𝜇𝑟2 𝑦𝑟0 − 𝜃𝑚𝑖𝑛 𝑑=1 𝜔𝑑 𝑧𝑑0 + 𝜃𝑚𝑖𝑛 𝜃𝑚𝑖𝑛 1 𝑠. 𝑡. ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑0 ≥ 𝜃𝑚𝑖𝑛 2 ∑𝑠𝑟=1 𝜇𝑟2 𝑦𝑟0 ≥ 𝜃𝑚𝑖𝑛

∑𝑚 𝑖=1 𝛾𝑖 𝑥𝑖0 = 1 ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑0 = 𝛼 𝑚 ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 − ∑𝑖=1 𝛾𝑖 𝑥𝑖𝑗 ≤ 0

𝑗 = 1, … , 𝑛

𝛼 × ∑𝑠𝑟=1 𝜇𝑟2 𝑦𝑟𝑗 − ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 ≤ 0 𝜇𝑟1 = 𝛼𝜇𝑟2 𝛼, 𝛾𝑖 , 𝜔𝑑 , 𝜇𝑟1 , 𝜇𝑟2 > 0

𝑗 = 1, … , 𝑛

𝑟 = 1, . . , 𝑠 𝑟 = 1, . . , 𝑠, 𝑖 = 1, … , 𝑚, 𝑑 = 1, … , 𝐷

(6)

𝑚 1 𝐷 Note the constraints in model (6) that ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑0 ≥ 𝜃𝑚𝑖𝑛 , ∑𝑖=1 𝛾𝑖 𝑥𝑖0 = 1, ∑𝑑=1 𝜔𝑑 𝑧𝑑0 = 𝛼 , 𝑚 1 and for any j = 1,…, n, ∑𝐷 Then we have 𝜃𝑚𝑖𝑛 ≤𝛼= 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 − ∑𝑖=1 𝛾𝑖 𝑥𝑖𝑗 ≤ 0. 𝑚 ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑0 ≤ ∑𝑖=1 𝛾𝑖 𝑥𝑖0 = 1, therefore we have both upper and lower bounds on 𝛼, and indicates that the first-stage efficiency score for each DMU is the optimal value of 𝛼. 1 Thus 𝛼 will be a parameter within [𝜃𝑚𝑖𝑛 , 1]. Then model (6) can be solved as a parametric 1 linear program via the possible 𝛼 values within [𝜃𝑚𝑖𝑛 , 1].

We set the initial value for 𝛼 as the upper bound one, and solve the correspondinglinear program. Then we begin to decrease 𝛼 by a positive number 𝜀(=0.0001 for example) for each step 1 t,𝛼𝑡 = 1-𝜀 × 𝑡, t = 1,2,… until the lower bound 𝜃𝑚𝑖𝑛 is reached, and solve each linear program of model (6) corresponding to 𝛼𝑡 and the corresponding optimal objective value is denoted by 𝑡 . 1 Note that not all values taken by 𝛼 within [𝜃𝑚𝑖𝑛 , 1] lead to feasible solutions for program (6).

*Corresponding author (Mehrzad Navabakhsh). E-mail: m_navabakhsh@azad.ac.ir

Let * = max 𝑡 and denote the specific 𝛼𝑡 associated with * as 𝛼*. Note that *which is our 𝑡

solution to model (6), associated with several 𝛼* values. D ∗ s 2∗ ∗ ∗ 1∗ 2∗ ∗ The relations e1∗ 0 = α (∑d=1 wd zd0 ) , e0 = (∑r=1 μr2 yr0 ) , and e0 = e0 . e0 are denoted as DMUo’s bargaining efficiency scores for the first and second stages and the overall process, respectively.

Our bargaining model is not about finding the best overall efficiency score, but rather is about finding the best achievable efficiency through negotiation. A breakdown point (0,0) does not necessarily lead to the best achievable efficiency for Stage 1 or 2,but leads to the best overall efficiency score. A breakdown point of (0,0) implies that if the two stages do not negotiate, they will get an efficiency score of zero. This may further indicate that (0, 0) is not a good candidate for a breakdown point in our bargaining model. The efficiency of DMUs was mentioned according to CRS models by GAMS program as described. θ1min = max ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑0 𝑚 𝑠. 𝑡. ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 − ∑𝑖=1 𝛾𝑖 𝑥𝑖𝑗

≤0

𝑗 = 1, … , 𝑛

∑𝑚 𝑖=1 𝛾𝑖 𝑥𝑖0 = 1 𝜔𝑑 ≥ 0, 𝑑 = 1, … , 𝐷;

𝛾𝑖 ≥ 0,

𝑖 = 1, … , 𝑚;

(7)

Similarly CRS model for stage 2 is as following. θ2min = max ∑𝐷 𝑑=1 𝜇𝑟2 𝑦𝑟0 𝑚 𝑠. 𝑡. ∑𝐷 𝑑=1 𝜇𝑟2 𝑦𝑟𝑗 − ∑𝑖=1 𝜔𝑑 𝑧𝑑𝑗

≤0

𝑗 = 1, … , 𝑛

∑𝑚 𝑖=1 𝜔𝑑 𝑧𝑑0 = 1 𝜔𝑑 ≥ 0, 𝑑 = 1, … , 𝐷;

𝜇𝑟2 ≥ 0,

𝑟 = 1, … , 𝑠;

(8)

4.2 CENTRALIZED MODEL According to cooperative game theory, or centralized control, the two stage process can be viewed as one where the stages jointly determine a set of optimal weights on the intermediate factors to maximize their efficiency scores [5] For example where the manufacturer and retailer jointly determine prices, order quantities, etc. to achieve maximum profit [26]. In other words, the centralized approach lets both stages be optimized simultaneously. As in Liang et al. [27], Kao and Hwang [3], and [5], the optimization can be based upon maximizing the average of 𝑒01 and 𝑒02 in a non-linear program. However, it is noted that because of the assumption 𝜔1𝑑 = 𝜔𝑑2 in (6), the result is 𝑒𝑗1 . 𝑒𝑗2 = ∑𝑠𝑟=1 𝜇𝑟 𝑦𝑟𝑗 ∑𝑚 𝑖=1 𝛾𝑖 𝑥𝑖𝑗

.Therefore, instead of maximizing the average of 𝑒01 , 𝑒02 we have 𝑒0𝑐𝑒𝑛𝑡𝑟𝑎𝑙𝑖𝑧𝑒𝑑 = 𝑀𝑎𝑥 𝑒01 . 𝑒02 = 𝑀𝑎𝑥

∑𝑠𝑟=1 𝜇𝑟 𝑦𝑟0 ∑𝑚 𝑖=1 𝛾𝑖 𝑥𝑖0

𝑠. 𝑡. 𝑒𝑗1 ≤ 1 , 𝑒𝑗2 ≤ 1 , 𝜔1𝑑 = 𝜔𝑑2 Model (9) can be converted into the following linear program format: 8

Maryam Tabasi, Mehrzad Navabakhsh, Ashkan HafezalKotob, Reza Tavakkoli-Moghaddam

(9)

𝑒0𝑐𝑒𝑛𝑡𝑟𝑎𝑙𝑖𝑧𝑒𝑑 = 𝑀𝑎𝑥 ∑𝑠𝑟=1 𝜇𝑟 𝑦𝑟0 𝑠. 𝑡. ∑𝑠𝑟=1 𝜇𝑟 𝑦𝑟𝑗 − ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 ≤ 0 𝑚 ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 − ∑𝑖=1 𝛾𝑖 𝑥𝑖𝑗

≤0

𝑗 = 1, … , 𝑛 𝑗 = 1, … , 𝑛

∑𝑚 𝑖=1 𝛾𝑖 𝑥𝑖0 = 1 𝜔𝑑 ≥ 0, 𝑑 = 1, … , 𝐷; 𝛾𝑖 ≥ 0, 𝑖 = 1, … , 𝑚;

𝜇𝑟 ≥ 0, 𝑟 = 1, … , 𝑠

(10)

Model (10) is the centralized model developed in [5] and the Kao and Hwang [3] model. The unique overall efficiency of the two-stage process is obtained from Model (10). Then we have the efficiencies for the first and second stages as below ∑𝐷

𝜔∗ 𝑧

∑𝑠

𝜇∗ 𝑦

2,𝑐𝑒𝑛𝑡𝑟𝑎𝑙𝑖𝑧𝑒𝑑 𝑑 𝑑0 ∗ 𝑒01,𝑐𝑒𝑛𝑡𝑟𝑎𝑙𝑖𝑧𝑒𝑑 = ∑𝑑=1 = ∑𝐷 = ∑𝐷𝑟=1 𝜔𝑟∗ 𝑧𝑟0 𝑚 𝛾∗ 𝑥 𝑑=1 𝜔𝑑 𝑧𝑑0 , and 𝑒0 𝑖=1 𝑖

𝑖0

𝑑=1

(11)

𝑑 𝑑0

If we denote the optimal value to model (10) as 𝑒0𝑐𝑒𝑛𝑡𝑟𝑎𝑙𝑖𝑧𝑒𝑑 , then we have 𝑒0𝑐𝑒𝑛𝑡𝑟𝑎𝑙𝑖𝑧𝑒𝑑 = 𝑒01,𝑐𝑒𝑛𝑡𝑟𝑎𝑙𝑖𝑧𝑒𝑑 . 𝑒02,𝑐𝑒𝑛𝑡𝑟𝑎𝑙𝑖𝑧𝑒𝑑 . Optimal multipliers from model (10) are not unique, as noted in Kao and Hwang [3].Deriving the maximum achievable value of 𝑒01,𝑐𝑒𝑛𝑡𝑟𝑎𝑙𝑖𝑧𝑒𝑑 𝑜𝑟 𝑒02,𝑐𝑒𝑛𝑡𝑟𝑎𝑙𝑖𝑧𝑒𝑑 is proposed. In fact as shown in [5], they tested whether e1,centralized and e2,centralized obtained from model (10), are unique or not. 0 0 The maximum achievable value of e1,centralized can be calculated via 0 𝐷 e1+ 0 = Max ∑𝑑=1 𝜔𝑑 𝑧𝑑0

𝑠. 𝑡. ∑𝑠𝑟=1 𝜇𝑟 𝑦𝑟0 = ecentralized 0 ∑𝑠𝑟=1 𝜇𝑟 𝑦𝑟𝑗 − ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 ≤ 0

𝑗 = 1, … , 𝑛

𝑚 ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 − ∑𝑖=1 𝛾𝑖 𝑥𝑖𝑗

𝑗 = 1, … , 𝑛

≤0

∑𝑚 𝑖=1 𝛾𝑖 𝑥𝑖0 = 1 𝜔𝑑 ≥ 0, 𝑑 = 1, … , 𝐷;

𝛾𝑖 ≥ 0, 𝑖 = 1, … , 𝑚; 𝜇𝑟 ≥ 0, 𝑟 = 1, … , 𝑠.

So the minimum of e2,centralized will be obtained, in other words, e2− 0 = 0

ecentralized 0 e1+ 0

(12) . And we

have the maximum of e2,centralized ; 0 𝑠 e2+ 0 = Max ∑𝑟=1 𝜇𝑟 𝑦𝑟0

∑𝑚 𝑠. 𝑡. ∑𝑠𝑟=1 𝜇𝑟 𝑦𝑟0 − ecentralized 0 𝑖=1 𝛾𝑖 𝑥𝑖0 = 0 𝑠 𝐷 ∑𝑟=1 𝜇𝑟 𝑦𝑟𝑗 − ∑𝑑=1 𝜔𝑑 𝑧𝑑𝑗 ≤ 0 𝑗 = 1, … , 𝑛 𝑚 ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 − ∑𝑖=1 𝛾𝑖 𝑥𝑖𝑗

∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑0 = 1 𝜔𝑑 ≥ 0, 𝑑 = 1, … , 𝐷;

≤0

𝑗 = 1, … , 𝑛

𝛾𝑖 ≥ 0, 𝑖 = 1, … , 𝑚;

And the minimum of e1,centralized is e1− 0 = 0

ecentralized 0 e2+ 0

𝜇𝑟 ≥ 0, 𝑟 = 1, … , 𝑠,

(13)

2+ 1− . Note that e1+ 0 = e0 if and only if e0 =

1,centralized 1+ 1− 2− e2− or e2+ and e2,centralized are uniquely 0 .It isobvious that if e0 = e0 0 = e0 then e0 0

*Corresponding author (Mehrzad Navabakhsh). E-mail: m_navabakhsh@azad.ac.ir

1− 2− determined by model (10).If e1+ or e2+ 0 ≠ e0 0 ≠ e0 then model (13) will obtain an alternative

decomposition ofe1,centralized and e2,centralized . 0 0

4.3 STACKELBERG GAME Being a non-cooperative game, this game is characterized by the leader–follower, or Stackelberg game. For example, there is Stackelberg game in a supply chain where there is no cooperation between the manufacture (leader) and the retailer (follower). The manufacturer defines its optimal investment based on an estimation of the local advertisement by the retailer to maximize its profit. On the other hand, the optimal local advertisement cost of the retailer, based on the information from the manufacturer, will be determined to maximize retailer’s profit [28]. If the first stage is the leader, then the first stage performance is more important, and the efficiency of the second stage is computed subject to the fixed efficiency of the first stage. First the efficiency for the first stage is calculated. The model for a specific DMU0 is written Based upon the CRS model. 𝑒01∗ = max ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑0 𝑚 𝑠. 𝑡. ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 − ∑𝑖=1 𝛾𝑖 𝑥𝑖𝑗

≤0

𝑗 = 1, … , 𝑛

∑𝑚 𝑖=1 𝛾𝑖 𝑥𝑖0 = 1 𝜔𝑑 ≥ 0, 𝑑 = 1, … , 𝐷;

𝛾𝑖 ≥ 0,

𝑖 = 1, … , 𝑚;

(14)

Model (14) is the standard (CCR) DEA and the regular DEA efficiency score is indicated by e1∗ 0 . We obtain the efficiency for the first stage, so the second stage will only consider ωd that maintains D e10 = e1∗ 0 . i.e., the second stage now treats ∑d=1 ωd zd0 as the ‘‘single’’ input as a restriction that the

efficiency score of the first stage remains at e1∗ 0 . To compute e20 , the second stage’s efficiency, we have [5] 𝑒02∗ = 𝑀𝑎𝑥 𝑠. 𝑡.

