1 Introduction

ITMITCE 2014
AASRC 9th INTERNATIONAL Conference On “Innovative
Trends in Management, Information, Technologies,
Computing and Engineering to tackle A Competitive
Global Environment”
Istanbul, Turkey 18 JUNE 2014
Conference Proceedings
Multilingual Conference
The Role of Social Capital and Knowledge
Management in the Performance of SMEs:
An Empirical Investigation in Pakistan
Chaudhry A. Khaliqa, Chaudhry A. Rehmanb, Muhammad A. Roomic,
Sumaira Rehmand, Khansa Ireme
a
Hailey College of Commerce, University of the Punjab, Lahore, Pakistan
[email protected]
b
Superior University, Lahore, Pakistan
[email protected]
c
University of Bedfordshire, Luton, Uk
[email protected]
d
Superior University, Lahore, Pakistan
[email protected]
e
Superior University, Lahore, Pakistan
[email protected]
Abstract. In our present era of the knowledge based economy SMEs face significant
challenges of global competition and the free movement of skilled labor. One possible
solution is to develop a better understanding of social capital and knowledge management.
Social capital and knowledge management reconsidered driving forces behind countries’
economic and social development, and are increasingly recognized as significant sources of
competitive advantage. For this reason they have become independent, progressive and
distinguished business disciplines specifically for SMEs. The primary objective of this
research is to explore precisely how social capital and knowledge management enhance the
performance of SMEs. Semi-structured interviews were conducted with owner-managers of
SMEs from arrange of industries, including manufacturing, trading and services, and the data
analyzed thematically. The findings will help policy makers, practitioners and
entrepreneurs/owner-mangers in Pakistan in particular and other developing regions in
general to devise mechanisms to improve the performance of SMEs.
Keywords: Competitive Advantage, Knowledge Management, Performance, SMEs, Social
Capital.
1 INTRODUCTION
Globalization has put competitive pressures on SMEs to improve their performance through
social capital (SC) and knowledge management (KM). Moreover, SMEs are currently facing
significant challenges from global competition and the free movement of skilled labor. One
possible solution to overcoming these challenges is to develop an understanding of SC and
KM in SMEs.
During the last few decades SMEs have evolved as an independent, progressive, income
generating and distinguish business discipline specifically for developing countries, and due
to this fact they have become an important area of research (Beaver & Prince,
2004;Neithammer et al., 2007). This paper is developed from the work of preceding research
studies into the role of SC and KM on SMEs’ performance in the context of Pakistan. It is
evident that the efficient use of SC and KM will ultimately enhance a firm’s performance,
which will in turn help create an entrepreneurial culture, competitive advantage, and socioeconomic change in the community.
According to Burt (2000) social capital is an intangible resource of a firm from which
certain people or groups build mutual trust and interdependency and are obliged to support
each other. This metaphor of social capital not only helps firms build relationships within and
across the companies, but is also a source of competitive advantage for entrepreneurial firms.
In the knowledge-based economy, firms maintain their competency and competitive
advantage on the basis of leading knowledge and their ability to learn more quickly than their
competitors (Bell, 1973; Grant, 1996b; Prusak, 2001). The speed with which an organization
builds up knowledge-based competencies determines its performance and survival. Apart
from conventional factors of production (land, labor and production) leading knowledge also
contributes towards earnings and performance (Gold, Malhotra, & Segars, 2001).
SMEs make up a lucrative sector that has made an immense contribution to the economy
of Pakistan. They contribute almost 80% of the non-agricultural labor force and account for
almost 40% of total GDP (Malik, Khan, Bhutto & Ghouri 2011). This sector makes up 35%
of Pakistan’s manufacturing sector and has a 25% share in manufactured exports. The role of
SMEs becomes more significant because the manufacturing sector makes a direct contribution
to Pakistan’s economic development (Bhutta et al. 2007). Today, they are widely considered a
solution to many economic problems. In Pakistan they are a key source of household income
(Perks & Bouncken, 2004; McDade & Spring, 2005) and are considered a great resource for
reducing unemployment and poverty. This study will seek to understand KM and SC
mechanisms in the context of Pakistan and explain how these mechanisms help the
performance of SMEs. Many studies support the growing importance of SMEs for developing
countries such as Pakistan, including Neithammer et al. (2007), Minniti, Bygrave & Autio
(2005), Hodges & Kuratko (2004), and Schlogl (2004). Hill (2001) and Lloyd (2002) also
discuss the relative importance of the SME sector for upward industrial escalation.
Previous studies on the industry and entrepreneurship of SMEs in Pakistan include
Hameed & Ali (2011) and Ijaz, Yasin & Zafar (2012);however, the notion of social capital
and knowledge management has not yet been covered in this context. The present study aims
to fill this gap by exploring the relationship between social capital, knowledge management
and firm performance in Pakistani SMEs. It will also propose tentative solutions and
strategies being adapted to ameliorate the growth and performance of SMEs in Pakistan,
which are essential to eradicate poverty, counter terrorism, increase the level of employment,
increase economic growth and ultimately bring prosperity to Pakistan.
2 LITERATURE REVIEW
2.1 Pakistan’s SME sector
The sustainable economic development of nations depends mainly on the performance and
continuous growth of SMEs (Burns & Stalker, 1961; Schumpeter, 1934; White 2005;
Wolfenson, 2001). Statistical data from the World Bank (November, 2011) shows that SMEs
are the key contributors to GDP and generate employment opportunities for economies (e.g.,
66% to high-income countries, 59% to upper-middle income, 67% in lower-middle income
and 78% in low-income).
The definition of SMEs varies between countries, and depends on socioeconomic
parameters such as number of employees, annual turnover or assets and capital of the firm. In
Australia, ABS defines SMEs as firms with a staff of between1 to 199; the European Union
defines them as companies with fewer than 250 employees, assets not exceeding €43 million
per annum and an annual turnover of less than €50 million. According to the World Bank
SMEs are ventures that generate annual revenue and assets of up to $15 million and have up
to 300 employees. Finally, the Inter-American Development Bank suggests that SMEs are
ventures with up to 100 employees and are venue of $3 million (International Finance
Corporation, 2010).
Similarly, the concept of SMEs also varies between institutions, and this is especially true
in Pakistan. SMEDA is an official body that defines the parameters for SMES in Pakistan. It
states that entrepreneurial ventures with a paid-up capital of Rs. 25 million or annual sales of
Rs. 250 million and up to 250 employees are considered SMEs.1
The entrepreneurial ventures of SMEs can lead a developing nation like Pakistan to enter
into competition with emerging markets like China, Malaysia and Thailand. In order to
achieve this high growth, a number of factors need to be considered, such as corruption,
electricity and gas load shedding, law and order, political stability, human resources,
transparency, terrorism, and improved infrastructure. Developing countries need to develop
skilled human resources by providing an entrepreneurial culture, restructuring industrial
sector, capitalizing investments and developing friendly government policies (Toderoand
Smith, 2009).
It is important for developing countries like Pakistan to concentrate on fostering the
development of SMEs for a number of reasons. These include helping entrepreneurial
ventures, instigating the rapid growth of export sub-sectors (e.g. cotton weaving, readymade
garments, handicraft, sport goods, gemstones, mining and surgical instruments), and
improving people’s standard of living by providing employment opportunities. However,
there are a number of critical factors that obstruct the growing trend of SMEs in Pakistan:
financial instability, awareness of SMEs and entrepreneurship, poor administration of
government departments, training and development, and the energy crisis.
2.2 The role of social capital infirm performance
Social capital builds strong supportive relationships between different organizations, reduces
the cost of exchanging resources and increases mutual trust among companies. Social capital
is described as the system that connects different organizations as a key source of competitive
advantage and helps them to perform well (Batjargal, 2003; Florin, Lubatkin & Schulze,
2003).
According to Reagans, Zuckerman & McEvily (2004),social capital is related to the
networks or relationships comprised of multiple assets that positively affect venture growth
(Baker, 1990), innovativeness in product (Tsai & Ghoshal, 1998) and firm based network
formation (Walker, Kogutand Shan, 1997). Social capital at the individual level helps in the
attainment of status and employment (Portes, A., 2000), one’s individual empowerment
(Krackhardt, 1990) and career mobility (Podolny & Baron, 1997). Aldrich & Zimmer (1986)
describe social capital as an integral component for opportunity identification, idea
exploitation and resource accumulation for new start up ventures.
Sandefur & Laumann (1998) highlight three aspects of social capital. First, social capital
may provide benefits in the timeliness, accurate, suitability and credibility of mutually shared
information. Second, social capital provides benefits in influencing and controlling others,
and vice versa. Third, repeated interactions and communications build up trust and mutual
understanding and obligation, that is, social solidarity.
Social capital has received a lot of attention in the management literature in the last decade
(Burt, 2000). Many studies have been conducted to understand the structure of interpersonal
1
Statistics are according to SMEDA SMEs policy 2007.
networks of individual entrepreneurs for the acquisition of stated KSA (e.g., O’Donnell,
2001). The contingency ties of interpersonal and inter-firm networks are widely studied in the
organizational literature (Burt, 1997; Gulatiand Higgins 2003; McEvily & Zaheer, 1999;
Podolny & Baron, 1997; Van Wijk, Jansen, & Lyles, 2008). Barsness, Diekmann & Seidel
(2005) found that social networks are essential to opportunity identification, idea testing and
resource acquirement for start ups.
2.3 Knowledge management and SME performance
The earlier literature on KM is focused more towards large corporations. It is a common myth
that SMEs don’t have the potential and resources to develop and take full advantage of KM
practices. Hylton (2002) and Herrmann et al. (2007), for example, note that SMEs need KM,
but their limited resources create major obstacles to the initiation of a KM system. In the last
decade of the 20th century the concept and practice of KM evolved quickly, however, and the
belief that firm performance would improve if significant focus was given to creating,
sharing, providing and protecting knowledge, became a widely accepted phenomenon (Earle
& Telegdy, 2000).
KM plays a significant role in improving the performance of SMEs. Thorpe et al. (2005)
studied KM from multiple perspectives and highlighted its importance when devising a policy
to support knowledge creation, knowledge implementation and its immediate network support
within firm.
KM has also been discussed as a useful knowledge sharing tool for improving firm
performance (Davenport & Prusak, 1998) and for developing a competitive advantage (Schulz
& Jobe, 2001). However, the role of managerial personnel cannot be ignored in this regard,
such as how they view the problem and how they use this KM mechanism to enhance
performance and turn it into value adding activities that are retained by individuals and teams
(Castanias & Helfat, 1991). Among other perspectives highlighted in the literature are how
KM is correlated with incremental innovation and how it is related to the growth of SMEs
(Darroch, 2005; Matlay, 2000; Penn, et al., 1998; Rastogi, 2003). However, the key
mechanism of KM within a firm, relating to how it can be efficiently used in a developing
country’s milieu specifically in the context of SMEs, remains a question for debate.
Therefore, in order for SMEs to enhance their performance and get a maximum return from
KM, they must first know what their knowledge assets are and then how to utilize them
efficiently and effectively.
3 RESEARCH METHODOLOGY
The core objective of this study is to explore the role of SC and KM in enhancing the
performance of SMEs in Pakistan. According to Creswell (2012) qualitative research is most
suitable when little detail on a phenomenon is available and there is a need to critically
explore its true essence. In this regard, the interpretivist research tradition can be the most
suitable approach to understanding the real-life experiences of the participants (Goulding,
2005). The current study also intends to gain an in-depth understanding of the perceptions and
experiences of key personnel running SMEs in Pakistan. A number of questions are still
unanswered in the literature: how are these SMEs owners using this KM mechanism within
the context of Pakistan; is a network of relationships really helpful in making their businesses
successful; and how can the performance of SMEs be helped by the mechanisms of KM and
SC?
The current study will take qualitative approach to answering these questions. The
purposive sampling technique has been used to select 12 SMEs owners with at least five
years’ experience. Face-to-face semi-structured interviews (Bryman & Bell, 2011) were
conducted to record the perceptions of interviewees. They were approached by the interviewer
in their native language; interviewee responses were recorded both in English and Urdu. All
recorded interviews have been transcribed and translated with the prior consent of the
interviewees.