∑𝑠𝑟=1 𝑈𝑟 𝑦𝑟0 𝑄 ∑𝐷 𝑑=1 𝑤𝑑 𝑧𝑑0

∑𝑠𝑟=1 𝑈𝑟 𝑦𝑟𝑗 𝑄 ∑𝐷 𝑑=1 𝑤𝑑 𝑧𝑑𝑗

≤1

𝑚 ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 − ∑𝑖=1 𝛾𝑖 𝑥𝑖𝑗

𝑗 = 1,2, … , 𝑛 ≤0

𝑗 = 1, … , 𝑛

∑𝑚 𝑖=1 𝛾𝑖 𝑥𝑖0 = 1 1∗ ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑0 = 𝑒0

𝑈𝑟 , 𝑄, 𝜔𝑑 , 𝛾𝑖 ≥ 0, 𝑑 = 1, … , 𝐷; 𝑖 = 1, … , 𝑚; 𝜇𝑟 ≥ 0, 𝑟 = 1, … , 𝑠 To make a linear model, let 𝜇𝑟 = 𝑒02∗ = 𝑀𝑎𝑥

𝑈𝑟 𝑄

∑𝑠𝑟=1 𝜇𝑟 𝑦𝑟0 𝑒01∗

𝑠. 𝑡. ∑𝑠𝑟=1 𝜇𝑟 𝑦𝑟𝑗 − ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 ≤ 0 𝑚 ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑𝑗 − ∑𝑖=1 𝛾𝑖 𝑥𝑖𝑗

≤0

𝑗 = 1, … , 𝑛 𝑗 = 1, … , 𝑛

Maryam Tabasi, Mehrzad Navabakhsh, Ashkan HafezalKotob, Reza Tavakkoli-Moghaddam

(15)

∑𝑚 𝑖=1 𝛾𝑖 𝑥𝑖0 = 1 1∗ ∑𝐷 𝑑=1 𝜔𝑑 𝑧𝑑0 = 𝑒0

𝜔𝑑 ≥ 0, 𝑑 = 1, … , 𝐷;

𝛾𝑖 ≥ 0, 𝑖 = 1, … , 𝑚; 𝜇𝑟 ≥ 0, 𝑟 = 1, … , 𝑠

(16)

𝑚 s 2∗ ∗ ∗ Using model (16) we have e1∗ 0 . e0 = ∑r=1 μr yr0 at optimality, with∑𝑖=1 𝛾 𝑖 𝑥𝑖0 = 1. In other ∑s

μ∗ y

∑s

μ∗ y

r=1 r r0 r=1 r r0 2∗ 1 2 words e1∗ 0 . e0 = ∑𝑚 𝛾 ∗ 𝑥 also we have at optimality, e0 . e0 = ∑m γ∗ x in model (16). So the 𝑖=1

𝑖 𝑖0

i=1

i i0

leader–follower approach also implies efficiency decomposition for the two-stage process. In other words, the overall efficiency is computed by efficiencies of individual stages.

5. CASE STUDY At this research the delivery department of Iran Khodro Company will be evaluated. This company delivers 21 types of cars to their owners. In fact every car delivery is a DMU which is compared to other DMUs. Car delivery is a two stage process. At the first stage which is called PDI (Pre Delivery Inspection), visual defects are checked. If a car has no defect, it will enter second stage which is sending. Inputs and outputs of the two stages are denoted at Figure 2.

Figure 2: Inputs and outputs of the two stages process of Iran Khodro Company The number of cars entered to PDI and the number of cars exited from PDI are deterministic digits which become normal digits via dividing the digit by the greatest digit related to their columns. Obviously the normal digit is a digit at [0, 1]. Other three digits; the number of PDI’s personals, online delivery score, customer satisfaction score are linguistic variables. We evaluate performance of 21 DMUs (21 cars) by a three stage algorithm. Stage1. Calculating Grey Relational Coefficient In this research there is fuzzy and also grey uncertainty. We use grey relational coefficient to make deterministic digits. There are various methods to obtain grey relational coefficient in different researches, in this research we use the following algorithm: Step1. Convert linguistic variables to normal interval grey numbers according to the Table1. It is obvious that this method does not act identically with positive criterion and negative criterion. Positive criterion or benefit criterion is a criterion which is better when it is larger. For example job experience and output of a DMU are positive criterion. Negative criterion or cost criterion is a criterion which is better when it is smaller. For example cost transportation and input of a DMU are negative criterion. Research data is in Table 2. *Corresponding author (Mehrzad Navabakhsh). E-mail: m_navabakhsh@azad.ac.ir

Step2. Construct decision matrix A with normal interval grey numbers. Table2. The data of Iran Khodro Car Delivery Car models 1 Automatic Tondar 90+ 2 Tondar 90+ 3 H30 CROSS AT 4 Automatic Peugeot 2008-EP6 5 Peugeot 206-1600 cc 6 Peugeot 206 SD-1600 cc 7 Peugeot 206 8 Automatic Peugeot 207i 9 Peugeot207i 10 Peugeot pars TU5 11 Peugeot pars hybrid 12 Tondar 90 13 Automatic Tondar 90 14 Tondar pick up 15 Dena 16 Tourbocharged Dena+ 17 Dena+ 18 Runna 19 Samand SE 20 Tourbocharged Soren EF7-TC 21 Soren P2

The number of The number of On time The number of cars entered to cars exited delivery PDI’s personals PDI from PDI score 16841 low 16807 mediate 1443 low 1438 Partly bad 31907 mediate 31522 Partly good 2540 low 2426 Partly bad 38404 high 38285 very good 38659 high 38533 good 59677 Very high 59499 Partly bad 17407 low 17177 very good 26071 low 25881 good 34975 Partly low 34953 mediate 9358 Very low 9355 good 26047 partly high 26024 very good 2539 low 2519 very good 4203 low 4196 very good 27269 mediate 26986 good 833 low 759 good 14018 mediate 13744 good 6900 Partly low 6849 very good 145 Very low 143 very good 1752 low 1751 very good 210 Very low 209 Partly good

Customer satisfaction score very bad bad mediate bad Partly good good good Partly bad very bad mediate mediate Partly good very good Partly bad very bad bad mediate Partly good very good good very good

Table 3. Normal data of car delivery in Iran Khodro Company

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Car models Automatic Tondar 90+ Tondar 90+ H30 CROSS AT Automatic Peugeot 2008-EP6 Peugeot 206-1600 cc Peugeot 206 SD-1600cc Peugeot 206 Automatic Peugeot 207i Peugeot 207i Peugeot cars TU5 Peugeot cars hybrid Tondar 90 Automatic Tondar 90 Tondar pick up Dena Tourbocharged Dena+ Dena+ Runna Samand SE Tourbocharged Soren EF7-TC Soren P2

The number of cars entered to PDI-normal 0.2822 0.0242 0.5347

The number of The number of On time delivery Customer PDI’s personals- cars exited from score-grey satisfaction scoregrey normal PDI-normal normal grey normal [0.7,0.9] 0.2825 [0.4,0.6] [0.0,0.1] [0.7,0.9] 0.0242 [0.3,0.4] [0.1,0.3] [0.4,0.6] 0.5298 [0.6,0.7] [0.4,0.6]

0.0426

[0.7,0.9]

0.0408

[0.3,0.4]

[0.1,0.3]

0.6435 0.6478 1 0.2917 0.4369 0.5861 0.1568 0.4365 0.0425 0.0704 0.4569 0.014 0.2349 0.1156 0.0024

[0.1,0.3] [0.1,0.3] [0.0,0.1] [0.7,0.9] [0.7,0.9] [0.6,0.7] [0.9,1.0] [0.3,0.4] [0.7,0.9] [0.7,0.9] [0.4,0.6] [0.7,0.9] [0.4,0.6] [0.6,0.7] [0.9,1.0]

0.6435 0.6476 1 0.2887 0.435 0.5875 0.1572 0.4374 0.0423 0.0705 0.4536 0.0128 0.231 0.1151 0.0024

[0.9,1.0] [0.7,0.9] [0.3,0.4] [0.9,1.0] [0.7,0.9] [0.4,0.6] [0.7,0.9] [0.9,1.0] [0.9,1.0] [0.9,1.0] [0.7,0.9] [0.7,0.9] [0.7,0.9] [0.9,1.0] [0.0,0.1]

[0.6,0.7] [0.7,0.9] [0.7,0.9] [0.3,0.4] [0.0,0.1] [0.4,0.6] [0.4,0.6] [0.6,0.7] [0.9,1.0] [0.3,0.4] [0.0,0.1] [0.1,0.3] [0.4,0.6] [0.6,0.7] [0.9,1.0]

0.0294

[0.7,0.9]

0.0294

[0.7,0.9]

0.0035

[0.9,1.0]

0.0035

[0.6,0.7]

[0.9,1.0]

Data of Matrix is a part of Table 3. Attributes of this matrix are Iran Khodro cars which should be delivered. And the number of them is 21. The data of each attribute is defined in a row, so the matrix has 21 rows. The criteria of this matrix are uncertain inputs and outputs of DMUs which the number of them is three. The data related to each criterion is defined in columns, so the matrix has three columns. For example interval grey number [rij− , rij+ ] demonstrates the input or output jth 12

Maryam Tabasi, Mehrzad Navabakhsh, Ashkan HafezalKotob, Reza Tavakkoli-Moghaddam

related to ith car. The number of entered car to PDI is a deterministic digit which became normal via dividing the mentioned digit by 59677 (the greatest digit in related column). In the same way, the number of exited car from PDI is a deterministic digit which became normal via dividing the mentioned digit by 59677 (the greatest digit in related column). Also linguistic variable “the number of PDI’s personals” that is an input of first stage, so is a negative criterion, became normal grey number according to the Table3. Linguistic variables “on time delivery score” and “customer satisfaction score” are outputs of second stage so they are positive criteria, and they became normal grey number according to the Table1. The normal numbers are demonstrated in Table 3. Step3. Determine reference number sequence. Reference number sequence of three uncertain numbers is demonstrated at Table 4. Table 4. Reference number sequence of three uncertain numbers Max(Min) Max(Max)

The number of PDI’s personals 0.9 1

On time delivery score 0.9 1

Customer satisfaction score 0.9 1

Table 5: Differences between reference number sequence and interval grey numbers.