The interpretative phenomenological analysis (IPA) method (Smith, 2010) was used to
analyze the data and to explore interviewee perception regarding the role of KM and SC in the
performance of SMEs.
The central open-ended research question that guided this research was how do social capital
and knowledge management enhance the performance of SMEs in Pakistan? The key question
has been further divided into the following sub questions:
 What is your understanding of social capital and knowledge management?
 What mechanism SMEs are practicing to manage and acquire KM and SC in the
firms?
 How do KM and SC enhance the performance of SMEs?
4 RESULTS
4.1 Demographic profile
The demographic profile of the participants is given in Table 1 (see appendix 1). This shows
that most of the participants have run their businesses for more than ten years and few of them
have nine years’ experience of running SMEs. Almost 60% of the participants are in the 30–
40age range and 10% are in the 20–30 age range.
Those who are more experienced and have previous job experience are running their
businesses more successfully and are performing better. All participants are married and work
as owner-managers. More than 50% are highly qualified, having Master’s degrees, 30% are
matriculate, one is on intermediate level, one has a diploma in associate engineering, one
interviewee is under metric and only one participant is uneducated. The sample consists of
owner-managers of diverse businesses including manufacturing; trading and service industries
like information technology; property; marble, stone and tile construction; battery
importation; paper; paint; embroidery; and generator manufacturing and importation.
Table 1: Demographic profile of respondents
Participant
Name
Qualificat
ion
Year in
Business
Marital
Status
Age
Employment
Status
Nature of
Business
Size of
Business
Previous
Employm
ent
Medium
Yes
Medium
Yes
Medium
No
Medium
No
A1
Zulfiqar
Master
19
M
40-50
Partner/OM
IT,
Generators,
Property &
import Battery
A2
Mehzooz Ali
Master
9
M
30-40
MD/OM
Construction
A3
Imran Butt
Nill
19
40-50
MD/OM
A4
Imran Ali
DAE
7
UM
30-40
MD/OM
A5
Bilal
Master
11
M
20-30
Director/OM
Construction
Medium
Yes
A6
Noor Muhammad
Nill
25
M
40-50
Sole
Proprietor
Paint Work,
Distribution &
Services
Medium
Yes
A7
Shahid Siddiqui
Master
15
M
30-40
Director/OM
Law Services
Medium
Yes
A8
Muhammad Azam
Under
Matric
21
M
40-50
Partner/OM
Paper
Medium
Yes
A9
Mr. Shahzad Sb
Inter
20
M
30-40
MD/OM
Construction
Medium
No
A10
Usman Raza
Inter
13
M
30-40
Executive /
OM
Printing
Small
No
Generators &
Embroidery
Marble,
Stones &
Tiles
A11
Imran Shahaid
FA
7
M
20-30
Owner
Manager
Bricks
Material
Supplies
Medium
No
A12
Malik Sohaib
Ahmad
BA
12
M
30-40
Owner
Manger
Catering
Medium
No
4.2 Findings
The findings of the study have been presented based on a thematic analysis. Both present and
emergent themes are used in the interpretation of the results. The responses to each theme are
discussed below in detail.
4.2.1 The concept of social capital
Conceptualization of this term is based on the importance of networks developed on the basis
of strong and personal relationship that can be maintained in the long term on the basis of
trust, cooperation and collective actions. Most respondents describe social capital as a key
tool for developing trust orientation, enhancing obligations and sharing thoughts. One
reported that:
Social capital is just a smart tool for developing trust between two parties from
which you get tremendous support from your colleagues, subordinates and other
bodies outside the organization.
Another stated:
Networking is something that develops close relationships, helps us to get a practical
business relationship and is a way to decrease work pressure within the organization.
It is a bundle of social resources that consists of relationships confined with norms
and values that ultimately enhance network ties among businesses. This network of
ties provides an immense support in establishing competitive advantage for the firm.
Social capital is a tool that helps a person improves their network ties with other
businesses. It is considered a significant capital for enterprises because developing such
networks helps foster an innovative culture within the firm. Social capital is a key tool in
eradicating the structural holes that stop a firm’s growth. The structural holes are weak
network ties in which the major concentration of the personnel is more focused on handling
their own activities than activities by other personnel. One respondent stated:
Well for my organization it is always advisable for every team member to develop
and maintain healthy relationship with other colleagues and subordinates. This
creates strong network ties among different departments and has a positive impact on
firm performance and efficient use of resources. It also helps break the weak flow of
information.
We have a strong cooperative culture among our departments which helps everyone
to keep themselves more updated with the activities running in other departments.
The more you know about different departments the more you think creatively,
which ultimately helps maintain a competitive advantage for the firm.
4.2.2 Social capital and firm performance
These days, social capital is considered an important part of an organization’s success and
performance orientation. The more social capital a business has the faster it will grow. Most
of the participants prefer to build their relationship with market personnel in order to better
understand the market dynamics. One participant stated:
Today’s era of globalization is all about networking, and networking is based on an
adaptive process in which firms needs to develop their relationships with the outside
world.
Many emerging dimensions have been extracted from the collected data. Some
participants perceived social capital as all about relationship building, some took it to be a
major process of building relationship quality and some summarized it as networking ties
among the leading companies:
Interaction among team members and different departments is considered the priority
in my organization. It may be face to face or through other electronic modes but we
try to enhance our image by using social media.
Although people who are working in industrial settings belong to diverse
departments it is easy to deal with other fellows and become close to the team
member whom I know. Relationship quality is all about interacting with each other
and sharing one another’s ideas to create synergy in the vision of the organization.
Most of the time we are trying to make our network ties strong with the outside
world through getting involved in different activities such as accepting invitations
and making visits them to spend quality time with other people. This will improve
the quality of relationships with other personnel in the firm.
Hence, social capital is helpful not only in improving relationships with employees,
customers, suppliers, alliances and partners but also in enhancing firm performance. Social
inter-departmental interactions will lead to improved quality of relationships, which
ultimately enhance the productivity of the firm. Most of the participants stated something like
the following:
We always encourage our departments to enhance interaction with their counter
department in order to build better relationships, which ultimately lead towards the
success of the firm. The more you have strong inter-departmental interaction the
more you will avoid prevailing confusions.
The customer is the king for whom organizations devise competitive benefits and
resources. In this regard SC is a vital contributor in making product more innovative by way
of social networking (Tsai & Ghoshal, 1998). This means that improving SC is key to
satisfying customers’ needs.
Those enterprises that are continually using their SC to make incremental and radical
innovations in their products or services can help enhance the flow of tacit knowledge
between stakeholders (Collins & Hitt, 2006), and can have a better chance of success (Hitt,
Bierman, Shimizu & Kochhar, 2001; Mehra, Kilduff, & Brass, 2001).
4.2.3 The concept of knowledge management
Knowledge management is considered a process through which lucid information can be
delivered to the recipient. However, knowledge is the ultimate component and is divided into
three dimensions:1) knowledge as technological process, 2) knowledge as market tactics
and3) knowledge as a combination of technology and market tactics. Most of the participants
considered knowledge as something that can add value in technological terms:
Knowledge is something related to the technical part of the business rather than the
operational one. It is more a way of collaborating with external partners in order to
handle the technical part as compared to the operational part.
However, some participants had a different perception of knowledge. They believed that
knowledge is not always related to the development of new technologies and understanding of
that technology, but it is more a process that is adapted to gaining a deep understanding of
market dynamics:
Knowledge management is simply something that can help foster communication
with your customers. It is a way to manage the operational part of your business as
well. It helps create brand awareness with the help of specialized key partners.
The acquisition of specialized knowledge related to market dynamics plays a vital
role in understanding the mechanism of a company.
Such knowledge is not only comprised of the pool of technical explanation of the product,
technologies or procedure, but also relates to an understanding of market tactics.
Another interviewee stated that knowledge management is a process in which integration
plays an important role. This integration is not related only to the technical part or the market
tactics. This integration is related in some combination of market dynamics and technological
understanding.
The acquisition of high tech machinery is one process in converting a raw product
into a finished form, but this technical skill cannot make a product a big success in
the market. To get a successful entrance you must understand the market competitive
dynamics prevailing in the industry because the customer to whom a business is
offering a product is well educated. So, using expensive technology and hiring
specialized technical staff cannot make a business successful.
Hence, it can be observed that knowledge management is playing a significant role not
only in getting technological information but also in getting information related to marketbased processes. Organizations acquire multiple processes for disseminating this knowledge
through internal communication among staff members. Internal communication tools are used
to learn about both the prevailing problems and how one can solve them.
The key authorized person is responsible to brief junior staff regarding the methods
of working and achieving targets. If new machinery is introduced or new product
variant is added then the expert person helps other employees to learn the relevant
techniques and strategies.
In the process of knowledge transfer, the most common channel for the dissemination of
knowledge is training. Most of the SMEs maintain a focus on training, but a few of them are
not willing to spend anything on this mechanism.
One thing which really helps in the knowledge sharing process is the personalized
learning of an employee. This learning has been developed using training programs
that reinforce learning from experience. Such structured knowledge is then used to
provide solutions to day to day problems.
Using social capital as a tool to build a network of relationships is conducive to
innovation. It builds on an assumption that such networks nurture trust, which will encourage
risk taking as communication and business coordination standards are improved. However, it
is not always the case that a network of relationships fosters innovation. This is definitely not
true when organizations (or groups of individuals) form closed circles, disallowing entry to
and cooperation with others. Such implications are clearly seen in one of the interviewees’
point of view:
It seems that in the present-stage market for construction equipment in Pakistan,
consolidation and the associated benefits of synergy effects are possible only in
equity-related companies ... Given that two such groups have come into existence
and since there is a risk that one group members may become dependent for services
or supplies of some products on members of the other, we can now observe a closing
rather than opening out of such groups.
4.2.4 Knowledge management: a tool for innovation for performance-oriented SMEs
It is evident from the literature that KM is the tool of innovation that can most enhance a
firm’s competitiveness and ultimately lead to its good performance. Most of the interviewees
talked about their understanding of knowledge orientation and how they learn from the
experiences and strategies which they apply in accomplishing their task. Closeness to their
customers was regarded as a driver for competitive advantage. Most of the interviews shared
the following sentiment:
We simply cannot afford to take on the big firms. Our strength lies in our ability to
develop tailored solutions that meet our customers’ needs better than the
standardized solution provided by the major firms.
Similarly, the ability to learn and be innovative, which is considered as a source of
competitive advantage by several firms, is strongly connected with the market orientation of
the firm:
Many of our customers are extremely demanding and sophisticated. They always
search the market to place their orders. If we want to satisfy our clients, we suppose
to give them innovative solutions for their demands and this is not possible without
acquiring and using proper knowledge.
Another firm smartly discusses the knowledge orientation practices which they have
chosen:
We have pro-active formal programs for promoting innovation. One is to collaborate
with external organizations such as universities. Where we have ample ideas related
to executing certain strategies to satisfy our customers but not necessarily the
resources available to explore that idea and we will contact the university that may
have the expertise in that area and contract them to pursue that further for us.
Most of the firms considered knowledge as a major tool that gives them better access to
exploit those opportunities which are available in Pakistan. All of them gave importance to
their customers, and they try to find ways that lead to their better satisfaction. One respondent
described the use of knowledge in the following way:
Our product is a commodity which we market throughout Pakistan. We invest in
quality, especially in new technology, to enhance our product. Over the years we
have joined with other competitive companies to focus on innovation and the
development of new products, resulting in one whole new business. We are always
trying to encourage our employees to get involved in looking at things in a new way.
If we just focused on the price then we would not be able to exploit opportunities to
grow.
Most of the interviewees discussed the role of knowledge as a key contributing factor in
satisfying customers’ needs. They are of the view that without proper research and
development in to their existing products or services, it is impossible to satisfy their
customers. KM procedures play a key role in enhancing the level of innovation in firm
orientation, which ultimately increases the performance of the firm.
4.2.5 Knowledge management and firm performance
Many companies are trying to apply the concept of KM in multiple ways, such as for
knowledge acquisition, the hiring of human resources and collaboration with other key
stakeholders to better use this knowledge. The conversion of acquired knowledge into tacit
knowledge in a well-integrated, organized and structured manner is also a part of this process.