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

The number of PDI’s personals Max(min)- Max(max)min max 0.2 0.1 0.2 0.1 0.5 0.4 0.2 0.1 0.8 0.7 0.8 0.7 0.9 0.9 0.2 0.1 0.2 0.1 0.3 0.3 0 0 0.6 0.6 0.2 0.1 0.2 0.1 0.5 0.4 0.2 0.1 0.5 0.4 0.3 0.3 0 0 0.2 0.1 0 0

On time delivery score Max(min)- Max(max)min max 0.5 0.4 0.6 0.6 0.3 0.3 0.6 0.6 0 0 0.2 0.1 0.6 0.6 0 0 0.2 0.1 0.5 0.4 0.2 0.1 0 0 0 0 0 0 0.2 0.1 0.2 0.1 0.2 0.1 0 0 0.9 0.9 0.2 0.1 0.3 0.3

Customer satisfaction score Max(min)- Max(max)min max 0.9 0.9 0.8 0.7 0.5 0.4 0.8 0.7 0.3 0.3 0.2 0.1 0.2 0.1 0.6 0.6 0.9 0.9 0.5 0.4 0.5 0.4 0.3 0.3 0 0 0.6 0.6 0.9 0.9 0.8 0.7 0.5 0.4 0.3 0.3 0 0 0.2 0.1 0 0

Min value is lower limit of an interval number and max is upper limit of an interval number. So max (max) is maximum of all upper limits of interval numbers in a column. Step4. Calculate the connection between the sequences composed of interval number of every attribute and reference number sequence. First, calculate the connection coefficient i (k) between the sequences composed of + − + − + − (n), rin (n)]) and interval number of every attribute Ui = ([ri1 , ri1 ], [ri2 , ri2 ], … , [rin

*Corresponding author (Mehrzad Navabakhsh). E-mail: m_navabakhsh@azad.ac.ir

reference number sequence + + + − − U0 = ([u− 0 (1), u0 (1)], [u0 (2), u0 (2)], … , [u0 (n), u0 (n)]) according to formula (1). The interval grey numbers are subtracted from reference number sequence at Table 6. The maximum of {Max (min) - min, Max (max) - min} are calculated. These numbers − + + are |[u− 0 (k), u0 (k)] − [rik , rik ] | . Then the minimum of three previous columns was obtained and mentioned in a column, then the minimum of all elements in the minimum − + + column is obtained zero. In fact min min|[u− 0 (k), u0 (k)] − [rik , rik ] | is zero. Also the i

maximum of three previous columns was obtained and mentioned in a column, then the maximum of all elements in the maximum column is obtained 0.9. In fact 0.9 is − + + max max|[u− 0 (k), u0 (k)] − [rik , rik ] |. The results are mentioned at Table 6. i

Table6: The proceed calculations of grey relational coefficient. Car models

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Automatic Tondar 90+ Tondar 90+ H30 CROSS AT Automatic Peugeot 2008-EP6 Peugeot 206-1600cc Peugeot 206 SD-1600cc Peugeot 206 Automatic Peugeot 207i Peugeot 207i Peugeot cars TU5 Peugeot cars hybrid Tondar 90 Automatic Tondar 90 Tondar pick up Dena Tourbocharged Dena+ Dena+ Runna Samand SE Tourbocharged Soren EF7-TC Soren P2

The number of PDI’s personals Max{Max(min)min, Max(max)max} 0.2 0.2 0.5

On time delivery score Max{Max(min)min, Max(max)max} 0.5 0.6 0.3

Customer satisfaction score Max{Max(min)min, Max(max)max} 0.9 0.8 0.5

0.2 0.8 0.8 0.9 0.2 0.2 0.3 0 0.6 0.2 0.2 0.5 0.2 0.5 0.3 0

0.6 0 0.2 0.6 0 0.2 0.5 0.2 0 0 0 0.2 0.2 0.2 0 0.9

0.8 0.3 0.2 0.2 0.6 0.9 0.5 0.5 0.3 0 0.6 0.9 0.8 0.5 0.3 0

0.2 0 0.2 0.2 0 0.2 0.3 0 0 0 0 0.2 0.2 0.2 0 0

0.8 0.8 0.8 0.9 0.6 0.9 0.5 0.5 0.6 0.2 0.6 0.9 0.8 0.5 0.3 0.9

0.2 0

0.2 0.3

0.2 0

0.2 0.3

minimum of maximum columns of columns 3,4,5 3,4,5 0.2 0.9 0.2 0.8 0.3 0.5

Then using formula (1) grey relational coefficients are calculated at Table 7. Calculations of different steps were done by excel program. Stage2. Using Network Data Envelopment Analysis We calculate efficiency of two stages Data Envelopment Analysis (DEA) in delivery process of Iran Khodro Company by using three different game theories (Nash game, Centralized game, Stackelberg game). Grey relational coefficients were obtained in previous part, so here we us them in DEA models and evaluate the efficiencies. Different models were solved by GAMS program. 14

Maryam Tabasi, Mehrzad Navabakhsh, Ashkan HafezalKotob, Reza Tavakkoli-Moghaddam

Table 7: Grey relational coefficients. Grey relational coefficient Car models 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Automatic Tondar 90+ Tondar 90+ H30 CROSS AT Automatic Peugeot 2008-EP6 Peugeot 206-1600 cc Peugeot 206 SD-1600 cc Peugeot 206 Automatic Peugeot 207i Peugeot207i Peugeot cars TU5 Peugeot cars hybrid Tondar 90 Automatic Tondar 90 Tondar pick up Dena Tourbocharged Dena+ Dena+ Runna Samand SE Tourbocharged Soren EF7-TC Soren P2

The number of PDI’s personals 0.6923 0.6923 0.4737 0.6923 0.3600 0.3600 0.3333 0.6923 0.6923 0.6000 1 0.4286 0.6923 0.6923 0.4737 0.6923 0.4737 0.6000 1 0.6923 1

On time delivery score 0.4737 0.4286 0.6000 0.4286 1 0.6923 0.4286 1 0.6923 0.4737 0.6923 1 1 1 0.6923 0.6923 0.6923 1 0.3333 0.6923 0.6000

Customer satisfaction score 0.3333 0.3600 0.4737 0.3600 0.6000 0.6923 0.6923 0.4286 0.3333 0.4737 0.4737 0.6000 1 0.4286 0.3333 0.3600 0.4737 0.6000 1 0.6923 1

5.1 NASH BARGAINING GAME MODEL Two stages are two individuals bargaining with each other for a better payoff, which is the efficiency of each individual stage. The efficiencies of two previous models are θ1min , θ2min and we use them in model (6). After solving model the overall efficiencies are mentioned at Table 8. Table 8: The result of Nash bargaining game. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Car models Automatic Tondar 90+ Tondar 90+ H30 CROSS AT Automatic Peugeot 2008-EP6 Peugeot 206-1600 cc Peugeot 206 SD-1600 cc Peugeot 206 Automatic Peugeot 207i Peugeot207i Peugeot cars TU5 Peugeot cars hybrid Tondar 90 Automatic Tondar 90 Tondar pick up Dena Tourbocharged Dena+ Dena+ Runna Samand SE Tourbocharged Soren EF7-TC Soren P2

θ1min 0.998634 0.997455 0.988945 0.955309 0.999218 0.998923 1.000000 0.987317 0.993262 1.000000 1.000000 0.999818 0.992862 0.998872 0.990411 0.911959 0.981024 0.993177 0.997455 0.997455 0.997455

θ2min 0.009781 0.103313 0.006606 0.061279 0.009065 0.006236 0.002500 0.020206 0.009284 0.004703 0.025690 0.013336 0.137904 0.082742 0.008903 0.315501 0.017482 0.050681 1.000000 0.137361 1.000000

𝑒0𝑛𝑎𝑠ℎ 0.337662 0.032535 0.001783 0.019771 0.002726 0.001717 0.000507 0.006491 0.002800 0.001289 0.008839 0.004046 0.046274 0.025994 0.002671 0.103156 0.005571 0.015798 0.327672 0.043363 0.337662

5.2 CENTRALIZED GAME According to cooperative game theory, or centralized control, the two stage process can be viewed as one where the stages jointly determine a set of optimal weights on the intermediate factors *Corresponding author (Mehrzad Navabakhsh). E-mail: m_navabakhsh@azad.ac.ir

to maximize their efficiency scores [5]. After solving models (10), (12), (13) by GAMS, overall efficiency and first stage efficiency and second stage efficiency are at Table 9. Table9. The result of Centralized game 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Car models Automatic Tondar 90+ Tondar 90+ H30 CROSS AT Automatic Peugeot 2008-EP6 Peugeot 206-1600 cc Peugeot 206 SD-1600 cc Peugeot 206 Automatic Peugeot 207i Peugeot207i Peugeot cars TU5 Peugeot cars hybrid Tondar 90 Automatic Tondar 90 Tondar pick up Dena Tourbocharged Dena+ Dena+ Runna Samand SE Tourbocharged Soren EF7-TC Soren P2

ecentralized 0 0.009768 0.103050 0.006533 0.058540 0.009058 0.006229 0.002500 0.019949 0.009221 0.004703 0.025690 0.013334 0.136906 0.082649 0.008818 0.287724 0.017151 0.050335 0.997455 0.137012 0.997455

e1+ 0 0.998634 0.997455 0.988945 0.955309 0.999218 0.998923 1.000000 0.987317 0.993262 1.000000 1.000000 0.999818 0.992762 0.998862 0.990411 0.911959 0.981024 0.993177 0.997455 0.997455 0.997455

e2+ 0 0.009781 0.103313 0.006606 0.061279 0.009065 0.006236 0.002500 0.020206 0.009284 0.004703 0.025690 0.013336 0.137904 0.082742 0.008903 0.315501 0.017482 0.050681 1.000000 0.137361 1.000000

Table10: The result of Stackelberg game 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Cars models Automatic Tondar 90+ Tondar 90+ H30 CROSS AT Automatic Peugeot 2008-EP6 Peugeot 206-1600 cc Peugeot 206 SD-1600 cc Peugeot 206 Automatic Peugeot 207i Peugeot207i Peugeot cars TU5 Peugeot cars hybrid Tondar 90 Automatic Tondar 90 Tondar pick up Dena Tourbocharged Dena+ Dena+ Runna Samand SE Tourbocharged Soren EF7-TC Soren P2

e1∗ 0 0.998634 0.997455 0.988945 0.955309 0.999218 0.998923 1.000000 0.987317 0.993262 1.000000 1.000000 0.999818 0.992762 0.998872 0.990411 0.911959 0.981024 0.993177 0.997455 0.997455 0.997455

e2∗ 0 0.009781 0.103313 0.006606 0.061279 0.009065 0.006236 0.002500 0.020206 0.009284 0.004703 0.025690 0.013336 0.137904 0.082742 0.008903 0.315501 0.017482 0.050681 1.000000 0.137361 1.000000

es0 0.009768 0.103050 0.006533 0.058540 0.009058 0.006229 0.002500 0.019949 0.009221 0.004703 0.025690 0.013334 0.136906 0.082649 0.008818 0.287724 0.017151 0.050335 0.997455 0.137012 0.997455

5.3 STACKELBERG GAME This game is a non-cooperative game. It is characterized by the leader–follower, or Stackelberg game. For example, there is Stackelberg game in a supply chain where there is no cooperation between the manufacture (leader) and the retailer (follower). The manufacturer defines its optimal investment based on an estimation of the local advertisement by the retailer to maximize its profit. 16

Maryam Tabasi, Mehrzad Navabakhsh, Ashkan HafezalKotob, Reza Tavakkoli-Moghaddam

On the other hand, the optimal local advertisement cost of the retailer, based on the information from the manufacturer, will be determined to maximize retailer’s profit [28]. If the first stage is the leader, then the first stage performance is more important, and the efficiency of the second stage is computed subject to the fixed efficiency of the first stage. After solving models (14), (16) we have data at Table 10. Table 11 compares the result from three game models. Table 11: Comparison the result of three game models. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Car models Automatic Tondar 90+ Tondar 90+ H30 CROSS AT Automatic Peugeot 2008-EP6 Peugeot 206-1600 cc Peugeot 206 SD-1600 cc Peugeot 206 Automatic Peugeot 207i Peugeot207i Peugeot pars TU5 Peugeot pars hybrid Tondar 90 Automatic Tondar 90 Tondar pick up Dena Tourbocharged Dena+ Dena+ Runna Samand SE Tourbocharged Soren EF7-TC Soren P2

es0 0.009768 0.103050 0.006533 0.058540 0.009058 0.006229 0.002500 0.019949 0.009221 0.004703 0.025690 0.013334 0.136906 0.082649 0.008818 0.287724 0.017151 0.050335 0.997455 0.137012 0.997455

6. CONCLUSION Nash bargaining game, Centralized and Stackelberg game are used to obtain efficiency of each DMU and the results show that efficiencies obtained from centralized game are the same as efficiencies obtained from Stackelberg game and they are greater than efficiencies obtained from Nash game. So if the DMUs can cooperate with each other Also the data is not always certain in real world. We use both fuzzy and grey theory to widely manage the real situation. Iran Khodro Company which is one of the most important companies at automobile industry is the case study of this article and has a wide process of delivering for automobiles. It has a two stage process of delivering for 21 types of automobiles. Samand SE and Soren P2 have the highest efficiency, whilst Peugeot 206 has the lowest efficiency.

7. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding author.

*Corresponding author (Mehrzad Navabakhsh). E-mail: m_navabakhsh@azad.ac.ir

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Maryam Tabasi, Mehrzad Navabakhsh, Ashkan HafezalKotob, Reza Tavakkoli-Moghaddam

[21] Kuo, Y., T. Yang, and G.-W. Huang. 2008. “The Use of Grey Relational Analysis in Solving Multiple Attribute Decision- Making Problems.” Computers & Industrial Engineering 55: 80–93. [22] Charnes, A., Cooper, W.W., Rhodes, E., 1978. Measuring the efficiency of decision making units. European Journal of Operational Research 2, 429–444. [23]

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[25] Du J., Liang L., Chen Y., Cook W. D., Zhu J.,2011, “A bargaining game model for measuring performance of two-stage network structure”., European Journal of Operational Research 210 : 390– 397. [26] Huang ZM, Li SX. Co-Op Advertising Models in a Manufacturing-Retailing Supply Chain: A Game Theory Approach. European Journal of Operational Research 2001;135:527–44. [27] Liang L, Yang F, Cook WD, Zhu J. DEA models for supply chain efficiency evaluation. Annals of Operations Research 2006; 145(1): 35–49. [28] Huang ZM, Li SX. Co-Op Advertising Models in a Manufacturing-Retailing Supply Chain: A Game Theory Approach. European Journal of Operational Research 2001;135:527–44. [29] Büyüközkan, G., and D. Ruan. 2008. “Evaluation of Software Development Projects Using a Fuzzy Multi-Criteria Decision Approach.” Mathematics and Computers in Simulation 77: 464–475. [30] Fenton, N., and W. Wang. 2006. “Risk and Confidence Analysis for Fuzzy Multi criteria Decision Making.” Knowledge-Based Systems 19: 430–437. Maryam Tabasi is a PHD student in Industrial Engineering at Azad University. She finishes her courses at Tehran Jonoob branch of Azad University. Scope of her researches is Operational Research such as Game Theory and Data Envelopment Analysis.

Mehrzad Navabakhsh is an Assistant Professor in Industrial Engineering at Tehhran Jonoob branch of Azad University. His researches are mostly about. His reseaches are Data Envelopment Analysis, Operational Research and Statistics.

Ashkan Hafezalkotob is an Associate Professor in Industrial Engineering in Tehhran Jonoob branch of Azad University. His researches are about Game Theory and supplier Chain Management. He has written many articles in SCM and game theory. Professor Dr.Reza Tavakoli-Moghaddam is Professor in Industrial Engineering at Tehran University. His researches are Facilities Design, Supply chain, Scheduling, Transportation, Meta-heuristics.

*Corresponding author (Mehrzad Navabakhsh). E-mail: m_navabakhsh@azad.ac.ir

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 10A13M

MEDIA IN THE CONFLICT BETWEEN INTERNATIONAL DIPLOMACY AND PUBLIC OPINION: CASE STUDY OF BAN OF VISAS FOR SEVEN MUSLIM COUNTRIES Hamed Shayegan a,b* a

Faculty of Communication Sciences and Media Studies, Central Tehran Branch, Islamic Azad University, Tehran, IRAN. b SMT Media Institute, IRAN. ARTICLEINFO

A B S T RA C T

Article history: Received 03 June 2019 Received in revised form 18 July 2019 Accepted 26 July 2019 Available online 14 August 2019

This paper assesses the impact of media and its impact on political relations of countries in situations where the decisions of high-ranking officials are in contradiction with public opinion, the principles, and democracy standards of the country. As a case study, it addresses western and American media outlets in reflecting the news of the cancellation of the visa for seven Muslim countries. From the study hypothesis, western media, with a broad reflection of public opinion, increase the effect of public diplomacy on international relations in diplomacy contrary to the underlying principles of democratic countries. A descriptive survey has been used to achieve the goals. The study statistical population consisted of Tehran's journalists. Using Krejcie and Morgan table, 292 subjects were selected as the statistical sample. Research finding indicates that 28.7% of Tehran's journalists believe that most Western media objected to Tramp's decree to cancel the visa for seven Muslim countries because they were opposed to the president from the beginning of elections. In addition, 28.7% believe that the Western media's opposition to this decree because it was contrary to American democratic identity. The onesample t-test result showed that reasons for Western media outcry with US presidential decree on visa ban for seven Muslim countries from Tehranian journalists' point of view include the variables of opposition to Tramp’s policy because of opposition to its presidency, Tramp's contradiction with American democratic identity, Tramp's contradiction with public opinion and human rights organizations, Tramp's contradiction with the past policy of Western media on promoting freedom of expression in the United States, and Tramp's contradiction with America's past policies. According to the Friedman's test result, "opposition to Tramp's policy because of opposition to its presidency" has a higher average score (3.86) compared to other indicators in terms of capability and impact. Similarly, other indicators are ranked next. © 2019 INT TRANS J ENG MANAG SCI TECH.

Keywords: Media diplomacy; International Relations; Media on foreign policy; Media on foreign policy; Political conflict; Impact

of media on public opinion; US Government.

Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13M http://TUENGR.COM/V10A/10A13M.pdf DOI: 10.14456/ITJEMAST.2019.177

INTRODUCTION

The wider emergence of international media, especially digital, in the last two decades of the twentieth century has created a new atmosphere in the world where the power of the people, culture, the media, and the message has reduced the role of the military and the armed forces of the countries and, to a lesser extent, has affected diplomatic decisions. This has caused, in today's world, relations between nations to play a greater role than the relations between governments in political and international decisions because the message has come from the national, individual and local to the international and global stage. For this reason, relations between countries are not determined solely by the sovereignty, but by a set of governments, public opinion and communication information technologies, they form the international relations equations so that the media has an important role in influencing these relationships by applying techniques (Sadati, 2014). After the Gulf War in the early 1990s, a new media concept emerged and tried to explain the phenomenon of 24-hour television of global coverage (Ibrahim et al., 2019). Today, we should not just talk about the explosion of information, the communications revolution, and media influences on the formation of world public opinion. Therefore, the development of massive communication technologies seems to be normal. In addition to computer networks, satellites, news agencies and various radio and television stations, speed of the exchange of information and the transmission of the message of intellectual leaders among the various strata of the people, and its reflection as a form of public opinion in the politics of countries has challenged many of the pre-existing assumptions and principles in the structure of international relations and law. The political and legal boundaries of governments are diminished, their sovereignty as the most important actors in the global arena faces serious challenges, and policies are in line with public diplomacy only if policies are based on national and cultural identity, national interests, and democracy. For this reason, the media have an important role in public opinion, according to the position they have found, in various political, social, cultural, economic aspects. However, the government's continued domination over the media and news agencies has provided them with tremendous and enormous power so that they have been able to modify and direct collective beliefs and attitudes to redefine internal or external public opinion using news and information levers. Many scholars (from Third World Politicians to Western thinkers such as Herbert Schiller and Jeremy Tannstal and the Finnish Carl Niederling) agree that news media of the world are still under the direct influence of the main Western news agency (Smith, 1985: 87). According to the assumption in this research, western media, with a broad reflection of public opinion, increase the effect of public diplomacy on international relations in diplomacy contrary to the underlying principles of democratic countries. In addition, the opposition of the media since the Tramp’s presidential nomination has led the media to take the role of public diplomacy on international relations to show opposition to the decree of abolishing the visas for citizens of Muslim countries. With descriptive and analytical survey, this article seeks to provide a presentation on the role of the media in interacting with public opinion and the diplomacy system in a situation in which one faces with the development of social networks and the increasing role of relations among nations along with the relations of states. This issue has been analyzed with a focus on explaining the status of Western media about the US government's decision on the visa for seven Muslim countries, as contradicting Western media outlets for free and democratic representation of the United States.

Hamed Shayegan

In recent years, we have faced a new approach to Western media, which has been affected by the increasing growth of social networks. With the arrival of President Donald Trump, most of the country's media broke the tradition and they were critical of the US election from the beginning. This issue was more likely to be rooted in media diplomacy; it might be claimed that the independent media perspective in analyzing his campaign slogans and comparing it with the traditional US government approach has concluded that Donald Trump as President violates Western media diplomacy and public opinion. It seemed that media outreach was based on the common discourse of media and intellectual leaders while the approach of the new US government is contrary to the traditional principles of the United States. After the government began to work and ordered the cancellation of the visas of seven Muslim countries, we witnessed more publicity and media coverage, as media coverage was reflected in the widespread reflection of public opinion’s protests. Perhaps, the most important reason for the proximity of the media and public opinion maybe begin with increasing the role of social networks and the greater influence of intellectual leaders on public diplomacy. Moreover, the mandate of Tramp for the abolition of the visa for seven Muslim countries questioned the democratic principles and human rights of the United States based on the country's basic policies. Despite the claim that the press and major news agencies are private, Western information and dissemination of important news are in monopoly and control of governments. A clear example in this regard is the Gulf War, in which where the flow of news and information was explicitly controlled and monitored by Western governments, and in particular by the United States, for a relatively long time and severe censorship has dominated; many western thinkers have expressed their distrust of the news agency and media of the Western world (Toffler, 1996: 223). The famous Western thinker Walter Lippmann believes that the visuals that the mass media offer are often fake and misleading (Lippmann, 1997). Media diplomacy in a country can affect not only the political and national security equilibrium but also the security of the region. Hence, news agencies like the New York Times say the influence of social media on its users and audience has grown to a degree that needs to be taken seriously and should take this media as a key tool for communication and access to the audience (Parr, 2009). All these discussions have changed with the expansion of social networks that can be considered as individual media phenomena. This has even changed the way media works; so when Tramp's government encountered media opposition, they turned to the same personal media, social networks, and used Twitter to spread its oversight to some extent to undermine media diplomacy. Media diplomacy has emerged as one of the main branches of the diplomatic and foreign policy activities and it has constituted a significant part of the public diplomacy of particularly powerful nations in the world. While others do not believe in the impact of media on foreign policy decisions. They argue that there is no solid evidence of the impact of mass media on foreign policy decisions and decision-makers rarely change their decisions for the sake of the media. However, they may have to react because of the media. In general, media diplomacy can be defined as using the media to achieve diplomatic goals, securing benefits, completing and promoting foreign policy (Ashena, 2005). The result of western media diplomacy against the policy of banning visa from seven Muslim *Corresponding author (Hamed Shayegan). E-mail: Hamedshayegan@gmail.com ©2019 International Transaction Journal of

countries does not rule out this issue because the US government changed its idea in response to the opposition of the American NGOs and media against American international politics. The US government reacted to public diplomacy protests with a little change in its provisions and the removal of the name of Iraq from the list of Iran, Syria, Yemen, Sudan, Libya, and Somalia as well as adding a condition to the Syrian immigrants indirectly. Nevertheless, this behavior ultimately suggests that diplomacy still insists on implementing its policies and resists media diplomacy as far as it goes.

2. COMMUNICATION SYSTEMS OF MEDIA Perhaps it is very easy to say, “Every tool that conveys a message is a media” although simplification is a principle and shows all aspects of the media. Thus, radio and television, books, cinema, and even the Internet are defined as media. The media's impact on the adaptation of public opinion and politics is forgotten in this definition. Accordingly, one can define media as a dynamic existence in the communication process Information and communication systems have been divided into three main categories in terms of information transfer practices, namely: - Single centered system - Multi-centered system - Global system These systems, with the continuity of their internal process, seek independence from other systems; henceforth, they are defined as follows: Single centered system: This one-way system, from top to bottom, involves inequalities in social relations between social institutions because it believes that the flow of information must be controlled and shaped by the owners of power (Becker, 1973). Multi-centered system: This multi-level communication system has come to fruition in recent years due to the advent of information and communication technology as well as the spread of this knowledge. Some of the factors that created this system are abundant awareness of local communities, social movements of minorities or sub-groups of the general system of society, familiarity with social rights and awareness of the capabilities of the mass media in shaping their desires, and attaining their goals. Global system: This system has been created by the popularity of the media. In fact, in this system, all groups and classes have the ability to produce media content and easily publish their own culture, values, experiences, and lifestyles in the national and even regional and global arenas. This tendency has become more intense, especially in the case of newer media that is affected by the massive expansion of information and communication technology. Information and communication systems can be rapidly and up-to-date through information resources (satellites, databases, etc.) (Farhangi, 1991). In short, the new international environment has the following characteristics The existence of "countries-nations" relations with less authority, with the exception of a few great powers (although they need to justify public opinion for their domestic and international behavior, but there are other actors on the international stage in addition to countries; it includes