Most of the interviewees reported the preceding concept of knowledge orientation as:
In our organization, we have a separate research and development department that is
specially design to study market trends and find new innovative ways to present our
products and services. The research and development department is not only
responsible for finding and exploiting prevailing opportunities, but along with this
proper employee training with new innovation tactics is also an utmost part of our
knowledge oriented culture.
Tacit knowledge is then shared with the key stakeholders, specifically employees working
in the organization. It is specifically shared with them because it is they whose different
business activities can make a customer more contented. During this knowledge sharing
process, knowledge is stored for future retrieval. Employees are considered as one of the most
integral parts for the execution of KM; as Becerra-Fernandez, Gonzales & Sabherwal (2004)
discuss, the KM process is directly related to people, processes and products, which
ultimately enhance the financial performance of the firm. One interviewee reported:
We put a keen focus on the development of employees and imparting knowledge that
is relevant to their field of study such as marketing, finance, technical because we
believe that if employee is familiar with the novel tactics to deal with his work than
they can contribute in the success of the organization.
It is also been discussed in the literature that the performance of an enterprise can be
improved by sharing useful knowledge (Davenport & Prusak, 2000). Similarly, Salina and
Wan (2008) also highlighted the significant relationship between KM and firm performance.
Hence the survival of an enterprise is based on multiple factors such as networking,
competitive advantage and efficient and effective use of resources. KM is the key player in
making all these factors successful.
5 DISCUSSION AND CONCLUSIONS
5.1 Discussion
The aim of this study has been to explore how social capital and knowledge management
contribute in enhancing the performance of SMEs. SMEs work actively in building networks
and learning new knowledge tactics in order to increase their performance. As discussed
earlier, knowledge acquisition involves activities of accumulating, creating, acquiring,
generating, capturing and collaborating, whereas social capital involves building strong
supportive relationships among different organizations or even acting as a source of synergy
and synchronization between different departments of a single company itself, reducing the
cost of exchanging resources and increasing mutual trust between companies.
Many participants shared their understanding of KM and SC. The study found that SC is
an important tool in this era of globalization, which is generally linked to the access to
potential resources based on networking with counterparts or within the industry in which an
organization performs. Most of the respondents described social capital as a key tool for
developing trust orientation, enhancing obligation and sharing thought processes. The more
social capital a business has, the more it will grow. Most of the participants preferred to build
their relationship with market personnel in order to better understand the market dynamics. In
this regard SC, through social networking, is a vital contributor to making products more
innovative (Hitt, Bierman, Shimizu & Kochhar, 2001; Mehra, Kilduff, & Brass, 2001; Tsai &
Ghoshal, 1998).
When participants were asked to give their understanding of knowledge orientation and
how they learn from the experiences and strategies that they apply in accomplishing their task,
closeness to their customers was a key element of a market orientation was regarded as a
driver for competitive advantage, which ultimately increases firm’s performance. Many
participants divided the knowledge component into three dimensions: 1) knowledge as
technological process, 2) knowledge as market tactics and3) knowledge used as a combination
of technology and market tactics. Many companies are trying to apply the concept of KM in
multiple ways, such as for knowledge acquisition, the hiring of human resources and
collaboration with other key stakeholders to better use this knowledge. As Becerra-Fernandez,
Gonzales & Sabherwal (2004) discuss, the KM process is directly related to people, processes
and products, which ultimately improve a firm’s financial performance. The significant
relationship between KM and firm performance has also been highlighted in the literature
(Salina & Wan Fadzilah, 2008).
SMEs are small firms that exploit the prevailing opportunities of direct and daily
interactions with their customers to get quick feedback. This gives them a sustainable
competitive advantage in the market. Furthermore, through this knowledge SMEs gain an
advantage in make competitor analysis and seeking new market trends for strategic
development. Market research like this provides a platform for SMEs to keep themselves upto-date on what the market is offering and behave accordingly to meet their customers’
requirements.
Previous studies show that the acquisition of new knowledge significantly affects
enterprise performance; however, responses to that knowledge play a mediating role in
knowledge acquisition and enterprise performance (Darroch, 2005). Furthermore, according
to a study conducted in Turkey, the KM process is strongly connected to knowledge
conversion and application, while knowledge codification does not show any connection
(Zaim, Tatoglu & Zaim, 2007).
Moreover, an SME’s performance is augmented through social capital, consisting of
networks and relationships with key stakeholders (i.e. customers, strategic partners, media and
employees), because owner-managers can communicate directly with all key stakeholders
through direct interactions with customers, dealers and the media, thus gaining an open
platform on which to collect information about market trends and customer demands. It is also
found that having a strong orientation towards SC leads SMEs to overcome the main
challenges in the market such as the adaptation of new technologies, market trends, training
human resources and meeting global competition. SC’s value is reinvigorated when SMEs
owners use knowledge acquisition in handling their business activities. Hence, it is vital to use
SC and KM together to get better performance.
SMEs have their own role to play in the economy, as do large organizations. Both are
important for the economic growth of a nation and they complement each other in the
business chain. Therefore, it is not only large organizations that need to improve themselves
through SC and KM to achieve business excellence, but so should small and medium-sized
ones.
5.2 Limitations and Future Directions
This research study highlights the importance of KM and SC in enhancing SME performance
in Pakistan. However, this research also faced some limitations, which are worth discussing.
Recording of an interview may sometimes cause the interviewee to hesitate and even avoid
giving responses to sensitive questions (Ghauri, Grønhaug, & Kristianslund, 1995). There is
also an inherent response bias associated with the self-reporting nature of the interview data
(Yin, 2003).
The scope of research can be expanded throughout Pakistan. Further research might also
be conducted to empirically investigate the significance of relationships in similar or different
settings within Pakistan. Moreover, the growing trend of emerging markets also provides
room to study how KM and SC can help these SMEs survive in such markets and how they
can cope with the challenges of internationalization in the coming era.
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Chaudhary Abdul Khaliq is a PhD scholar who is currently working as assistant professor at
University of the Punjab. He has 23 years of professional experience with different national
and multinational organizations in capacity of a trainer, teacher and advisor. His areas of
specialization are entrepreneurial leadership, Globalization and International Business and
finance.
Chaudhary Abdul Rehman holds a PhD in Human Resource Management from the
University of Middlesex, UK. He is presently working as the Rector of Superior University,
Pakistan. He also earned an honorary fellowship in the faculty of Business and Law at the
University of Newcastle, Australia. He is author of 15 books in diversified areas, such as
Accountancy, Economics, Auditing, Business Studies and Banking. He has personally
supervised 30 dissertations of both M. Phil and PhD students. He is a renowned trainer in the
area of Human Resource Management. He has written many educational columns for some of
the country’s leading newspapers. His main areas of expertise include Human Resource
Management, Business Research Method, Commerce and Entrepreneurship.
Muhammad Azam Roomi is currently engaged with the University of Bedfordshire as
Principal Lecturer and the Director of Research at the Centre for Women’s Enterprise. He has
served as a consultant for enterprise development to several national and international
organizations such as the Government of Pakistan, the World Bank, the Asian Development
Bank, the European Union, the Aga Khan Rural Support Program, Luton Borough Council,
Prowess, LEAD, IUCN, UN-APCTT, ILO, and EEDA. His major research works have been
focusing on the growth and development of enterprises in the UK, Pakistan, and other Asians
countries. He has recently won the ICSB/NWBC/IJGE Best Paper Award on Women’s
Entrepreneurship at the ICSB world conference, 2009.
Sumaira Rehman is a PhD scholar in Middlesex University Business School, UK. She is
currently working as assistant professor at Superior University. She is a trainer and advisor in
the field of entrepreneurship. She got the Best Paper Award on Women’s Entrepreneurship at
the ICSB world conference, 2013 conducted in Puerto Rico. Her research interests cover areas
of gender, work life balance and women entrepreneurship.
Khansa Irem is working as a Lecturer and Research Associate in Azhra Naheed Center for
Research and Development (ANCRD) at Superior University, Pakistan from last 6 years. She
has recently completed her M.Phil degree from Superior University, Pakistan. She presented
her research work in different national and international conferences. Her current research
focuses on management, HRM, entrepreneurship and social media.
Social Media: A Prospective or a Dilemma
The case of Pakistan
a
Khansa Irem , Afshan Hameedb, Chaudhry Abdul Rehmanc, Chaudhry Abdul
Kahliqd
a
Superior University, Lahore, Pakistan
[email protected]
b
Superior University, Lahore, Pakistan
[email protected]
c
Superior University, Lahore, Pakistan
[email protected]
d
Hailey College of Commerce, University of the Punjab, Lahore, Pakistan
[email protected]
Abstract. The purpose of this research study is to explore the role of social media in creating
societal transformation particularly in the context of developing countries like Pakistan. This
is an exploratory research which focuses around the role and power of social media in
creating societal transformation. Semi structure and focus group discussions have been
conducted from 40 participants (parents, teachers, and youth). Moreover, thematic analysis
was used for the analysis of data. Findings revealed that social media is playing a significant
role in improving standard of living by providing an open access to the global markets,
financial services and employment opportunities. The young generation has more
opportunities for socialization in less time with minimum cost. Social interaction with
friends, peers, colleagues, family across the globe has become easier and cheaper. However,
the dark side of the use of social media in the forms of privacy breach, unethical practices,
detachment from family and less concentration on studies has crippled the society to a big
extent. This study contributes towards enhancing the in-depth understanding of social media
in shaping societal changes in a developing country like Pakistan and paves the way for
future research.
Key words: Social media, Societal Transformation, Youth, Parents, Teachers.
1 INTRODUCTION
Undoubtedly, media, no decisive boundary, has become a symbol to speak freely and express
your feeling to the society. The landscape of Media is not only the source of information (i.e.
news, sports, entertainment, education etc.) but also influences the human perception,
feelings, understanding, and cultural value that collectively account for societal
transformation (Datoo, 2010). The enormous dispersion of internet, mobile communication,
digital media and a number of social software tools play a vital role in the transformation of
conventional communication system into interactive networks that connect the local and
global world together. These new modes of communication have intertwined in every aspect
of human life, the way people communicated ultimately influences the way society behaves
(Prianti et al., 2012). Similarly, Sharma et al. (2005) describe societies as information
societies due to the enormous impact of digital and information media on human lives. In this
regard, social media is an emerging phenomenon to be considered in studying media and
society because it comes out as a new part of public sphere (Waltz, 2005). Likewise, this
emerging and growing phenomenon around the globe has lured the scholar’s attention
enormously for many years (Ahn, 2011; Kaplan and Haenlein, 2010; Eyrich, Padman and
Sweetser, 2008; Dickey and Lewis, 2011; Godes et al., 2005).
Similarly, social media is a virtual media that supports communication among virtual
communities to instantaneously share their thoughts, ideas, pictures, and contents with one
another within or across borders (Kaplan and Haenlein, 2010). New modes of social media
including SMS, blogs (i.e. blogger, Word press), social networking sites (i.e Facebook,
Twitter, Linkedinn), podcasts (i.e. iPodder, PodOmatic) and wikis (i.e. Wikipedia) open the
door for horizontal communication among people of society (Edwards, 2011; Eyrich, Padman
and Sweetser, 2008). However, these social modes of communication are now becoming the
most influential tools for upbringing the society in every walk of life. In addition, it gives
freedom to an individual to share his/her thoughts openly within the society (Ghannam, 2011).
The peculiarity of social media lies in its personalised user generated content format that
provides user a full control over its use on content generation (Dickey and Lewis, 2011).
It has been observed in the literature that the growth of social media in previous decade is
undeniable. Wikipedia was developed in 2001; presently, this social networking tool has more
than 13 million articles in its repository that are available in 200 different languages. Another
social networking tool created in 2004 shows a remarkable response in the trajectory of social
media. Today, Facebook is facilitating more than 300 million members globally to stay in
touch with one another through the concept of Global Village. Even, it is commonly stated
now that if Facebook were a country, it would be ranked 4th owing to its size. Definitely, the
enormous growth of twitter network (established in 2006) with the growth rate of almost
1400% cannot be ignored (Qualman, 2009).