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nongovernmental organizations, the media, and virtual powers with network identity; hard power and soft power (both will be the basis of the survival of countries and the leverage that determines the interactions among them); traditional diplomacy (it is still the circuit of communication among countries but he need for communication with unrestricted actors provides the context for the adoption of "media diplomacy"). Joseph Nye, one of the Harvard professors as the originator of the term soft power, like Gramsci, who introduced the term influence, believes that soft power means the influence and attractiveness of the ideas of a nation on other nations. The soft power of a nation enables it to achieve its desired results in international affairs, not by force and power, but by the power of attraction. International relations: It is the study of all exchanges, transactions, contacts, information flows and their reactions among the separated "countries" and their constituent parts. The area of international relations knowledge is vast and broad. As it is clear from the above definition, all affairs and interaction among political units (governments), international organizations, and nongovernmental organizations are in the field of study of this science (Ghaderi, 2000: 57-73). Information in social media: Social media is increasingly being used to reflect ideas and tools for sharing information among communities. Social networks are considered as social media, and the news is spreading much faster, more widely, and more effectively through community segregation with communities of interest and tastes. This information sharing seems at first glance to have a significant impact on the empowerment of human societies (Twitter Privacy Policy, 2009). Until recently, soft power was considered an American weapon; Joseph Nye believes that the victory of the Americans in the Cold War with the Eastern bloc was as much owed to Radio Free Europe and Hollywood productions as the product of the Reagan Star Wars’ program. In fact, soft power is a demanding security approach that aims to attract global attention to new challenges and it acts by adoption of international standards, institutions, coalitions, and innovative cooperation in foreign relations among countries as well as non-governmental organizations. Today, in international relations, knowledge and the way to organize and use it in advancing national interests are called "soft power." International propaganda: Propaganda is the publication of thoughts or positions that affect behavior, thoughts, or both. Regardless of the nationality of people who carry out propaganda activities, international propaganda passes global boundaries, ie, institutions or individuals from a given government to promote propaganda to residents of another country. International propaganda is considered as one of the means of communication, recognition, and international confidence. Political Communication: Without communication with citizens, no government can operate its organizational components at the central and local levels as well as in other countries. In the field of governance, an element of communication has a sensitive and decisive contribution. To form part of the country's communications with political units, governing bodies in the countries of the world have been forced to create vast organizations and institutions such as embassies. The effects of global communication in international relations are twofold. First, global communications are helping to empower margins and peripherals and provide them with global talks. In fact, global communication has made it possible to strengthen some of the forgotten voices and groups that have been attacked *Corresponding author (Hamed Shayegan). E-mail: Hamedshayegan@gmail.com ©2019 International Transaction Journal of

by traditional cultural, political, and economic systems. Second, global communication causes theoretical convergence and by this type of communication, international leaders focus on issues such as exploitation, development and population, nuclear weapons and the environment, human rights, and women's status (Rogers, 1994). In order to explain more precisely the effects of contemporary world media, they can be examined in several areas: Diplomacy: Global communication has led to three types of diplomacy: public diplomacy, popular diplomacy, real diplomacy. Today, the base of diplomacy has mover from political power toward political mentality. Public diplomacy means, "Activities outside the borders in the fields of information, education, and culture, and its purpose is to influence the foreign government with an impact on its citizens"(Fredic, 1993). General diplomacy is an assistant for traditional diplomacy and it has created a kind of coexistence among the government, the media, and foreign affairs. The government can intervene in accessing the media, the media can play a role in foreign policy, and it will transfer diplomacy from one country to another; as the CNN played an important role in public diplomacy in the Gulf War. Liberal media have been leaders in promoting the freedom of expression and belief in the world over the past century. During this period, many governments and personalities by these media have been considered enemies of human freedom or against human rights. Since the 1940s and after World War II, the same press and the liberal media have come across contradictions that are not consistent with the foundations of liberalism. Freedom claimers seem to have fallen into the open. In the past, there was no such thing as "international relations" that limited the power of countries, but relations among people, governments, and powers changed as a result of transformation within these powers. Public opinion

Media Diplomacy

Media

Diplomacy apparatus

International relations

Model for the position of western media in the international approaches of countries in social-political challenges’

Intellectual leaders

Figure 1: Roles of media and diplomacy linking with international relations. People, with access to social networks, express themselves directly against the policies of the diplomatic system, and their reflection in the mass media plays a role in public diplomacy in international politics, see Figure 1. This suggests that the message of public opinion is effective only

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through the reflection in the international media in the context of the political and international relations of the state, although it is transmitted directly to the diplomatic apparatus. We witnessed this effect during the decision of the US government of Visa ban for 7 Muslim countries so that Donald Trump was seeking to neutralize the media's impact on countering media diplomacy through the same social network, Twitter, as his political issues. On the other hand, he was seeking two-way interactions with the people.

2.1 INFLUENCE OF MEDIA ON FOREIGN POLICY Most studies on the subject of media engagement - foreign policy usually focus on power issues precisely. Therefore, the influence of media is often measured by the scale of dispersion between the lowest possible point ("manufacture of consent " of Lippmann, where the medium is nothing but a tool of government) and the highest point ("the CNN impact" where the medium is thought to have hegemonic characteristics (Yodanova, 2012). Hence, it should be noted that theories on the impact of media on foreign policy have evolved in two main directions. First, these theories have changed the position from believing in the great effect of the media on audiences to limited effects. Second, they have pointed to the audience's active role to receive and interpret media messages instead of perceiving the respondent as passive. In political communication, in addition to accepting these two points, they have developed a theoretical perspective to explain the relationship between news media and politics. The media also have an enormous impact on the international relations of the countries, and sometimes this role is so high that it leads to the proximity, intercourse, or even the hostility of countries. For example, Iran-US relations, although they have always been in a state of conflict and aggression nearly 30 years since the Islamic Revolution. After the end of the Cold War, and especially over the past decade, these relations have been accompanied by the international presence of the United States in the Middle East. The continuation of these policies ended with US-Iran confrontations in Iraq, Syria, and Yemen, etc. In this situation, reflecting reports of ballistic missile testing and unilateral analyzes to link it to “The Joint Comprehensive Plan of Action” and its violation, media such as the Wall Street Journal and Fox News provided space for Americans to put Iran's name on the list of seven countries to ban visas. This is citizenship and civil behavior, rather than a diplomatic action although it is in contradiction to democratic principles of America that have been promoting in the Western media for many years. Thus, civil organizations and public opinion opposed it. However, media aid also failed to change the decision of the president of the United States; only, judiciary in different states suspended this order. In the theory of CNN Impact, media have played the role of the government's political propaganda tool. This theory believes that the news media can shake the government in times of catastrophic events and humanitarian crises, and move towards intervention in these crises. For example, the news coverage of the suppression of students' protest at Beijing's Tian Aan May Square by CNN in 1989 confirms this theory. The media play the role of justifying the government in foreign policy realm by defending foreign policy and valuing, inducing the message and highlighting the legitimacy of government policies, and conveying messages from diplomacy officials to global public opinion. In this role, they propagate ideologies and ideas of the foreign policy of countries for the *Corresponding author (Hamed Shayegan). E-mail: Hamedshayegan@gmail.com ©2019 International Transaction Journal of

promotion of culture, ideas, and opinions. In this regard, CNN Impact theory can be inspired by some sort of amazing innovation in news production. The foundation for this hypothesis is well described by Livingstone (1997) who states that CNN's impact has at least three dimensions. First, media accelerates the policy process and creates real diplomacy. Second, the media becomes an obstacle to achieving specific policy goals by stimulating an emotional, irrational, and impersonal response among people toward a genuine policy decision. Third, media is an agency producing guidelines. The term “CNN Impact” implies that mainstream media in general, not just CNN, have an impact on foreign policy formulation. Nowadays, although Iraq and Afghanistan are overwhelmed by conflicts, the role of the media in influencing diplomacy as political responses is significant (Robinson, 2013). In general, media influences on international relations and foreign policy in democratic societies depend on the surrounding environment. Tehranian defines this condition in the best words as, the influence of the media can be neither powerful nor powerless, but power-related (Tehranian, 1997).

3. THE IMPACT OF POLITICS ON MEDIA The basic foundations for explaining the effect of politics on the media can clarify the aspects of this impact; each one will be discussed here:

3.1 THE THEORY OF MANUFACTURE OF AGREEMENT In this theory, the news media, instead of influencing politics or criticizing the power sector, arranges their coverage to attract audiences (the masses) for political decisions. For example, US news coverage during critical periods of the war in Syria and Yemen was not only a matter of criticizing official government policies but of manufacture of agreement for that policy.

3.2 THE THEORY OF MANUFACTURE OF THE AGREEMENT FOR EXECUTIVE OFFICIALS This theory reflects how the news media behave in their news coverage to support the decisions of the country's executive authorities. If the incident does not concern the executive authorities of the country, it will be dealt in another way. For example, the coverage of the news of the killing of the Iraqi people was limited in the US media because the policy of US officials played a significant role in the events.

3.3 THE THEORY OF MANUFACTURE OF THE AGREEMENT FOR INTELLECTUAL LEADERS According to this theory, the two terms in the manufacture of agreement theory should be executed and moderated. - The news media does not only endorse manufacture of the agreement for the country's executive officials but also for intellectual leaders including national officials and national figures. -

Under certain conditions, the media not only do not deal with the manufacture of agreement, they also take on critical issues.

Another hypothesis available for relations of media - foreign policy is the theory of “manufacture of consent” by Walter Lippmann. In this view, the media not only convey the message of the dominant

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political elite, they are nothing but instruments of power, and thus confirm the status quo.

3.4 MEDIA AND POWER INTERACTIVE THEORY The theory believes that there should be a two-way stream between the coverage of news media and political power. In fact, the manufacture of agreement theory is unilateral and does not focus on the interaction and the reciprocal relationship between news media and politics. However, this effect is not entirely passive, since media work is not just a reflection of the events; but the truth is that media, with an influential effect on one side, rebuild reality and presents it their audience through a formidable format (Salehi Amiri, 2008). In the process of retrieval, the news of the events is influenced by the media attitude. However, with regard to the reflection of the news of visa ban for 7 Muslim countries, Western media act more than two ways of producing the agreement for intellectual leaders and people; it is an instance of passive action in front of government, national identity, and democracy so as to stable the general policies of the country, as noted by Holsti (2004) about international relations that people change but interests and policies do not change. Daniel C. Hallin, the author of “The uncensored War: The Media and Vietnam” and his colleague Lance Bennett, believe that if the media have an impact on the foreign policy process, it is insignificant. Their reputation is due to their implications for the “attached” media coverage. When the political elite is in a state of consensus about a particular strategy or political decision, the content of the media is in line with the general view. If there is a contradiction, the media tends to get the opposition side (Yodanova, 2012). According to Robinson, the media tends to have the first two areas, meaning that journalists will either be in agreement with the elite or cover the official debate such as legal opposing views; but they are never diverted from accepted political principles and concepts. Therefore, they cannot be agents of political and social innovation (Robinson, 2001). Robinson does not think the media will ever have an independent impact on the foreign policy process.

4. THE ROLE OF PUBLIC OPINION IN POLITICS The impact of media on public opinion has faced challenges with the growth of social networks; moreover, the extent to which they can act in line with popular diplomacy can follow the theory of the two-stage flow of communication that plays the role of intellectual leaders (Lazarsfeld & Kat, 1999). Media messages are first filtered by the intellectual leaders and then they reach the crowd. Therefore, intellectual leaders play a decisive role in communicating in contradictory policies. According to the concept of cognitive coordination, messages that are consistent with the previous audience’s understanding are much easier to accept so that new information contradicts the audience’s intuitive thoughts. Hence, the media message will have a variety of effects. For example, as much as the audience has higher education, he will be more critical of the media message. Ultimately, the audience's access to alternative sources is also decisive in this regard (Jackob, 2010: 589). People will be less dependent on media if they have access to alternative sources. Among the various instruments of latent diplomacy, media diplomacy is more important in psychological operations due to its dual role. In other words, media diplomacy has two inherent elements: *Corresponding author (Hamed Shayegan). E-mail: Hamedshayegan@gmail.com ©2019 International Transaction Journal of

1. Diplomacy is one of the practical political pressures. 2. The media sector is the main psychological propaganda tool in psychological operations. The goals of media diplomacy in transnational psychological operations are applying the political, cultural, and military pressures of other countries against the target country, creating a willingness and interest in the country's target audience towards the brokerage country, and legitimizing and justifying the actions and behaviors of psychological operations and media diplomacy. The media are the most important tool in this field to achieve these goals. Each media can have a particular performance, depending on the type of target. Therefore, in explaining the type of media in media diplomacy, in the first phase, it should include the tags of psychological operations. The tag of governance in media diplomacy is a bit more sensitive and difficult because the sovereigns have more information and awareness than citizens and other marks and they are less influenced by common practices. Accordingly, psychological operations brokers use more sophisticated tools and tricks for these tags. For these two tags, media diplomacy agents use global news agencies and TV news channels, including four news agencies Reuters, Frances Press, Associated Press and United News, and Fox News, CNN, BBC and Euronews on global television networks. As the elite media, any news and information broadcasted by these news agencies and news networks will be used by all the world's media even target country as important news.

5. RESEARCH METHOD Since the present paper attempts to address the status of media in the conflict between international diplomacy and public opinion, this research can be considered as an applied research type in terms of research purpose. Another criterion is the categorization of research is data collection method. According to this feature, the present study can be considered as descriptive-survey research using a questionnaire tool. The statistical population of the study consisted of all the journalists in Tehran with 1000 people. Using Krejcie and Morgan table, 292 subjects were selected as the statistical sample. A researcher-made questionnaire was used to survey and measure the variables of the research. Validity of the questionnaire based on content validity of Lowsheh for variables of “opposition to Tramp’s policy because of opposition to its presidency”, “Tramp’s contradiction with American democratic identity”, “Tramp’s contradiction with public opinion and human rights organizations”, “Tramp’s contradiction with the past policy of Western media on promoting freedom of expression in the United States”, and “Tramp’s contradiction with America’s past policies” are 0.72, 0.70, 0.82, 0.71, and 0.79, respectively. In addition, Cronbach's alpha is used to test the reliability of the research tool, the calculated alpha for the research variables are presented in the table below. Table 1: Reliability of Research Tool. Row 1 2 3 4 5

Variable “ opposition to Tramp’s policy because of opposition to its presidency” “ Tramp’s contradiction with American democratic identity” “ Tramp’s contradiction with public opinion and human rights organizations” “ Tramp’s contradiction with the past policy of Western media on promoting freedom of expression in the United States” “ Tramp’s contradiction with America’s past policies”

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Alpha 0.85 0.89 0.78 0.80 0.90

As indicated in Table 1, the research questionnaire has an acceptable reliability and the calculated alpha for the variables of “opposition to Tramp’s policy because of opposition to its presidency”, “Tramp’s contradiction with American democratic identity”, “Tramp’s contradiction with public opinion and human rights organizations”, “Tramp’s contradiction with the past policy of Western media on promoting freedom of expression in the United States”, and “Tramp’s contradiction with America’s past policies” are 0.85, 0.89, 0.78, 0.80, and 0.90, respectively. It indicates the reliability of the research questionnaire. The data were analyzed by SPSS-23 software after entering the computer. Then, distribution of the absolute and relative abundance of the groups was determined and data were analyzed using t-test.