This growing trend of social media is not limited to developed countries. This spectre of
social media shows exponential growth in developing countries like Pakistan. In this context,
the use of social media has grown by 50% in the year 2012 (Reader telecom exclusive May,
2013, accessed 1 May, 2014). Pakistan is a country of 193 million people (Haque, 2013).
Statistics shows that there are almost 8 million social network users, 121 million mobile
2
subscribers and 29 million internet users in Pakistan (Reader telecom exclusive May, 2013,
accessed 1 May,, 2014). The growing usage of social networking sites (SNS) is significantly
noted in recent years such as presently, Facebook has acquaintance with 10 million registered
users and Twitter the youngest member of the SNS family has almost 2 million internet users
on its panel (Haque, 2013). Pakistan has almost 1.7 registered bloggers on bloggers.com
(Alam, 2012) and 1.5 million registered Linked Inn users on linked inn.com (Yusuf, 2013).
Considering aforementioned statistics, the Pakistani audience rising trend towards social
media usage is clearly evident. According to Express Tribune 2013, most of the SNS sites
users are in the age group of 18-24. This shows that SNS sites are mostly used by youth of
Pakistan (Eijaz, 2013).
The conception of social media has been widely discussed in the literature, covering
diverse perspective such as education (Ahn, 2011), branding and marketing (Naveed, 2012),
consumer attitudes (Mir, 2012; Nasir, Vel and Mateen, 2012), teen and parenting (Yardi and
Bruckman, 2011; Czeskis et al., 2010), catalyst for communication (Kugelman, 2012), and
politics (Ali, Jan and Iqbal, 2013), youth and society (Neelamalar and Chitra, 2009; Jalil, Jalil
and Latiff, 2010). But the role of social media in bringing societal change is still in its infancy
specifically in the context of Pakistani youth. Therefore, the present study is going to address
this gap by studying the innate perception of societal reformers including parents, teachers
3
and youth towards the role of social media in bringing societal transformation. The purpose
of this research study is to explore the role of social media in creating societal transformation
particularly in the context of developing countries like Pakistan. This is an exploratory
2
This percentage of internet users is quite high in Pakistan that is almost 11 percent of total
population. It is surprising to discuss that in South Asian Region, the tendency of internet
usage is much higher in Pakistan as compare to other countries, even in India the internet
users percentage is only 6 percent.
3
Literature has used various terminologies for youth such as adolescents, adults, teenagers.
We have used these terminologies interchangeably throughout the text for the age group of
15-25.
research which focuses on the role and power of social media in creating societal
transformation.
The remaining of the paper are as follows: research context of social media and youth,
methodology employed for the paper, findings regarding the perceptions of participants
(teachers, parents and youths), discussion, conclusion and limitations.
2 RESEARCH CONTEXT
2.1 Social media: an emerging phenomenon
Social media is one of the most profound elements of interaction in the society. It is the major
revolution of the current era transforming the communication landscape (Edwards, 2011). It
is highlighted in literature that social media is comprised of different internet tools to facilitate
conversation among different users where these users can freely share different facts,
information and material related to their interest with one another within or across borders
(Solis and Breakenridge, 2009; Kumar, Hsiao, & Chiu, 2009; Edwards, 2011).
The development of social media heralded the exchange of information much faster and
more convenient for the society as compare to old traditional media. Users of this social
network have different interpretation for the word social media which depends on their usage
pattern of this mode of communication. This broad spectrum of social media fuses various
kinds of contents that form social networks (i.e. blogs, forums, audio, videos, and avatars on
social networking websites), status update and more. The formation of social media is based
on personalised user generated content that allows users with no specialised knowledge of
web development to post and upload contents instantaneously. In its simplest sense, social
media is an array of information that users are interested to share on the social networks using
the services of various social networking web sites (Eley and Tilley, 2009).
The revelation of social media consists of some core factors of user generated content
(UGC) and Web 2.0. These core factors of social media are widely discussed in literature
(Kaplan and Haenlein, 2010; Shao, 2009). Shao (2009) more specifically discussed the role of
UGC as a core factor of social media. He opined that UGC is such user generated content or
material that people having no technological knowledge can create and upload on the social
network (i.e. public profile on Facebook page, video upload on Youtube or give comment on
amazon.com). However, Kaplan and Haenlein (2010) discuss both UGC and web 2.0 as key
contributing factors in developing the conception of social media. They defined it as “a group
of internet based applications that build the ideological and technological foundations of web
2.0, and that allow the creation and exchange of user generated content”. They further
concluded that web 2.0 is a novel way to use World Wide Web both for software developers
and end-users. Web 2.0 provides an opportunity to end user to share and modify the
information in a collaborative fashion. Though, UGC is a sum of all ways in which people
make use of social media. Hence, consistent with Kaplan and Haenlein (2012), we consider
that social media is a group of technology based tools and applications that are based on the
foundation of web 2.0 and UGC content.
Social media provides a platform of socialisation for society to share their ideas,
experiences, and thoughts with one another. To make this socialisation happen among
societies, there are different modes of social media including social networking websites (i.e
facebook, Twitter, Linkedinn), podcasts (i.e. iPodder, PodOmatic) and wikis (i.e. Wikipedia)
open the door for horizontal communication among people of society (Edwards, 2011; Eyrich,
Padman and Sweetser, 2008). These modes of social interaction provide freedom to people to
create user generated contents and exchange these personalised contents with their friends,
family and peers. It has been examined that people use these social network modes to
strengthen their offline relationship (Ali, Jan and Iqbal, 2013). Social media is performing
many functions to facilitate this new web ecology of social media network. The core functions
of social media as discussed by Ali, Jan and Iqbal, (2013) are highlighted in Table 1.
Sr. #
1
2
Table 1. Core functions of Social Media
Core Functions
Open platform for public to unite for some purpose or cause
Provide an intimacy with offline relationships
3
4
5
6
Globally connected with family and friends
Bridge the gap between official authorities and general public
Provision of education and information at masses regarding some issues
Power to reshape public opinion and policies
Adapted from Ali, Jan & Iqbal (2013)
Social media is rapidly growing phenomenon in developing countries of Asian continent
(i.e Pakistan, India, China, Malaysia). The rocketed trend of social media has caught the
attention of academia to study its role in various perspectives of education (Ahn, 2011),
branding and marketing (Naveed, 2012), consumer attitudes (Mir, 2012; Nasir, Vel, &
Mateen, 2012), teen and parenting (Yardi & Bruckman, 2011; Czeskis et al., 2010), catalyst
for communication (Kugelman, 2012), |society and youth (Neelamalar & Chitra, 2009; Jalil,
Jalil & Latiff, 2010) and politics (Ali, Jan & Iqbal, 2013). In Arab world countries, it is
already considered as catalyst for change agent. Mourtada and Saleem (2011) conducted study
on the role of social media in empowering Arab women. They found that this revelation of
social media has swept the conventional patriarchal culture of Arab world by providing an
open platform for Arab woman to raise her voice on prevailing issues. Likewise, the studies
conducted in Malaysia (Jalil, Jalil & Latiff, 2010) and India (Neelamalar & Chitra, 2009)
highlighted the intimacy of youth with social media making this emerging as utmost
importance in developing countries region.
Moreover, talking about further exploration of this emerging phenomenon, the situation is
not very different in case of Pakistan. Pakistan telecommunication industry is growing very
rapidly in past decade due to privatisation (Ansari and Khan, 2009). The rising competition
among telecommunication companies have significantly contributed to offer internet at
reasonable prices. The penetration of internet usage is swiftly increasing due to affordability
and accessibility of the internet. The criticism on the Pakistani government after taking
decision to impose ban on Facebook, Youtube, and twitter is the warrant to support this
intimate social media-public relationship. Solangi (2013) further asserts that Pakistan official
telecommunication authority (PTA) was largely criticised by the public when they passed
order to ban one social networking site ‘Twitter’ for more than 8 hours on May, 20. Hence,
the government takes back the decision and once again activates the Twitter for public.
Nonetheless, the academic scholars highlighted the society intimate relationship with social
media networking websites in the Pakistani context (Kugelman, 2012; Ali, Jan & Iqbal, 2013;
Nasir, Vel, & Mateen, 2012) but literature is still silent on exploring the youth perception
towards usage of social media in the Pakistani context. This prevailing gap really motivates us
to explore the role of social media in bringing societal transformation specifically from youth
perspective.
2.2. Socio-Tech through youth lens
The use of different social media tools (i.e. Facebook, Twitter, FourSquare, texting,
hyperconnectivity) brings a massive cultural shift towards the use of technological tools
(Lanier, 2010; Carr, 2010). This massive cultural shift is becoming more challenging in the
context of technology use among the youth because the trend of using social media is largely
noticed among young citizen of the society (Valenzuela, Park, and Kee, 2009; Raynes-Goldie
and Walker, 2008). These young citizens are also called early adopter of internet technology
(media print).
The increasing use of social media tools among youth is a global phenomenon. It is
largely noticed that teenagers are kept themselves busy in messaging, gaming, facebooking
and youtubing (Grinter et al., 2006; Livingstone and Helsper, 2008). Lenhart (2009)
mentioned the statistics of Per internet & American life projects December, 2008 tracking
survey that the use of social network sites is almost quadrupled during the last 4 years (8% in
2005 to 35% in 2009). This increasing ratio of social network usage is more in adults as
compared with their counterparts (older generation). He discussed that almost 75% of the
young people having age group of 18-25 are using social networking sites, however, this
usage ratio is very nominal (almost 7%) among their older counterparts. Likewise, it is
revealed in National Survey (2009) that 73% of the teenagers use social networking sites.
Three years earlier this usage was only 55% (Lenhart, Purcell, Smith and Zikuhr, 2010). At its
core, use of online social networks is still a phenomenon of a youth.
The youths’ spending on internet services is almost equal to a 50% expenditure on mobile
phone services in mature markets (Subrahmanyam, 2007). Nonetheless, youths are an early
adopter of a technology but they are considered as the most sophisticated users of these social
network tools (Neelamalar & Chitra, 2009). The term ‘reverse socialisation’ has evolved to
differentiate the shifting trend of socialisation where teenagers have more knowledge on the
usage of social network tools as compared to older counterparts in the family (Livingstone
and Bober, 2005). The adolescents play a groundbreaking role in adapting early technologies.
They love to experience new things and trends prevailing in the market. Communication is
playing a key role in expressing ones ideas and thoughts to others. Among youth, the growing
trend of using social media tools (Facebook, twitter, whatsapp, blogs, MySpace etc.) is to
communicate with peers, friends, family (Neelamalar & Chitra, 2009).
Youth is a key player of society that always plays an active role in bringing societal
change (Neelamalar & Chitra, 2009; Jalil, Jalil & Latiff, 2010; Ali, Jan & Iqbal, 2013). They
are using social media tools to share their ideas and thoughts openly so their role cannot be
ignored. In spite of the fact that the usage of social networking tools has enormously
increased in the youth and youth is giving much of their time to these sites only but still few
questions remain in our mind. How are youths using these social media tools? How do they
perceive that what social media is actually mean to them? How do they use this social media?
Is social media creating differences among youth offline relationships (i.e parents, teachers)?
Youth is not only the single victim of this social media viral. The key constituents that are
exposed to this technology also include parents and teachers. Although parents (socio cultural
development of youth) and teachers (developing academic career of youth) play the key part
in shaping youth life but the growing trend of social media among youth is also becoming
very challenging for them (Yardi & Bruckman, 2011; Czeskis et al., 2010). Nonetheless, both
incumbents have colossal contribution to influence youth perception, behaviour and thoughts
but due to emerging revelation of social media, the situation is completely changed. The
exponential growth of social media (Cabral, 2011) has substantial effect on the perception,
thoughts and experiences of young people.
Both incumbents have daily interaction with adolescents. Literature is still silent on the
understanding of the perceptions of parents and teachers regarding social media and how it is
performing the role of change catalyst for youth of the country. So it is important to further
explore their role and perception towards this emerging specter of social media and address
these questions: what are the key challenges faced by parents/teachers due to immense use of
social media among youth? What are the strategies that should be adapted to overcome this
overflowing use of social media?
3 METHODOLOGY
Based on the methodological and philosophical assumption, a qualitative research approach
(Cresswell, 2003; Bryman and Bell, 2008) was adopted to develop the understanding about
the role and power of social media in creating societal transformation specifically in the
context of youth. Multiple perceptions of parents, teachers and youth have been recorded to
take the deeper understanding of the phenomenon of social media. To best of our
understanding, no research has been found that explores the perception of youth and key
constituents (teachers, parents) of the society to understand the role and power of social media
in the context of Pakistan.
Drawing on the interpretive assumption of small sample selection in natural setting
(Hussey and Hussey, 1997), a purposeful or convenience sample technique was appropriate
for the selection of sample from population. Therefore, a purposeful sampling technique was
used for the selection of a sample of 40 participants (Marshall, 1996). Table 2 illustrates the
selection criteria used for the selection of sample.
Participants
Parents
Teachers
Table 2. Participants Selection Criteria
Criteria
 The minimum age of the teenager should be above 15
 Parents should be aware with the use of social media
 The minimum teaching experience is of 5 years
 Teachers should be aware with the use of social media
Youth
 The age range lies between 15-25
 Minimum education should be higher secondary
 Active user of social media
The research is divided into two sections: in the first phase of the study, in depth semistructured interviews were conducted for the collection of data from 20 participants
individually (10 parents and 10 teachers) in order to understand their perception regarding
social media and what they feel about the role of social media in bringing societal
transformation specifically in the context of youth. The interviews have been conducted both
in English and Urdu languages as per convenience of the participants. Each participant was
allowed to withdraw from discussion at any time. Whereas, for the second phase of the study
was concerned, focused group discussions were conducted by involving 20 participants as
youth having the age group of 15 to 25 years in order to know about their opinion regarding
social media.
Thematic analysis (Stirling and Attride, 2001) was used for the analysis of the
interpretation of the participants. The key question of the research study is to study the role of
social media in creating societal transformation specifically in the context of youth. However,
the key question is further divided into following sub-question:
 What is the youth perception about social media?
o How do they use it?
o What do they feel about it?
 What is the perception of parents and teachers about social media and how they
think that this mode of communication is affecting the life of youth these days?
o What are the current challenges faced by parents/teachers due to the
immense use of social media among youth?
o What are the strategies that should be adapted to overcome this
overflowing use of social media?
3.1 Demographic profile of the participants
The demographic profile of the participants has been presented in the Table 3, 4 & 5
respectively. Table 3 exhibits the parents demographic information related to age, gender,
qualification, and number of children. There are more male (6 out of 10) parents participants
as compared to female parents participants (4 out of 10). The ages of the parents are
predominately between 40-45 (6 out of 10). However, 4 parents are aged between 35-40.
Most of the parents have average children of 2-3 (8 out of 10) and having master degree (6
out of 10) as the highest qualification. Though, rest of the parents mentioned bachelor and
intermediate degree as their highest qualification.
Sr. #.
Interviewee
Table 3. Demographic Profile of Parents
Gender
Age
Qualification
1
2
3
4
5
6
7
8
9
10
Muhammad Haseeb
Abdul Jabbar
Noshaba
Mughees
Asma
Aliya
Rizwan
Sohail
Sami
Zunaira
Male
Male
Female
Male
Female
Female
Male
Male
Male
Female
35-40
40-45
40-45
40-45
35-40
35-40
40-45
40-45
40-45
35-40
Masters
Intermediate
Masters
Masters
Bachelor
Intermediate+ diploma in architecture
Bachelor
Masters
Masters
Masters
No.
of
Children
3
2
4
3
2
3
3
4
3
3
Likewise Table 4 shows that the participation of male teachers (7 out of 10) is substantial
as compared with female teachers (3 out of 10). It can be significantly noted that most of the
teachers have age bracket of 30-35 (5 out of 10), however, remaining teachers are in the age
group of 35-40 (3 out of 10) and 25-30 (2 out of 10). The highest qualification of teachers is
M.Phil (3 out 10) and rest of them mentioned bachelors (2 out of 10) and masters (5 out of 10)
degree as their highest qualification. It can also be noted that the participants have diversified
range experience in the teaching profession ranges between 5 to 15.
Sr. No.
1
2
3
4
5
6
7
8
9
10
Table 4. Demographic Profile of Teachers
Interviewee
Gender
Age
Qualification
Ahmed Fareed
Male
30-35
Master
Asim
Male
30-35
M.Phil
Shehzad
Male
30-35
Bachelor
Bilal
Male
35-40
Master
Mubashir
Male
35-40
Bachelor
Maria
Female
25-30
M.Phil
Nadia
Female
30-35
M.Phil
Afshan
Female
25-30
Master
Haris
Male
30-35
Master
Adnan
Male
35-40
Master
Experience
10
8
8
7
15
5
6
5
7
9
Table 5 reported the demographic profile of the adolescents (participated in focus group
discussion) showing equal representation of males (10 out of 20) and females (10 out of 20)
participants. The age and qualification of the participants ranges between 17 to 22 and
between matric to bachelor respectively.
Sr. No.
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
Interviewee
Ali
Zainab
Shabnam
Zaigham
Farhan
Maryam
Aliya
Saleem
Zaman
Zaniya
Nimra
Aimen
Waqas
Shafaat
Farrukh
Adnan
Zahid
Sumaiya
Sitara
Ayehsa
Table 5. Demographic Profile of Adolescents
Gender
Age
Qualification4
Male
17
Metric + diploma in textile spinning technology
Female
15
Metric
Female
22
Bachelor
Male
16
Intermediate
Male
17
Bachelor
Female
18
Bachelor
Female
19
Bachelor
Male
18
Metric + professional courses of network designing
Male
17
Bachelor
Female
21
Metric+ diploma in fashion designing
Female
16
Intermediate
Female
22
Bachelor
Male
15
Metric
Male
22
Bachelor
Male
21
Bachelor
Male
21
Metric + professional courses of fashion designing
Male
21
Bachelor
Female
19
Bachelor
Female
22
Bachelor
Female
17
Metric + Diploma of fine arts
4. FINDINGS
4.1 Conceptualising social media
The conceptualisation of social media is considered as one of the most profound phenomenon
of this era of socialisation. Parents are considered as the key decision maker of the family.
They are performing the role of engine that drives rest of the family members and have
substantial influence on the thoughts, behaviours, and action of the member of the family.
Although literature has enriched conceptualisation of the phenomenon ‘social media’ but it is
important to understand the parent’s perception that how they view this growing trend of new
media. What sorts of comments they keep in their pockets are based on their experiences for
the terminology of social media. The interview findings on the conception of social media
highlighted that social media is an open gateway of communication to interact with the
society around the globe. It is highlighted in the literature that social media is a personalised
4
We have mentioned the qualifications of adolescents in which they are currently enrolled
user generated content format that provides user a full control over its use on content
generation (Dickey and Lewis, 2011). The similar opinion has been noticed from the excerpts
of many parents. One of the similar excerpts as articulated by Haseeb
Social media is content generated tools used by the media consumers for interaction
and gratification.
It is embedded in the literature that social media is a major revolution of this era of
globalisation (Edwards, 2011) where the member of societies apart from which culture,
religion and society they belong is no more a matter of concern for the people of the virtual
communities. Another conception has been discussed in the excerpts by parents that social
media is such a platform that gives one freedom to interact with other members of the society
and builds online relationships. One of the parents, Sami, opines that,
Social media is a mode of communication that gives once a freedom of expression.
Similarly, Zuanira made a statement that,
Social media gives us freedom to express, share and convey our message in a more
convenient way.
The aforementioned accounts of the parents explicitly perceive social media a tool that
gives you freedom of expression. These echoes of parents are consistent with the study of
Ghannam (2011) that discussed social media as a tool of freedom for an individual to share
his/her thoughts openly within the society (Ghannam, 2011).
It is discussed earlier that the parents are performing the role of engine that molds their
families according to prevailing culture and need of the society. Similarly, the role of a nation
builder-teacher cannot be put at a side when it comes to discuss about societal reforms in the
context of youth. Teachers play a significant role in developing future generations. It can also
be stated that teachers are the architect who builds intellectual minds for the society on the
basis of their knowledge, professionalism and pedagogical practices. When the teachers were
asked to shed light on the concept of social media then most of the teachers had same voice
for the conception of this growing phenomenon. They considered it a key major revolution in
the history of media. The teacher’s accounts considered social media a user driven
technological device for interaction. Some considered it an instrumental development in the
history of internet that helped people to keep themselves connected with outer world. Such as
Shehzad accounts illuminates that,
Social media is a user driven interactive forums which is available through internet.
Another participants Mubashir highlighted that,
I think it is very instrumental and social media is something which is more
indefinable, more diverse which is itself a new thing. So, we can say that this sort of
media actually helps people to socialise in a mediated environment.
These mentioned accounts give us the similar thoughts as discussed in literature that social
media is a tool to interact with the societies in a mediated environment. Some other
interesting findings have given a novel conception of social media that is not rooted in the
literature yet. One of the participants Asim having an experience of 8 years annotates this
conception of social media with ‘Farari’ that gives a chance to the members of society to
experience a different drive on a motorway,
I think it is just like a Farari which is given to us that we can use on motorway where
we suppose to keep an eye on others cars like what they are doing and it is basically
a platform where a person can find a most appropriate solution of his/her isolation.
One of the accounts Asim opinion almost resonates with Ahmed Fareed thoughts that,
Social media is just like a hide park which gives spirit to alone people to get
socialised and interact on a mediated place.
Hence, a number of conceptions have been identified that can be considered an important
contribution in the literature of social media. In summing up the discussion, it can be stated
that social media is a tool used for transforming generational identities into technological
identities where user itself is a manufacturer and consumer of the contents (Dickey & Lewis,
2011; Kaplan & Haenlein 2010).
4.2 Social media: a revolutionary change agent
Many years ago, Andy Warhol, a famous artist, made statement that “In fifteen minutes
everybody will be famous” (Warhol, 1979:48). The prediction of Warhol is getting true with
the emergence of new digital media tools. One of the powerful digital media tool-social media
has come up with the idea where information, contents, identities are shared (Curtis, 2012;
Heinrichs et al., 2011) across societies within seconds. Nonetheless technology plays a
substantial role in changing society dynamics (i.e. culture, lifestyle, thinking pattern, and
family structures) at macro level but the intensity of these societal changes is at sedate pace.
These changes are now become radical due to the inception of social media networks. It is
becoming difficult for the societies to stop these radical changes among victims of social
media. Similarly, in Pakistan, social media becomes a major spectre that causes these radical
changes in socio-cultural dynamic of Pakistan.
Previously, before the inception of the social media, the socio-culture dynamics of
Pakistan is quite different such as it is a country that has not very liberal culture in keeping
cross-gender friendships. The cross-gender friendships cannot be openly practised within the
domain of the society. People prefer to have ongoing social gatherings with friends, families
and peers. People love to dress up in a traditional style of shalwar qameez. But social media
drastically plays a significant role in changing these socio-economic dynamics of the society
of Pakistan. Most of the accounts echo about the enculturation of social media in Pakistan.
They articulate that use of social media made it easy to keep cross gender friendships on
social networking sites, changed the youth dress up pattern from shalwar qameez to jeans and
t-shirt, attachment of youth with online identities and isolation with offline identities. One of
the account Zunaira resonates that,
Social media has cut off the children with the offline relationships (parents, brother,
sister, friends) and their immediacy is swiftly shifting towards developing and
maintaining online identities with unknown accounts.
Another Aliya explicitly states that,
Social media is allowing people to interact, express and identify themselves in really
appreciating way.
Likewise most of the people are living in joint family system where tradition to eat lunch,
dinner together is considered a general practice. But social media substantially changes this
practice among families. First we have family room for TV but now dining table is the only
place where families can spend some time together but adolescents keep themselves busy in
texting and chatting with friends. One of the parents Rizwan highlighted it as follows:
It is basically creating a huge family gap among parents and children, sister and
brother etc. You don’t have anything to say when you are sitting with your family.
There is just a simple hello and then you move towards your system to interact with
outer world or you can say to interact with unknown community to whom you
consider your best friend.