6. RESEARCH FINDINGS Findings of the demographic variables of the research are included in Table 2. Findings show that 64.4% of respondents are men and 35.96% of respondents are women. Regarding the frequency distribution of respondents according to the age variable, the findings of the research indicated that 17.12% of respondents aged 25 to 31 years old, 33.21% were between the ages of 31 and 35, 22.26% at the age of 36 to 40, and 39.40% were over the age of 41 years. Table 2: Demographic Research Findings Variables Gender Male Female Age 25-31 31-35 36-40 41 and higher

Frequency

Frequency percentage

187 105

64.04% 35.96%

50 97 65 80

17.12% 33.21% 22.26% 27.39%

Descriptive research variables are “opposition to Tramp’s policy because of opposition to its presidency”, “Tramp’s contradiction with American democratic identity”, “Tramp’s contradiction with public opinion and human rights organizations”, “Tramp’s contradiction with the past policy of Western media on promoting freedom of expression in the United States”, and “Tramp’s contradiction with America’s past policies”; they are represented in the following table. Table 3. Reasons for Western media’s opposition with the US presidential decree on the visa ban for seven Muslim countries from the perspectives of Tehranian journalists Row 1 2 3 4 5

Frequency 84 84 40

Percent 28.7 28.7 13.6

16.4

36 292

12.3 100

According to the survey, a sample of 292 journalists from Tehran and a statistical society of 1000 targets, 84 journalists in Tehran, which comprise 28.7% of the statistical population, believe that most *Corresponding author (Hamed Shayegan). E-mail: Hamedshayegan@gmail.com ©2019 International Transaction Journal of

western media protest to Tramp’s order on the ban of visa for 7 Muslim countries because of their opposition to his presidency. The same number of journalists in the city of Tehran believes that western media protest this order because it is in contradiction with American democratic identity. 48 journalists in Tehran (16.4%) believe that Western media opposition with the command of Tramp rises from Tramp’s contradiction with the past policy of Western media on promoting freedom of expression in the United States. 40 journalists representing 13.6 percent of the statistical population believe that Western media opposition with the command of Tramp results from Tramp’s contradiction with public opinion and human rights organizations. Finally, only 36 percent of journalists who make up 12.3 percent of the sample agree that Western media opposition with the command of Tramp results from Tramp’s contradiction with America’s past policies. Based on these data, the most important factor that invoked Western diplomacy for news coverage of public opposition to ban of visa for 7 Muslim countries was its contradiction with American democratic identity and continuing opposition to Tramp's presidency that had begun since the election. Given that parametric methods are used in societies with normal functions, nonparametric methods, and in non-normalized societies, normality of the data is evaluated at first. Then, research hypotheses are investigated. For this purpose, the Kolmogorov-Smirnov test (KS) is used and if the research data is normal, parametric tests are used and otherwise non-parametric methods will be used to test the research hypotheses. Table 4. Kolmogorov-Smirnov test to test the normality of research variables (n = 292) Variable “ opposition to Tramp’s policy because of opposition to its presidency” Tramp’s contradiction with American democratic identity” Tramp’s contradiction with public opinion and human rights organizations” “ Tramp’s contradiction with the past policy of Western media on promoting freedom of expression in the United States” “ Tramp’s contradiction with America’s past policies” “opposition to Tramp’s policy because of opposition to its presidency”

Status Independent

Kolmogorov-Smirnov Z 0.750

Sig. (2-tailed) 0.630

Independent

0.856

0.658

Independent

0.956

0.502

Independent

0.857

0.458

Independent Independent

0.721 0.698

0.541 0.387

According to Table 4 and the Kolmogorov-Smirnov test, the variables of the research are normal. Therefore, the one-sample t-test is used to examine the reasons for Western media’s opposition with the US presidential decree on the visa ban for seven Muslim countries from the perspectives of Tehranian journalists. Table 5. One-sample t-test to examine research variables Variable “ opposition to Tramp’s policy because of opposition to its presidency” “ Tramp’s contradiction with American democratic identity” “ Tramp’s contradiction with public opinion and human rights organizations” “ Tramp’s contradiction with the past policy of Western media on promoting freedom of expression in the United States” “ Tramp’s contradiction with America’s past policies”

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t-statistic

Mean

Sig. (2-tailed)

Mean difference

5.415

3.57

268

<0.001

0.29

5.315

3.52

268

<0.001

0.31

4.147

3.42

268

<0.001

0.17

4.814

2.84

268

<0.001

0.23

3.147

2.55

268

<0.001

0.19

As shown in Table 5, the calculated t for the research variables is greater than the critical t (1.96) at the 99% significance level, and the significant (2-tailed) level is lower than 5%. Accordingly, “opposition to Tramp’s policy because of opposition to its presidency”, “Tramp’s contradiction with American democratic identity”, “Tramp’s contradiction with public opinion and human rights organizations”, “Tramp’s contradiction with the past policy of Western media on promoting freedom of expression in the United States”, and “Tramp’s contradiction with America’s past policies” are reasons for Western media’s opposition with the US presidential decree on the visa ban for seven Muslim countries from the perspectives of Tehranian journalists. The result of Friedman's significant test for prioritizing the research variables is shown in the table below. Table 6. Ranking of research variables Row 1 2 3 4 5

Variable “ opposition to Tramp’s policy because of opposition to its presidency” “ Tramp’s contradiction with American democratic identity” “ Tramp’s contradiction with the past policy of Western media on promoting freedom of expression in the United States” “ Tramp’s contradiction with public opinion and human rights organizations” “ Tramp’s contradiction with America’s past policies”

Average rank 3.86 3.68 2.95 2.78 2.000

Table 7. The result of Friedman's significance test Row 1

Test type Friedman

Chi-Square 87.46

Degree of Freedom 4

Error rate 0.05

Asymp. Sig <0.001

Friedman test results, the higher the average ratings, the higher the status of those variables in terms of the possibility of occurrence and impact. In this regard, it can be stated that “opposition to Tramp’s policy because of opposition to its presidency” has higher average score (3.86) than other variables in terms of possibility of occurrence and impact. Similarly, other variables are ranked next. According to chi-square test and significant level pf Pv<0.05, the claim for equality of average of variable ratings is not accepted in terms of desirability.

7. CONCLUSION This research addresses the position of Western media in foreign policy and the explanation of international relations. Given the rise of social networks and the reflection of the views of intellectual leaders in it, public and popular diplomacy is more logical in international disputes and the government's contrasting behavior with democracy, different from national and international identity. Somehow, it rejects the viewpoints of the policy of the government in foreign policy and impact of public opinion on foreign policy is further enhanced. The media helps public diplomacy to play a role in political diplomacy in the field of foreign affairs. With respect to decision of the US government in the ban of visa for seven Muslim countries, western media highlighted popular discourse with flexibility in reflecting events. In this regard, a survey was conducted among 292 Iranian journalists. Research findings indicate that 28.7% of Tehran's journalists believe that most Western media objected to Tramp's decree to cancel the visa for seven Muslim countries because they were opposed to the president from the beginning of elections. In addition, 28.7% believe that the Western media's opposition to this decree because it was contrary to American democratic identity. 16.4% of the *Corresponding author (Hamed Shayegan). E-mail: Hamedshayegan@gmail.com ©2019 International Transaction Journal of

statistical population believes that Western media opposition with the command of Tramp rises from Tramp’s contradiction with the past policy of Western media on promoting freedom of expression in the United States. 40 journalists representing 13.6 percent of the statistical population believe that Western media opposition with the command of Tramp results from Tramp’s contradiction with public opinion and human rights organizations. Finally, only 36 percent of journalists who make up 12.3 percent of the sample agree that Western media opposition with the command of Tramp results from Tramp’s contradiction with America’s past policies. In addition, the results of one-sample t-test showed that reasons for Western media outcry with US presidential decree on visa ban for 7 Muslim countries from Tehranian journalists' point of view include the variables of opposition to Tramp’s policy because of opposition to its presidency, Tramp's contradiction with American democratic identity, Tramp's contradiction with public opinion and human rights organizations, Tramp's contradiction with the past policy of Western media on promoting freedom of expression in the United States, and Tramp's contradiction with America's past policies. According to the results of Friedman's test, "opposition to Tramp's policy because of opposition to its presidency" has a higher average score (3.86) compared to other indicators in terms of capability and impact. Similarly, other indicators are ranked next. To explain these findings, one can say that media management plays a greater role in promoting peace through diplomacy in war and conflict situations. They will be accompanied by the media when foreign policy decisions are aligned with peaceful policies. They can also ignore the press; for instance, they can begin not to send any messages to the media, try to develop media management, or adopt a media-oriented policy. By choosing any of these, the government will affect the media by moderating the flow of information. Although government guidance to respond to the media and the creation of specific behaviors is an indication of the impact of media diplomacy on political diplomacy, when governments succeed in controlling diplomatic events and enjoy a high degree of popular legitimacy, the news media supports them and the role of public relations experts is planned to maintain and enhance this support. When a state loses its control over the diplomatic-political process, independent media and critics appear. This reaction reversed the status of media in the transfer of data from the diplomacy system of previous years to public opinion. This time, it acted from a perspective of media on maintaining the sustainability of national identity against the policies of government officials. Of course, this is more advent in the international relations of developed countries that are based on a democratic model as they have a wider scope based on democratic status and media freedom. In contradiction with the principles of international human rights, if there is a consensus among the elites and the general authorities, impact of the media will be less then the situation in which the elites are fewer consensuses toward government policies. In this case, media diplomacy can play a greater role in applying popular diplomacy. However, political diplomacy may show a passive attitude, under the influence of public diplomacy and media; but foreign policy continues to be based on its political discourse. This issue occurred in the decision of the US government in the ban of visa for 7 Muslim countries. The government continued to insist on its implementation, and the public diplomacy environment helped to cancel this decision in some states. The government responded somewhat against the protest of public diplomacy by applying a little change in its provisions and the removal

Hamed Shayegan

of the name of Iraq from the list of countries of Iran, Syria, Yemen, Sudan, Libya, and Somalia, and adding a condition for the Syrian refugees. Conversely, it shows that diplomacy still insists on implementing its policies and it resists against media diplomacy as far as possible.

8. AVAILABILITY OF DATA AND MATERIAL Data used or generated from this study can be requested to the corresponding author.

9. REFERENCES Ashena, H. (2005). Media and Political Stability. Tehran, Strategic Studies Institute. Becker, J. (1973). The First Book of Information Science. Farhangi, A. (1991). Media in today's intelligence community, Media Journal. 25(4), 6-13. Ghaderi, H. (2000). Political Thoughts in the Twentieth Century. Tehran: SAMT Publication. Holsti, O. R. (2004). Public opinion and American foreign policy. University of Michigan Press. Ibrahim, G., Fayaz, E., & Motalebi, M. (2019). The Effect of TV Hamoun Channel on National and Religious Identity of People Living in SIS Tan and Baluchistan, Iran. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. 10(3): 361-372. Jackob, N. G. E. (2010). No alternatives? The relationship between perceived media dependency, use of alternative information sources, and general trust in mass media. International Journal of Communication, 4, 18. Katz, E., Lazarsfeld, P. F., & Roper, E. (2017). Personal influence: The part played by people in the flow of mass communications. Routledge. Lippmann, W. (2017). Public opinion. Routledge. Livingston, S. (1997). Clarifying the CNN effect: An examination of media effects according to the type of military intervention. Parr, B. (2009). The New York Times hires a Social Media Editor, Does It need one?. Mashable, May, 26. Robinson, P. (2001). Theorizing the influence of media on world politics: Models of media influence on foreign policy. European Journal of Communication, 16(4), 523-544. Robinson, P. (2013). Media as a driving force in international politics: The CNN effect and related debates. E-International Relations, Sept, 17. Rogers, E. M. (1994). History of communication study. New York: Free Press. Sadati, S.N. (2014). The Role of Media Diplomacy in International Relations; Journal of Media. 25(3), 113-130. Salehi Amiri, R. (2008). Media diplomacy. Tehran, Expediency Council, Strategic Research Institute. Smith A. (1985). The Politics of Information. Translated by Freidun Shirani, Tehran, Soroosh Publications. Tehranian, M. (1997). Global communication and international relations: Changing paradigms and policies. The International Journal of Peace Studies, 2(1), 39-64. *Corresponding author (Hamed Shayegan). E-mail: Hamedshayegan@gmail.com ©2019 International Transaction Journal of

Toffler, H. (1993). War and Anti-War Survival at the Dawn of the 21st Century. Twitter. Twitter Privacy Policy[online] Available: http: //twitter. com/privacy Yordanova, T. (2012). Media-International relations interaction model. ISIS Report. Institution of Security and International Studies. Sofia, (26). Hamed Shayegan is a Journalist in Iran. He has a Master’s degree in Communication Sciences, PR Orientation, Faculty of communication Sciences and Media studies, Central Tehran Branch, Islamic Azad University, Tehran, IRAN. He is interested in Influences of Media on Sociedty, and International Media Roles.

Trademarks Disclaimer All products names including trademarks TM or registered® trademarks mentioned in this article are the property of their respective owners, using for identification purposes only. Use of them does not imply any endorsement or affiliation.

Hamed Shayegan

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 10A13N

GAS CONDENSATE DESULFURIZATION BY OXIDATION METHOD IN THE PRESENCE OF NANOCLAY AND CHITOSAN ADSORBENT: AN EXPERIMENTAL STUDY a

Parisa Aminirad , Seyed Abolhasan Alavi a

, Mohammadreza Jafari Nasr

Department of Chemical Engineering, Science And Research Branch, Islamic Azad University, IRAN.

ARTICLEINFO

A B S T RA C T

Article history: Received 20 March 2019 Received in revised form 22 July 2019 Accepted 25 July 2019 Available online 19 August 2019

Oxidative desulfurization process for gas condensate using a mixture of hydrogen peroxide and formic acid have been investigated. Oxidation under optimal conditions accompanied extraction operation using acetonitrile and finally adsorption was performed on clay, nanoclay and novel adsorbent of chitosan – nanoclay. By use of oxidation process on feedstock with the initial sulfur amount of 2500 ppm optimum parameters for reaching the minimum sulfur content were derived. Effects of operating parameters such as temperature, the amount of formic acid used as catalyst for oxidation and process time were investigated and the best operating conditions for oxidation were determined by designing the relevant experiments. Adsorption isotherms modeling and also kinetic models has been studied. The best conditions for oxidation were determined as follows: Acid-to-feed ratio =1, Reaction temperature= 50°C, Reaction time= 45 min. After about 30 minutes of adsorption process, the adsorbent was saturated and the increase in contact time had no effect on the removal of sulfur compounds. Adsorption isotherms modeling of common Langmuir and Freundlich models showed that both nanoclay and nanoclay-chitosan adsorbent followed Freundlich's model for adsorption. Studies of three common kinetic models : pseudofirst-order, pseudo- second-order, and intra-particle diffusion model indicated that the kinetics of this adsorption was of the pseudo second order type. This effective way of combination the Oxidation in optimum condition with this sorbent should be used as novel technology of desulfurization in order to achieve the gas condensate with minimum sulfur.

Keywords: HDS; Adsorption, Langmuir isotherm, Freundlich isotherm, Adsorption kinetic.

1. INTRODUCTION Energy production is one of the most important issues in the world. Economic Fossil fuels are the world's largest source of energy. With stricter environmental considerations, much attention has *Corresponding author (Seyed Abolhasan Alavi). E-mail: alavi.ab@srbiau.ac.ir ©2019 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.13 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A13N http://TUENGR.COM/V10A/10A13N.pdf DOI: 10.14456/ITJEMAST.2019.178

been paid to clean fuel and reducing sulfur compounds in fuels and hydrocarbons. The US EPA has released a new regulation requiring the use of low-sulfur fuels. This regulation requires that the sulfur content to be limited to 15 ppm for diesel and 30ppm for gasoline fuels [1,2]. Due to the structure of gas condensate in terms of existing hydrocarbons, it can be considered as one of the main sources of gasoline supply. These condensates are very valuable and used as refineries feed to produce petrol for kerosene and gasoline. There are many studies on the desulfurization of heavier hydrocarbons in comparison to studies on lighter hydrocarbons such as gas condensate[ 3,4] . In addition to environmental restrictions and regulations, sulfur compounds easily react with metals which raises two important technical issues: the first problem is the corrosion of equipment and pipelines, and the second one is the reaction of these compounds with catalysts (often metal or metal oxide) causing catalyst poisoning [5]. So the separation and removal of these compounds from hydrocarbons is ineviTable. Thus, most of methods for reducing or eliminating such compounds have been developed very fast. The widely used method is hydrodesulfurization (HDS) method, which is carried out at high temperature and pressure in the presence of hydrogen. HDS process is highly efficient for removing thiols, sulfides, disulfides and some thiophene derivatives but has limitations to remove some compounds, such as benzothiophene and di-benzotyophene. In addition, in order to improve the efficiency of this process, it is necessary to increase the temperature and pressure to a high level for which to be reached, costly catalysts, bigger reactors and a great deal of time are required. So tendencies to finding some alternative and inexpensive ways to remove sulfur compounds have been increased.Number of processes have been proposed to remove the above compounds, including the adsorption process, oxidation, extraction and biological desulfurization [6]. Oxidative desulfurization has been considered as a new and effective alternative method. During ODS process sulfur compounds in feedstock are oxidized and the corresponding sulfoxides and then sulfones are produced. These compositions have a high polarization and can be removed by extraction, adsorbent or distillation method at the later step [7,29]. Various oxidizing agents, such as H2O2, t-butyl hypochlorite, ozone and t-butyl hydroperoxide, are currently used in Oxidative desulfurization processes. Since there is no need of using hydrogen, then ODS could be considered as a proper alternative method for HDS. Investment and operating cost of hydrogen providing will be eliminated in ODS process[8]. The adsorption desulfurization process is one of the most advanced methods available because of its ease of use, affordability, cost-effectiveness and recoverability which mostly can be followed after ODS[9,10, 28]. This process occurs when a high surface area for sulfur compounds is provided by a porous non-reactive substrate on an active adsorbent [11]. The main challenge for this method for liquid hydrocarbon fuels is the selectivity for separating low-polar sulfur compounds from non-polar liquid phase [12, 26,27]. Several studies have been carried out on the adsorption of various sulfur compounds such as benzothiophene and di-benzotyphene from liquid fuels using a variety of active carbons [13,14,15,16,17]. Other adsorbents such as zeolite, Cu+, Ag+ and nickel zeolite have been investigated. These adsorbents are used in ambient temperature and pressure conditions [17,18,19]. Montmorillonite as a clay nanoparticle, which is the most important phase in bentonite, with dimensions of about 10 angstroms and due to its unique properties such as inflammation in polar

Parisa Aminirad, Seyed Abolhasan Alavi, Mohammadreza Jafari Nasr

environments, high specific surface area, surface electrical properties and cation exchange capacity, have been used in various applications in the industry and also as filler and adsorbent. Chitin is the most abundant amino polysaccharide and it is estimated that produced annually in about equal amounts to cellulose [20]. The importance of this natural biopolymer is not only due to its inexpensive production resources and use of waste material in its production, but also because of its high potential for use in a variety of fields due to improvements in the field of chitin chemistry [21] . One of the most important derivatives of chitin is chitosan, which is obtained by the acetylation of the Acetamide group by an alkaline solution. Chitin and chitosan are commercially valuable due to their high nitrogen content (6.89%) and unique properties such as non-toxicity. Also the possibility of surface adsorption have made them valuable natural materials[22,23]. Moreover, chitosan easily dissolve in acidic solvents and forms a hydrogel in aqueous media. Because of these conditions and inaccessible binding sites, its strength should be improved for practical applications as adsorbent. Several attempts such as crosslinking or coating with bentonite has been done to adjust the chitosan by which the mass transfer is facilitated and in order to enhance its adsorption capacity, the active sites are exposed [21]. This study aims to remove sulfur compounds from the gas condensate using the oxidation by H2O2 in presence of formic acid and accompanied the optimum oxidation conditions by extraction and adsorption on nanoclay and chitosan.

2. EXPERIMENTAL SECTION 2.1 MATERIAL AND METHOD The research steps include: performing oxidation, extraction and adsorption processes, studying surface morphology and adsorbent size, optimizing experimental conditions, assessing isotherms of adsorption, reviewing the kinetics of adsorption.

2.2 CHEMICAL AND ADSORBENTS All chemicals used in this study, including formic acid 99% , hydrogen peroxide with a purity content of 30%, hydro-chloric acid fuming 37% and NaOH pellets were obtained from a European company. Clay and nanoclay were supplied from Kava sanat co. and Chitosan were purchased from Chitoteck Company. The studied condensate at the highest sulfur content of 2500 ppm was obtained from one of the South Pars oil fields. Horiba 2800 -SLFA fluorescence ray-X used to determine the sulfur amount according to the US Standard (D-ASTM4294).

2.3 OXIDATION STAGE This stage covered the effects of important parameters of ODS in gas condensate feed. Several parameters such as oxidation time, temperature and the effect of catalyst quantity have been investigated. The analysis were extracted by Minitab17.

2.4 EXTRACTION STAGE An applied conventional method for extraction is liquid-liquid extraction. This process is on basis of polar molecules dissolving in polar solvents. As the oxidized components are more polar than original sulfur components, the oxidized components could be extracted by polar solvents. *Corresponding author (Seyed Abolhasan Alavi). E-mail: alavi.ab@srbiau.ac.ir ©2019 International Transaction Journal of

2.5 ADSORPTION EXPERIMENTS Before starting the adsorption experiments, the adsorbents were placed in an oven at 110 ° C for 2 hours to dry completely. 10 g of these adsorbents with 50 cc of hydrocarbon sample was poured and stirred at different time periods. Then, the solid phase was separated by filtering the. The procedure for synthesis of mix adsorbent of chitosan and nanoclay was extracted from the study of Ming-Chun Lu., et al [2,21]. About 5g chitosan was mixed with 300ml of 5% (v/v) HCL and stirred for 2h at 300rpm. Then 100g of nanoclay was slowly added into the solution and stirred for another 3h. Adding drops of 1N NaOH was continued to reach a neutralized level and the washing was done several times then dried at 65C0 for twenty-four hours and finally sieved.

2.6 MODELING OF ADSORPTION ISOTHERMS Isotherms are the simple mathematical relations that have been obtained either theoretically or experimentally and indicate the relationship between the amounts of adsorbed substance at constant temperature and equilibrium concentration. Two commonly used adsorption isotherms of Langmuir and the Freundlich used for examining adsorption data. The Langmuir equation is presented in the bellow form and as can be seen in Eq(2), is a linear equation. qe = qmaxK L Ce/(1 + K L Ce)

(1)

Ce/qe = (1/q maxK L ) + (Ce/q max)

(2)

In above equations, qe denotes the equilibrium level of adsorption (mg/g), Ce has the equilibrium level of adsorbent in solution (mg/l), q max represents the highest amount of adsorbent monolayer capacity (mg/L), and K L is the constant of the Langmuir equation (L/mg) [24]. By drawing the linearization diagram including 1/qe vs. 1/Ce the relevant constants are obtained. The Freundlich equation is expressed in the form of Equation (3): 1/n

(3)

q e = K F Ce

In this equation, Kf represents the adsorption capacity. The Freundlich is a linear isotherm that can be seen in Equation (4) [25]. Plotting Ln qe and Ln Ce is used to estimate relevant constant. ln qe = ln K F + 1/n ln Ce

(4)

2.7 MODELING OF THE REACTION KINETICS The reaction kinetics or chemical kinetics are used for studying the rate of chemical processes, these studies indicate the rate at which the adsorption process occurs and the amount of time it takes to reach equilibrium. Kinetic equations of pseudo-first-order, pseudo-second-order, and Intra-particle diffusion were studied. The pseudo-first-order is Equation (5) dqt dt

= k1 (qe − qt )

(5)

where qt represents the adsorbed level at time t and qe denotes the level of equilibrium, moreover, k1 stands for a constant representing the pseudo-first-order kinetic. By considering the q t as Equation (6) and integrating this equation, final form of pseudo-first-order equation will obtained as Equation (7) [23].

Parisa Aminirad, Seyed Abolhasan Alavi, Mohammadreza Jafari Nasr

qt = (C0 − Ct )

(6)

ln(qe − qt) = lnqe − k1 t

(7)

The pseudo-second-order rate equation has the form of Equation (8): dqt dt

= k2 (qe − qt )2

(8)

By integrating the above equation and applying the initial conditions will be as Equation (9): t qe

1 k2 q2e

1 qt

(9),

where k2 is the pseudo- second order kinetic constant [24]. Intra-particle diffusion model explains the adsorption processes as Equation (10) qe = k3 t1/2 + c

(10)

In the Equation (10), k3 is the constant of reaction.