Sami and Rizwan highlighted the true reality of changing family norms and traditions of
Pakistan (zaidi and sharif, 2011). Adolescents are getting more materialistic and
dehumanising their emotions. Sohail articulates her account that
It keeps us more towards materialistic approach which creates clashes within family
because when the children check their friend’s status then they get depressed and
feel inferior in front of them.
It has been noted in many excerpts that social media is creating a significant parent-teen
generational gap. It is also discussed in literature that new technological revolution is creating
generation gap among youth and older people of the society (Crowley & Florin, 2011; Howe
& Strauss, 1992). The youth is becoming more sophisticated user of social media tools as
compared to older generation. It is getting hard for parents to educate the youth because
proliferation of social media is already creating impact on the minds of youth.
The teachers were also asked to share their perception on the revolutionary impact of
social media in creating societal changes. Most of teachers consider social media as a key
change agent in bringing socio-economic revolutions in the society. It is discussed that youth
is busier in internet chatting with unknown friends rather than to use this medium of
communication for learning. However, this ample use of social networking sites causes youth
disillusion towards their goals. Bilal reported that social media is gradually changing the face
of society in terms of the way people interact, express, and identify themselves in outer world.
His account illuminate,
Social media is improving the freedom of conscious and expression and which can,
of course, gradually lead to a lot of changes in the society in terms of the way people
interact, identify themselves, express themselves and criticise those ideas which they
can never criticise in main stream media. If people are free to express their opinion
changes are invertible over there.
The role of social media in bringing societal change is not limited to the individual itself
but it also provides a major platform for companies to promote and sell their products. Most
of HR based companies are recruiting potential candidates by using social networking sites
such as Linked Inn (Broughton, 2013) which is highly rated websites used by both
incumbent’s candidates as well as companies. So companies changing preferences towards
social media is also causing to bring societal changes. Nadia excerpts states
Social media is not only changing way of communication among people of societies
but also it is changing the era of commercialisation for companies. Companies
prefer to use social media tools for promotion of their products. Many companies
recruitment of employees through social media also warrant the business changing
dynamics of the society.
While talking about societal changes, many accounts discuss that social media is a
revolutionary change agent for youth of the society. Now youth is more knowledgeable and
aware of what is happening not only across the country but also across the globe. Besides,
social media has dehumanised human emotions because of youth intimacy with online
relations such as youth is more immune to express their emotions by sending and sharing
online smiley face with friends, on the other hand, they are unable to share their emotions
with offline objects. Afshan explicates that,
“There is no doubt that social media is improving the connectivity of people but at
the same time, the immediacy of youth with social media dehumanises their emotions
in real world. They are more immune to share and send online smile face with
friends and peers”
It is evident from the above excerpts of the teachers that social media is significantly
contributing to change socio-economic dynamics of the Pakistani society. This new web
ecology has become an important element to keep your identities alive in the virtual
communities. Either it is company or an individual; you have to show your existence on social
media to keep yourself connected with the societies. This medium of communication is not
only changing the way of socialisation but also how an individual thinks, learns, and presents
his/her thoughts among these virtual communities is also changing.
When the youth were asked to illustrate their perception on the role of social media as
change agent and how this growing trend of using social media is changing their living
patterns then most of the teenager reported that social media is providing them a platform
where they can share their isolation with online friends. The reason of this isolation is the
negligence of parents towards their children. The families in Pakistan are now shifting from
joint family system to nuclear families (Crispin, G. & Mehlar, M. 2013). Both incumbents
mother and father are supposed to earn to meet family expenses. Resultantly, parents do not
have time to spend with their children which ultimately shift their attention towards online
socialisation. One of the teenagers Sitara reported that
The level of satisfaction is changed as parents are too much busy in their
practical life that they don’t give us the time to share with them our feelings so,
we use social media to share our feelings and experiences on web page.
While talking with youth about social media as change agent, another important finding is
the generational parent-teen gap with respect adaptation of technology. Parents are not fully
adapted this mode of communication so, children are supposed to keep them involved in
making unknown friendships and share their thoughts and identities with those unknown
friends. However, many of the students reported that the learning dynamics are becoming
technology oriented which is a good thing for them. They opine that educational institutes are
encouraging the use of social networking site for learning purposes. One of the teenagers
Zahid reported
In educational institutes, students are advised to make their accounts for getting
their assignment checked online or institutes have their pages on SNS so, all
updated information is uploaded their pages.
Hence the reported findings of all the participants warrant that social media is bringing
societal changes either it is economics, social, cultural, or ethical.
4.3 Social media dynamics
As it is discussed previously that social media is playing a dynamic role in bringing societal
reforms specifically in the context of youth when the participants (parents, teachers, youth)
were asked to highlight the positive side of social media that how social media was
facilitating the youth of society then a number of factors have been identified. The most
prominent accounts are grouped under different themes. These themes are as follows:
4.3.1 Networking and communication
Man is a social animal and it is innate nature of a human to go for socialisation. In this
technological era, networking and communication is getting easier and faster as compared to
its early ages. People have more opportunities to keep themselves connected with their
friends, family and colleagues. Many participants highlighted that the easy access of
networking and communication makes it a piece of cake for youth to get themselves
connected around the globe. They can make friends, exchange their pictures, and strengthen
relationship with overseas family members at fast pace. One of the participants Shafaat
illustrates it as follows,
According to me, the most productive side of social media is that it blessed people
with freedom of speech, now people are free to explore anything new on different
platforms provided by the social media. It has also helped handicapped or disabled
persons to interact with homogeneous people and make friends beyond the
geographical boundaries while sitting in their room.
Another participant Maria further articulates,
Social media has also strengthened the existing social relations with family, friends
and society members.
Simply, it can be stated that youth of Pakistan is provided with such platform where they
can share information with one another, keep themselves connected with friends and family,
go for new friendships, exchange of pictures and ideas with each others, if they look into their
friends that they are doing very good in their life then they urge to do more efforts. Social
media is a user driven culture where youths can develop their individual identities and novel
social skills. People have a chance to express themselves freely within the society and they
can also vent out their frustration.
4.3.2 Cognitive learning orientation and socialisation
Another important theme that has been extracted from the participant discussion is the
learning orientation of youth through social media. Learning plays a key role in shaping
individual social and cultural identities within their social circles. Sohail highlighted that with
the inception of social media, the span of social cultures is getting wide and resultantly, youth
has more opportunities to learn new perspectives, generate new ideas and can use these
learning tools to develop their cognitive abilities. He articulates her thoughts as follows,
Social media is providing the most amazing learning opportunities (formal and
informal) to the young people of the society. They access the global knowledge
communities and get better conceptual understanding of prevailing issues.
Similarly, Asim asserts that
Social media is a significant source of developing intellectual minds. It is very
beneficial nowadays as it updates and provides up-to-dated knowledge and
information what is happening across the globe so, media has promoted the concept
of global village.”
When the youths were asked about the positive side of social media then most of them
highlighted that social media helped us in sharing our work assignments with other friends.
One of the Zainab states
It is not possible for me to stay in the university all the time and work on given group
assignments. So, I used to keep myself connected on Facebook with my friends where
we can exchange our assignments and material requires developing that assignment.
She further states that we used to prefer to have group chats where we collectively
work on our project.
Some adolescents who are currently doing some diplomas are in the strong favour of using
social media tools for their study purposes because they used to take classes on weekend so, it
is not possible for them to stay in touch in person with rest of the classmates all the week. So,
they fill this gap by keeping themselves connected on social networking sites (Facebook,
mobile phones, blogs, and twitter). Apart from sharing knowledge on assignments and
projects, it is also highlighted that social media is playing a key role in the personality
development of the youth. Many resources are available that help youth in personality
development; health related issues, stress reduction and many more.
4.3.3 Easy affordability
The most important theme that has been found during discussion is affordability of social
networking tools. We already mentioned in literature that in Pakistan, the telecommunication
companies are very competitive and they are offering internet access at very cheaper price
(Ansari and Khan, 2009). Almost all the participants highlighted that one of the key positive
aspect of social media is that it is easily accessible and affordable for every person (either
lower income group or higher income group). one of the excerpts of Ali states
This medium of communication is affordable for every adolescent that helped them
in developing their online identities, made new friendships and strengthened existing
social contact and socialised with friends and families.
Hence, cheaper affordability is the highest repeated excerpt that has been found in the
findings of social media. The cheaper data affordability helps learning and developing some
innovative ideas which we are unable to learn in this technology less environment. You can
keep long term contacts with people at very minimum cost and there is no threat of losing
those records.
4.3.4 New window of virtual businesses
Social media is not only facilitating the youth in developing relationships with friends,
enhancing their intellectual abilities but also it is providing a key platform that opens a
window for the development of virtual businesses. Many of the youth start to support their
families at early ages and they also finance their studies in Pakistan. So, social media is
helping them to work for these virtual businesses. Many adolescent participants share their
echoes on this phenomenon and they admitted that they were doing many virtual activities
that are source of earning for them. One Mubashir explicates,
Social media is providing me multiple opportunities to give my online services to
different virtual businesses. For example, I am running the Facebook page for one
designer boutique. My job is to boost the rating of that boutique page by using
different tactics.
Many of the teachers also highlighted the economic importance of these social networking
tools. They opined that social media was playing a significant role for providing business
opportunities to the young people of the society. Abdul Jabbar resonates,
Youth is more informed about opportunities; they have easy and direct access to the
global markets. They can join virtual businesses or even form their own websites for
businesses purposes
Hence, it is important for the youth to exploit virtual business opportunities for the earning
purposes.
4.4 Challenges of social media
Social media is infantilising the mind of people of the society where they can develop their
online identities to share their thoughts and emotions around the world. However, the growing
trend of using social media tools is also becoming very challenging for the youth of the
society. The participants (parent, teacher, youth) were asked to share their perceptions on the
non-productive side of social media. Many key challenges discussed by the participants are
further divided into sub themes: psychological context, cyber bullying, isolation, and real
identities are changing into online identities. The detail of these sub themes is given below:
4.4.1 Psychological context
The psychologist suggests that behaviours are learned through positive and negative
reinforcement (Shteingart & Loewenstein, 2014). Similarly, social media is a revolutionary
technological development that helps an individual to swiftly learn these reinforcement of
behaviours. Unfortunately, the negative reinforcement of social media is adversely affecting
the psychology of youth in many forms such as inferiority complex, cross-gender
relationships, early age maturity and sleep deprivation as highlighted in the accounts of many
participants. One of the participants Shehzad allude that,
The increase use of social networking sites allows the user to access plethora of
useful information but apart from the provision of this information, social media has
also become a gateway to online victimisation for adolescents of the society.
Similarly another account Asma articulates,
No one can ignore the importance of social media but the flip side effect of media is
in the shape of wastage of time, health related issues and flaws in personality.
These excerpts are highlighting the negative connotation of social media as a medium of
communication. It is discussed in the narratives of participants that youth is getting distracted
from their studies and is more involved in cross gender relationships. These cross gender
friendships are adversely affecting the social and ethical values of the Pakistani society. Such
society where male and female are not allowed to be in relationship before marriage, now it
has become easier for them to be in a cross gender relationships. Similarly, the accounts also
discussed the early age maturity issues that swiftly erode our moral values. One participant
Rizwan explicates,
Immaturity is one of the main issues which we are facing in this world. As the teen is
not mature he is not able to keep his privacy as he/she should. So, this is the biggest
problem of social media.
Hence it is clearly noted in literature that youth is getting involved in distractive activities
that are spoiling their lives. Their social activities are just retracted to stay in their bedroom
and keep themselves connected with virtual community. They do not have any physical
activities to perform such as exercise, walk or sports. The element of patients is getting
abolished among the youth. When they see their friends’ picture with expensive cars or
somewhere on a round trip of another country, they get frustrated with their prevailing
circumstances that ultimately lead towards depression, stress, isolation and fighting with
others.
4.4.2 Cyber bullying
The immense use of social media networks such as social networking websites and messaging
on mobile phone is deteriorating the society in shape of bullying and interacting with
unknown in their virtual social circles. Cyber bullying is the widely term used in the literature
to explain the unethical practices happening on social media networks (O'Keeffe & ClarkePearson, 2011) such as dissemination of false or hostile information, privacy invasion, harass
others by tempering and posting their pictures by using unethical means. Most of the accounts
of participant articulate that lack of privacy and giving out so much information are the
biggest dark side of using social media. One of the participant Mughees excerpt echoes,
We are not living in a law abiding society. Social media is working as invasion of
privacy. You can scandalise and abuse someone but there is no regulatory body to
stop you. Electronic media has to follow some rules and regulation but social media
is beyond any legislation.
Similarly, another participant Afshan illuminates
Lack of the privacy and giving out too much information is a substantial problem of
using social media. Because of the rapid change, people are not sure about the
pattern of behaviours that how they should behave in social media? They don’t have
this idea it’s so confusing and so rapidly changing that’s it is very hard for them to
truly understand the privacy policy so, they are exploiting and sharing their personal
data.
The above excerpts show that in Pakistan, many teens are facing the situation of mental
harassment in the form of privacy breach or tempering pictures using fake IDs. This is
becoming challenging for the society to cope with this deteriorating situation of harmful
practices. Parents highly condemn the use of social media among teens. Many of them
personally experience such situation where this is difficult for them to keep a proper check
and balance on the activities of their children and how they are actually using this mode of
communication for interaction. One the parent Haris excerpt articulates it as follows,
Another alarming phenomenon is excessive use of social media of teens in an
unsupervised way where they use to interact and chat with unknowns for long hours.
So this is yet another threat for the young ones which is not very healthy for them
because this changing situation of attraction is basically creating ethical dilemma
for the children as well.
It is also discussed that anyone can misuse family pictures and can scandalise it on social
media which is highly unethical practice. User is completely unaware of the person to whom
he/she is talking. Social media is also promoting hypocrisy in the form of fake IDs. Hence,
from the aforementioned challenges regarding cyber bullying, participants highlighted that
promoting hypocrisy in the form of fake ids, privacy breach, misuse of person information,
privacy invasion, less personalisation of objects, mental harassment and unethical posts are
the significant challenges that are posed with the growing use of social media.
4.4.3 Real identities change into online identities
Many of the participants highlighted that individuals are losing their personal identities and
they do not bother about their offline realities. Youth is more interested to develop their
online identities. The element of dehumanising is increasing due to the enormous use of social
media networks. Many participants reported that real identities are changing into online
identities which are swiftly eroding the beauty of individuality among youth. Youth is always
trying to fantasise the things and often forgets about realities which are actually prevailing
around them. Asma account articulates that,
The enormous use of social media is badly affecting the individuality of teenagers.
Due to emerging cultures, they are deviating from their norms and culture for
example, a common practice of engraving tattoos on body. Piercing of lips, noses
and eyes is largely affecting the actual identities of youth.
It is very alarming that youth is getting more involved in changing their individual
personalities. In Pakistani religion, it is strictly prohibited to engrave tattoos on body but this
spectre of social media is swiftly eroding the cultural, religious and ethical value of the
society.
4.4 Strategies to combat prevailing challenges of social media
Table 6 provides the summary of strategies that are extracting from the excerpts of the
participants (teachers and parents). It is highlighted from the accounts of parents that parents
should a have proper check and balance on the systems of their children so, they can check
the activities which are going on. Secondly, parents can join on their related web pages like
Facebook to know how what is happening and what are they doing? Similarly, it has also been
found that parents, being social pressure on children, should develop friendship and good
relations with their children instead of using violence or abusive language which is creating
many issues for children who resist their behaviour and deviate from the norms of the society.
Table 6. Strategies to combat prevailing challenges of social media
Strategies (parental perspective)
Presence on social media (social networking websites) for proper supervision
Developing friendship and good relations with their children instead of using
violence or abusive language
Character building of a teen
Strategies (teacher perspective)
Development of regulatory body consisting of media professional,
telecommunication authorities and civil society consumer for the equal representation
in devising policies
Seminars, counseling session and training on the productive use of social media can
be included in weekly discussion with students
Teacher presence on social media websites and we can join students groups and
create some healthy debates on social media forums
Response rate
7
9
10
4
5
8
One important thing that should impinge is the presence of some regulatory body to keep
proper check and balance on the content shared and generated on various social media
networks. Many of the participants respond that this regulatory should be comprised of
multiple bodies such as media professional, user of social media, journalist and
telecommunication media authorities. However, one participant states that there is only one
solution and that is just to accept it and to practice it because the society is going through a
very radical change and there is need to maintain a very open minded perspective because this
is the time to break the Meta narratives. Hence, there is need to keep an eye on youth
currently adapting practices of social media usage and develop your own online identities to
bring change in the minds of youth instead of imposing restrictions on them.
4.5 Using patterns of social media tools: youth perspective
Table 7 has reported the finding of youth using pattern of social media tools. Most of the
teenagers have Facebook account and are using sms/messaging service to stay in touch with
their virtual social circles. However, some of the participants have also shared their responses
on the usage of other social networking tool of Skype, Twitter, Linked inn, Whats app and
Viber. Similarly, the average time a teen spends on social media is almost of 3-4 hours per
day. When the youths were asked about the reasons for using social media then the accounts
of the participant articulates multiple responses-the major included socialisation, vent out
frustration, networking and communication and educational purposes including sharing of
group assignments and discussion with friends. These results highlighted the utmost
importance of social media tools in bringing societal reforms in the society.
Table 7. usage pattern of social media
Adaptation of social media tools
Facebook
SMS/Messaging
Skype
Twitter
Linked Inn
Whats app
Viber
Average time spend on social networking sites (hours per day)
Less than 1
1–3
4–6
7–9
More than 9
Reasons to use social media
Networking and communication
Response rate
18
20
10
12
14
17
5
4
9
4
3
0
12
Socialisation
Keep your online identities in your virtual social circle
Make friends within or across the border
Promotion of business (if any)
Educational purpose
Sharing of assignment and project with friends
Group discussion on certain issues (i.e educational, fashion, politics etc…)
Develop intellectual abilities
Personality development
Vent out frustration
Entertainment and amusement
Raise voice on certain issues
18
17
10
7
15
15
10
5
7
5
17
8
5 DISCUSSION AND CONCLUSION
Social media is an emerging phenomenon to be considered in studying media and society
because it comes out as a new part of public sphere (Waltz, 2005). These new modes of
communication have intertwined in every aspect of human life, the way people communicated
ultimately influences the way society behaves (Prianti et al., 2012). The role of social media
in bringing societal change is still in its infancy specifically in the context of Pakistani youth.
Therefore, the purpose of this qualitative research study is to explore the role of social media
in creating societal change in the context of youth of Pakistan. In order to meet the key
objectives, data were collected from 40 participants (parents, teachers and youth) using
purposive sampling. The findings of the study were further divided into many themes and sub
themes for getting insight in the phenomenon of social media.
When the respondents were asked to discuss the perception on the conception of social
media then multiple meanings were extracted from the excerpts of the participants. They
perceive social media as open gateway of communication (Kugelman, 2012), user and content
driven tool (Kaplan and Michael, 2010) and freedom of interaction (Ghannam, 2011).
However, few participants annotate the conception of social media with Ferrari and hide park.
Moreover, all of the participants consider social media as a change agent that ameliorates the
standard of living by providing an easy access to global markets, financial services and
employment opportunities. Parents perceive social media as changing the socio-economic
patterns of society such as teenagers are involved in cross gender friendships, prefer their
online identities as compared to their offline real identities and become victims of isolation
(Livingstone, 2008). Similarly, teacher’s perceptions are added to this debate that youth is
getting more materialistic and the element of dehumanising is penetrating swiftly. However,
youth perceive that they are using social media to share their isolation with online friends.
The reason of this isolation is the neglecting attitude of the parents specifically working
parents who are always busy in their jobs and do not have time to spend with their children.
The participants highlighted many positive dynamic of using social media such as cheap
mode of communication and socialisation (Livingstone, 2008), learning orientation and
employment opportunities (Davies, & Cranston, 2008). However, the dark side of the use of
social media in the forms of privacy breach (2009 AP-MTV Digital abuse study), unethical
practices, detachment from family (Bonfadelli, 1993), sleep deprivation (Christakis &
Moreno) and less concentration on studies has crippled the society to a big extent. Participants
also discuss the strategies to overcome these challenges of social media such as they highlight
that there should be a formation of regulatory body that can control the quality of content
shared on social media and parents should adapt the practice to be with their children on the
social media networking sites. Similarly, if we look into the social media usage pattern of
youth, then Facebook and SMS are the major modes of communication widely used by the
youth. Youth has highlighted the many key reasons of using social media and few of them
include educational purpose, interaction with friends and family, vent out frustration,
entertainment and presence on discussion forums. Hence, social media is playing a significant
role in bringing change in societal patterns of communication, lifestyle, attitudes and
behaviours. This study contributes towards enhancing the in-depth understanding of social
media in shaping societal changes in a developing country like Pakistan.
The study can be valuable for developing certain regulatory body for social media that
provides a proper code of conduct on using pattern of such social networking sites. Such
institutions should be developed which provide trainings to parents in order to keep
themselves aware with the use of such new social networking sites. The journal community,
the technologist and the government should join hands together in order to tackle the privacy
related matters. Owing to the dearth of extra curriculum activities, youth is more interested to
use web page instead of availing those opportunities.
5.1 Limitations and future research direction
The first and the foremost limitation is that the study focuses on a small sample relatively
which raises an issue of generalisability of this particular study in other sectors or with larger
population. The findings reflect the opinions of participants from urban areas who have
desirable level of education. Furthermore, a quantitative research can be conducted to check
the generalisability of the themes at massive level. A comparative cross gender studies can
also be conducted to see the significant changes in the usage pattern of male and female
individually.
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Khansa Irem is working as a Lecturer and Research Associate in Azhra Naheed Center for
Research and Development (ANCRD) at Superior University, Pakistan from last 6 years. She
has recently completed her M.Phil degree from Superior University, Pakistan. She presented
her research work in different national and international conferences. Her current research
focuses on management, HRM, entrepreneurship and social media.
Afshan Hameed is a PhD scholar at Superior University Lahore. Currently she is serving as
Deputy Director at Azra Naheed Centre for Research & Development, Superior University,
Lahore, Pakistan. She has been actively involved in multiple natures of applied research
projects for the last 3 years. She also lectures the undergraduate and graduate on Research
Methods, Entrepreneurship, Strategic Management, Human Resource Management,
Leadership and Community Development and Business Analysis. Her primary area of
interest is Human Resource Management, Entrepreneurship, Leadership and Community
Development.
Chaudhary Abdul Khaliq is a PhD scholar who is currently working as assistant professor at
University of the Punjab. He has 23 years of professional experience with different national
and multinational organizations in capacity of a trainer, teacher and advisor. His areas of
specialization are entrepreneurial leadership, Globalization and International Business and
finance.
Chaudhary Abdul Rehman holds a PhD in Human Resource Management from the
University of Middlesex, UK. He is presently working as the Rector of Superior University,
Pakistan. He also earned an honorary fellowship in the faculty of Business and Law at the
University of Newcastle, Australia. He is author of 15 books in diversified areas, such as
Accountancy, Economics, Auditing, Business Studies and Banking. He has personally
supervised 30 dissertations of both M. Phil and PhD students. He is a renowned trainer in the
area of Human Resource Management. He has written many educational columns for some of
the country’s leading newspapers. His main areas of expertise include Human Resource
Management, Business Research Method, Commerce and Entrepreneurship.
Design and characterization of automatic hand
washing
and drying machine
a
Gbasouzor Austin Ikechukwu, b Okeke Ogochukwu Clementina, c
Chima Lazarus Onyebuchi
a
Department of Mechanical Engineering, Anambra State University, Uli, Nigeria
Email: [email protected]
Phone No: +2348063896067
b
Department of Computer Science, Anambra State University, Uli, Nigeria
Phone No: +2348037214635,Email/[email protected]
c
Department of Mechanical Engineering, Nnamdi Azikiwe University, Awka, Nigeria
Phone No: +2348037785264, Email: [email protected]
Abstract. The unhealthy pattern of washing and drying of hands in various restaurants and
places of food selling has prompted the need for this project. We have taken the standard
mechanical Hand washing and drying machine and made it a technological engineering
wonder of touch-less Hand washing And Drying. The machine comprises a housing having a
top portion and a bottom portion. The top portion is quasi-rectangular shaped structure
comprising a fluid injection system for injecting water and liquid soap to users’ hands. The
bottom portion comprises a box shaped structure wherein by the side is the heating chamber
for drying the hands. The machine further comprises a wash basin coupled in the interior of
said box shaped structure with circular opening under where the used water or liquid soap
pass through, an electronic eye for detecting the insertion of hands in said wash basin and a
control unit for timing the activation of said water injection. Also in the heating chamber
comprising an air injection system for injecting air through said heating chamber, a thermostat
to control the temperature and a sensor that activate the drying process whenever the hands
cast dark shadow across it. This research work has successfully presented a functional and
highly efficient low cost sensor controlled hand washing and drying machine which is usable
in different places within our geographical environment.