3. RESULTS AND DISCUSSION 3.1 OXIDATION EXPERIMENTS Oxidation experiments are conducted within a batch system of a glass reactor. 50 cc of gas condensate and 20 cc of hydrogen peroxide was poured into the reactor and the temperature increased by placing it in the hot water bath. By placing a magnetic stirrer under the hot water bath, the solution is stirred concurrent with warming. After assuring that the solution is warmed up and magnetic stirrer is working properly, the formic acid added as a catalyst to the solution. reaction time was studied from 30 to 60 minutes. Experiment design has been done for the oxidation experiments by considering the factors of temperature, time and the feed ratio (ration of gas condensate and formic acid) as are presented in Table 1. Table 1: Oxidation experiments level definition. Factor Formic acid ration to Hydrocarbon feed Temp (°C) time (min)

Low Block (-1) 0.8 40 30

High Block (+1) 1.2 60 60

In order to optimize the experiments and reduce the number of them as well as time and cost-saving, a three-factor factorial design was designed with the assumption that the process was linear for block 1 and with three midpoints for the curvature criteria, which is represented in Table 2. Regarding the data of variance analysis as in Figure 1, it is shown that the curvature criteria (with a significant level of 5%) is equal to zero and indicates that the assumed linear model is invalid and a non-linear design must be considered.

Table 2: Three-factor factorial design RunOrder 1 2 3 4 5 6 7 8 9 10 11

Blocks 1 1 1 1 1 1 1 1 1 1 1

Feed Flow (cc) 50 50 50 50 50 50 50 50 50 50 50

Ratio 1.2 0.8 1.2 0.8 1.2 1 1 1.2 0.8 0.8 1

Temp (°C) 40 40 60 60 60 50 50 40 60 40 50

time (min) 60 30 30 30 60 45 45 30 60 60 45

Sulfur (ppm) 950 1180 937 1009 802 808 809 1054 900 1050 808

Figure 1: Data of variance analysis As it was realized the model is nonlinear, in the second step, the response surface of the Box-Behnken design with three main factors of feed ratio, temperature and time were designed according to Table 3 with repetition in two blocks. Table 3: Response Surface Design RunOrder 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Blocks 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 2 2 2 2 2 2

Feed Flow (cc) 50 50 50 50 50 50 50 50 50 50 50 50 50 50 50 100 100 100 100 100 100

Ratio 1.2 1 1.2 1 1 1 0.8 1 0.8 0.8 0.8 1.2 1 1.2 1 1 0.8 0.8 1 0.8 1

Temp (°C) 60 40 50 50 60 40 50 50 60 40 50 40 50 50 60 40 40 50 40 60 50

Parisa Aminirad, Seyed Abolhasan Alavi, Mohammadreza Jafari Nasr

Time (min) 45 60 30 45 60 30 60 45 45 45 30 45 45 60 30 30 45 60 60 45 45

Sulfur (ppm) 805 950 930 808 809 1086 896 809 898 1051 1010 948 808 802 941 1097 1060 906 958 906 820

RunOrder 22 23 24 25 26 27 28 29 30

Blocks 2 2 2 2 2 2 2 2 2

Feed Flow (cc) 100 100 100 100 100 100 100 100 100

Ratio 1.2 1.2 1.2 1 1 1.2 1 1 0.8

Temp (°C) 50 60 40 60 50 50 60 50 50

Time (min) 60 45 45 30 45 30 60 45 30

Sulfur (ppm) 818 820 961 947 818 942 818 819 1020

As a similar way of the first step, the experiments were performed after designing and the amount of residual sulfur in the solution was measured and recorded as a response. The results of the variance analysis for the effect of each factor on the amount of residual sulfur are presented in Table 4. Table 4: Analysis of variance Mean squares (MS) 32490.1 85118.1 64516.0 12476.7 43052 27234.7 66.1 72 24.5 842.7 19.3 25585.6

Factors Ratio Temp time Ratio×Ratio Temp×Temp time×time Ratio×Temp Ratio×time Temp×time Blocks Error Total Model

Sum Of Squares (ss) 32490 85118 64516 12477 43052 27235 66 72 24 843 366 256222 255856

Degrees of Freedom (DOF) 1 1 1 1 1 1 1 1 1 1 19 29 10

F-Values

P-Values

1685.45 4415.58 3346.83 647.24 2233.36 1412.83 3.43 3.74 1.27 43.72 1327.28

<0.001 <0.001 <0.001 <0.001 <0.001 <0.001 0.080 0.068 0.274 <0.001 -

Main Effects Plot for Sulfur (ppm) Fitted Means Ratio

980

Temp (°C)

time (min)

Mean of Sulfur (ppm)

960 940 920 900 880 860 840 820 800 0.8

1 .0

1 .2 40

60 30

Figure 2: Effects of main factors on the Sulfur amount. Since the significant p-values for linear and square parameters are equal to zero, variance analysis for effect of each factor indicates that the response change value (residual sulfur content) depends on the first and second exponents of the value of all three factors. Also, according to the F-value, the high amount of which indicates its greater effect showed that temperature has the most significant effect on amount of sulfur. For example, the effect of temperature changes on sulfur *Corresponding author (Seyed Abolhasan Alavi). E-mail: alavi.ab@srbiau.ac.ir ©2019 International Transaction Journal of

removal is approximately 2.5 times the effect of changes in feed ratios. As it has been shown in Figure 2, the sharp slip of the temperature plot also indicated this matter. The interaction of the factors has the least effect on the output and can be eliminated from the model. The plots for factors interaction is showed in Figure 3.

Figure 3: Interaction of main factors on the Sulfur amount According to the selected model, the following operating conditions have been obtained as the optimum operating point: Acid to feed ratio = 1, Reaction temperature = 50°C, Reaction time = 45 min.

3.2

EXTRACTION EXPERIMENT

After the oxidation reaction, extraction was done in an extractor. Oxidized gas condensate and a suiTable amount of aqueous solvents (acetonitrile and water) were poured into the extractor and it was agitated for 10-15 minutes at ambient temperature. A decanter has been used to separate the organic phase from extracting solvent. 80%

Clay

PAC2

70%

PAC1

S removal

60% 50% 40% 30%

20% 10% 0% 0

90 100 110 120 130

time

Figure 4: Sulfur Removal with clay, nanoclay (PAC1), (c) nanoclay & chitosan (PAC2).

3.3 STUDYING THE CONTACT TIME OF THE ADSORBENTS The adsorption activity is performed with three types of adsorbents include clay, nanoclay (PAC1), and the mixture of nanoclay and chitosan (PAC2) for eight samples with the same

Parisa Aminirad, Seyed Abolhasan Alavi, Mohammadreza Jafari Nasr

concentration 602 ppm at different time periods (1, 2, 5, 10, 15, 30, 60, 120 min). By setting the value of V =0.05 liters and W= 10 g in Equation (1), different values of equilibrium concentrations were obtained. According to the results in Figure 4, after 30 minutes of the start of adsorption, the adsorbent is almost saturated.

3.4 ADSORPTION ISOTHERMS At this step after the oxidation, 50 cc of solutions with different initial concentrations were prepared, 5 g of absorbent added to each one and mixed in the same way for 60 minutes. Due to low efficiency of normal clay as adsorbent, the studies were done only for PAC1 and PAC2. Langmuir and Freundlich isotherms are investigated and the calculated correlation coefficients for both isotherm models are given in Table 5. Table 5: Adsorption Isotherm Parameters PAC1 Langmuir isotherm model −1

qmax (mg g ) 34.722

−1

−1 1/n

K F (mg g ) (L mg ) 0.030

K L(L mg −1 ) 0.005

R2 0.789

Freundlich isotherm model n 1.118 PAC2

R2 0.997

Langmuir isotherm model −1

qmax (mg g ) 45.87

K L(L mg −1 ) 0.005

R2 0.908

Freundlich isotherm model −1

−1 1/n

K F (mg g ) (L mg ) 0.043

n 1.134

R2 0.998

Regarding the values of R2 in Table (5), the Freundlich model obtained stronger correlation coefficients, which means a better description of the adsorption process. But R2 values obtained from the Langmuir model are also high, and cannot be easily ignored, and it can be concluded that homogeneous adsorption is not necessarily the only effective method.

3.5 ADSORPTION KINETICS By setting the value of C0= 602ppm, V= 50 cc and w= 10 g, plotting Ln(qe-qt) and t/qt vs. time and the qt vs. squared time value, pseudo-first ,pseudo-second-order and intra-particle diffusion model for the adsorption of sulfur has been fitted and obtained correlation coefficients. In Table 6, both pseudo-first and pseudo-second-order kinetic constants and correlation coefficients (R2) and intra-particle diffusion fit for the adsorption of sulfur is shown. The results showed high speed during the first twenty minutes and then it was at low speed until its equilibrium level. The higher correction coefficient for the pseudo-second order model implies that it leads the process of adsorption. *Corresponding author (Seyed Abolhasan Alavi). E-mail: alavi.ab@srbiau.ac.ir ©2019 International Transaction Journal of

Table 6: Comparison of Kinetics models kinetic model pseudo-second-order Pseudo-second-order Intra-particle diffusion kinetic model pseudo-second-order Pseudo-second-order Intra-particle diffusion

PAC1 k( rate constant) k1 =0.046(min-1) k2 =0.045(g.mg-1.min-1) k3 =0.198(mg.g-1.min-1/2) PAC2 k( rate constant) k1 =0.050(min-1) k2 =0.064(g.mg-1.min-1) k3 =0.201(mg.g-1.min-1/2)

R2 (correlation coefficient) 0.923 0.976 0.804 R2 (correlation coefficient) 0.940 0.987 0.810

3.6 SCANNING ELECTRON MICROSCOPE (SEM) SEM images of nanoclay, chitosan, nanoclay- chitosan mixture before and after adsorption are presented in Figure 5.

Figure 5: Scanning Electron Micrographs of (a) Nanoclay, (b) Chitosan, (c) Nonoclay & Chitosan before adsorption, (d) Nonoclay & Chitosan after adsorption.

4. CONCLUSION In this study, for the oxidation section, temperature changes have the most effect on increasing the sulfur removal and the best conditions for oxidation are as follows: Acid-to-feed ratio=1, reaction time=45 min, reaction temperature= 50°C. The adsorption of ordinary clay for sulfur compounds was very low and over the analyzed time period (120 min), the removal of sulfur compounds was up to 20% and increasing the time from 20 minutes to 120 minutes had no effect on the adsorption process. The adsorption on nanoclay showed good results, and over the time period, the sulfur removal rate was up to 65%. The nanoclay-chitosan mixture produced a better adsorbent and by using this sorbent, the removal of sulfur compounds

Parisa Aminirad, Seyed Abolhasan Alavi, Mohammadreza Jafari Nasr

increased by 70%. The results indicated that adsorption was initially faster and after about 30 minutes of adsorption process, adsorbent was saturated and the increase in contact time period had no significant effect on removal of sulfur compounds. Modeling of adsorption isotherms of Langmuir and Freundlich models described that both nanoclay and chitosan-nanoclay adsorbents had the highest correction coefficient for Freundlich model. The kinetic adsorption data for three commonly used synthetic models of pseudo-first-order, pseudo-second-order, and intra-particle diffusion model, indicated that adsorption of sulfur on these adsorbents follows the pseudo-second-order model. Thus this effective way of combining the ODS with this sorbent should be used to enhance the technology of desulfurization in order to achieve the gas condensate with minimum sulfur.

4. AVAILABILITY OF DATA AND MATERIAL Information used or generated from this study is available upon request to the corresponding author.

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Parisa Aminirad, Seyed Abolhasan Alavi, Mohammadreza Jafari Nasr

[28] Flora, T. T. Ng., Rahman, A., Ohasi, T., and Jiang, M. 2005. A study of the adsorption of thiophenic sulfur compounds using flow calorimetry, Appl Catal B- Environ, 56, 127-136. [29] Fihri,A., Mahfouz,R., Shahrani,A., Taie, I., and Alabedi,G. 2016. pervaporative desulfurization of gasoline: a review, Chem Eng process. Parisa Aminirad is a PhD student in Chemical Engineering at the Islamic Azad University, Science and Research Branch in Tehran. She received her Master's Degree in Chemical engineering from the Sharif University of Technology Her research areas of interest are chitosan-based polymer membranes and gas separators, as well as methods of desulfurization and the use of adsorbents. Dr. Seyed abolhasan Alavi is a faculty member of the Chemical Engineering Department at the Islamic Azad University ,Science and Research Branch in Tehran. His research interests are Renewable Energy Technologies, Biomass Conversion, Biofuels, Hydrolysis, and Chemical Kinetics.

Dr.Mohammadreza Jafari Nasr got his Bachelor and Master of Science in Chemical Engineering from Amirkabir University of Technology and a Ph.D. from UMIST- UK in Chemical Engineering - Energy Integration in Chemical Processes on 1999. He has more than 100 research papers published in scientific and international conferences, in domestic and foreign journals, and has one international patent and three domestic patents. He is the author of three books on Energy Conservation (Energy Integration in Petrochemical Processes), New Technologies for Improving Heat Transfer and Sedimentation in Heat Exchangers published by the Oil Industry Research Institute

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