Keywords: Touchless hand washing, hand drying, Fluid injection system, Electronic eye, Air
injection system, control unit.
1 INTRODUCTION
Importance of hand washing cannot be over-emphasized, especially in developing nations
where eating with hands is a common practice. In some developing cultures, there is always
the reluctance of hand washing before meals; and in some, hand washing has become a
culturally accepted norm. Eating with the hands was going on for generations before anyone
thought of washing their hands first. So along the way, through technology and hygiene
practices, people become educated in the improvement of hand washing.
Hand washing is the single most important way of preventing the spread of infections,
according to the US Centre for Disease Control and Prevention. Unwashed or poorly washed
hands are very common way of spreading many diseases such as: cold, flu, ear infections,
strep throat, diarrhea and other intestinal problems. Germs and viruses causing these diseases
are passed on by such routine things as handling food, touching door knobs, shaking hands
and putting mouths on a telephone receiver. And in our daily activities we practice one of
these either in the offices, at home, in the market places, in the classroom and so on. Good
hand washing practices have also been known to reduce the incidence of other diseases,
notably pneumonia, trachoma, scabies, skin and eye infections and diarrhea-related diseases
like cholera and dysentery, according to World Health Organization (WHO). The promotion
of hand washing with soap is also a key strategy for controlling the spread of Avian Influenza
(bird flu). After the incidence of SARS-Severe Acute Respiratory Syndrome in 2003, more
and more people on their daily lives gave more attention to health habits; the daily number of
hand-washing increased than before. This prompted us to contribute with this project as a way
to increasing the practice of hand washing in our society so as to remain healthy.
This machine is specially designed for use in the offices, public restroom and as well for
the general domestic washing and drying of the hands at home. It supplies both soapy and
clean water in a sequential order during the washing and rinsing cycle and then supplies a
warm air current to dry up the completely washed hand thereof. It is handy and easy to use.
More importantly, it can avoid the contagious diseases; for example, when it was a manual
type hand washing machine, to turn on/off the tap, you must need the help of your hands. In
this case, your hands or fingers would be infected with any virus left by any possible previous
user if he or she is infected with a disease. With the automatic type, you will not only use the
water at ease, but also avoid any possible contact with any contagious disease.
Also some cases were considered whereby people would inevitably, more or less, waste
some water as we might have seen people washing their hands at any public places or at
home. It is not necessarily because people tend to waste some water at their own will, for
example, when it is a traditional mechanical type, people would wash their hands under the
pressed water with the switch on, as the switch is positioned at this state, the water keeps
being pressed down at the same amount no matter when the person really needs the water to
wash or not. This causes low efficiency of water usage. Another possibility is that people who
are in a hurry may often unconsciously forget about turning the tap off, if they really forget
about it, the water would keep flowing or dripping until it gets turned off by the next user. As
for the automatic type, it turns on and off automatically as it senses any object with energy or
heat. In this case, the unnecessary waste of water can be avoided. Therefore with all these
benefits, the automatic hand washing machine are becoming increasingly popular among
schools, families, dining halls, companies or any other public places.
1.1 The Hand Dryer
The unhealthy pattern of drying hands after washing in various restaurants and places of food
selling has also prompted the need for this project. It was observed that good number of
Nigerian citizens like enjoying traditional delicacies without the use of cutleries. They wash
and dry their hands with a hand towel respectively. This indeed is completely unhygienic as
these hand towels are sometimes not changed as at when due. Automatic hand dryers have
many benefits when it comes to staying healthy, cutting cost and reducing waste.
1.2 Benefits of this design
a. Hygiene: Washing hands thoroughly is effective in preventing the spread of germs, yet
drying hands is just as important. It might be tempting to simply dry your hands off on
your pants while exiting the restroom, but that means your hands may remain damp for
several minutes. What many people do not know is that bacteria is more likely to spread
through damp hands rather than dry hands, so making sure your hands are completely dry
before leaving the restroom helps prevent illness even further. In busy restrooms paper
towel dispensers can run out quickly, leaving people with no other choice than to skip
hand drying. Automatic hand dryers require very little maintenance, and with the
development of no-touch technology, there is no need to touch any bacteria-laden surfaces
in the process.
b. Cost: Due to the constant maintenance and refills that come along with paper towel
dispensers, automatic hand dryers are cost-effective solutions. Not only must paper towels
be refilled, but there are also costs associated with the production and clean-up of paper
towels. For example additional trash bags and cleaning products are needed to dispose of
the paper towels and reduce the spread of germs through towels left on counter tops.
Electric hand dryers last several years and require little maintenance, decreasing the total
cost for maintaining the restroom.
c. Waste: automatic hand dryers also have more environmental benefits than paper towels.
While some paper towels may be made of recycled materials, used paper towels cannot be
recycled leading to an increase in waste and a continued destruction of trees for paper
production. Switching to the use of automatic hand dryers in public restrooms can be
helpful to reduce waste as well as energy, as the cost and energy used to produce paper
towels outweigh that of hand dryers.
1.2 Objectives of the Design
The following are the objectives:
1.
2.
3.
4.
To enhance the level of hygiene wherever applicable.
To increase the level of awareness of people as regards to the proper washing and
drying of hands in accordance with the policy of the National Orientation Agency in
Nigeria.
To solve a considerable fraction of the problems associated with washing and drying
of hands, so as to reduce the risk of disease transfer, between individuals.
To expose the fact that the proper washing and drying of hands after holding
objects, using the toilet and even transfer/exchanging money between individuals,
will geometrically reduce the rate and/or presence of ill health in the area in question.
2 REVIEW OF RELATED LITERATURES
2.1 Background of the Invention
In 1847 Hungarian-born physician Ignaz Semmelweis made striking observations which lead
to the practice of hand washing in medical clinics. While working at an obstetrics clinic in
Vienna, Dr. Semmelweis was disturbed by the fact that fatal child bed (or "puerperal") fever
occurred significantly more frequently in women who were assisted by medical students,
compared with those who were assisted by midwives. Through meticulous examination of
clinical practices, he discovered that medical students who assisted in childbirth often did so
after performing autopsies on patients who had died from sepsis (of bacterial origin). After
instituting a strict policy of hand-washing with a chlorinated antiseptic solution, mortality
rates dropped by 10- 20 fold within 3 months, demonstrating that transfer of disease could be
significantly reduced by this simple hygienic practice.
2.2 The Mukombe or Tippy Tap
The Mukombe was designed by Dr. Jim Watt of the Salvation Army in Chiweshes,
Zimbabwe. Mukombe is the fruit of an indigenous plant (type of guard or calabash), but many
vessels can also be used in the same way like the Tippy Tap, promoted by UNICEF and
Water Aid in Uganda.
The Tippy Tap is a simple water dispenser which enables people to wash their hands
without wasting water. The Tippy Tap primary consists of a 3 to 5 liters of jerry can that is
filled with water and suspended from a wooden frame. A string attached to the neck of the
jerry can is tied to a piece of wood at ground level. Soap is suspended from the frame beside
the jerry can, and pressing with the foot on the wood tips the jerry can, releasing a stream of
water through a small hole. As only the soap is touched with the hands the device is very
hygienic. A gravel bed is used to soak away the water and prevent mosquitoes. When the
container is empty the cap is unscrewed and the container is removed from the stick. The
container is then filled again at a water pump and reassembled.
In the southern highlands region of Tanzania, the NGO Shipo installs sample of Tippy
Tap, after which families make copies. Most of the Tippy Taps are installed near latrines of
schools.
2.3 Invention of Automatic Hand Washing Machine
Automatic hand washing machines were first developed in the 1950, but were not
produced for commercial use till the late 1980s when they first appeared (to the general
public) at airport lavatories. Story has it that the first airport to adopt the new technology is
O'Hare Airport. It is called by other names such as electronic, sensor, hands-free, touch-less
or even infrared hand washing machines. Automatic hand washing machines have become a
central theme in the American experience. They are now found in places, far removed from
airports and other institutions, places like restaurants, hotels, casinos, malls, sports arenas as
well as residential properties.
Known for their assistive qualities, automatic hand washing machines are making their
presence felt at living establishments and places where the elderly and or handicapped
individuals call homes. They are water saving devices and other benefits as earlier motioned
are found in inhibiting the spread of germs which are known to thrive on faucets handles.
2.4 Later Developments
In the U.S PAT. No 55 22, 411, issued to Johnson, entitled "HAND WASHING AND
DRYING EQUIPMENT UNIT" discloses a portable hand washing and drying unit including
a housing having an opening for receiving the hands of the user (the opening of the housing is
closed via a door when not in use), the hand washing and cleaning liquid reservoir and
electrically powered fan for providing a flow of air to dry the hands. The user manually
operates a valve to dispense the cleaning liquid and manually operates a switch to turning on
the fan for drying the hands.
U.S. PAT No.4, 606, 085, issued to Davies entitled "HAND WASHING DEVICE”
discloses an electro mechanical device that is provided with time element which are initiated
by the flow of water. The hand washing device has a wash cycle and a rinse cycle and an
emollient timer triggered after the rinse cycle to dispense of the emollient.
Another apparatus with US PAT No.4, 398, 310 issued to Liengard entitled, “WASH
STAND DEVICE” discloses a hand washing device which is triggered by light barrier. The
hand washing device comprises a control system for regulating moistening, washing, rinsing
and drying stages of the washing process.
Macfartane et al, discloses a machine with US PAT No. 4, 145, 769 entitled
“AUTOMATIC HANDWASHING AND DRYING APPARATUS” which includes a first
manually operable control device for causing operation of a solenoid operated valve to deliver
hand washing water directly into a bowl for a preselected period of time. A second manually
operable control device is provided for causing operation of a force air drying structure to
provide hand drying air to the bowl.
While each of the above hand washing and drying devices function as desired none of
them are touch-less or hand free washing machine. This design operates via an infrared
sensor; when the users placed his/her hands in the washing chamber without pressing any
button as previous designs have one or more buttons to press, may touch the cleaning fluid
(soap) dispensing device or the drying device; therefore the efforts to minimize the spread of
bacteria and other diseases with the use of automated water dispensing is futile.
3 DESIGN
All the above described machines offered a guide to our own design. Our present design
solves the aforementioned problems in a straightforward and simple manner. What is
provided is touch-less hand washing and drying machine. The machine comprises a housing
having a top portion and a bottom portion. The top portion is quasi-rectangular shaped
structure comprising a fluid injection system for injecting water and fluid soap to the user’s
hands. The bottom portion comprises a box shaped structure where in by the side is the
heating chamber for drying the hands.
The machine further comprises a wash basin coupled in the interior of said box shaped
structure with circular opening under where the used water or liquid soap pass through, an
electronic eye for detecting the insertion of hands in said wash basin and a control unit for
timing the activation of said water injection system and said liquid soap injection in response
to the detecting of said electronic eye to carry out a hand washing process. Also in the heating
chamber comprising an air injection system for injecting air through said heating chamber, a
thermostat to control the temperature and a sensor that activate the drying process whenever
the hands cast dark shadows across it.
There are also three different reservoirs, clean water reservoir, liquid soap reservoir and a
waste water reservoir. The clean water and liquid soap reservoir contain two different pumps.
The first pump delivers soapy water through the discharge nozzle mounted above the washing
sink after which the second pump delivers clean water through the same nozzle during
washing and rinsing respectively.
Fig. 1: The automatic hand washing and drying machine with the detached centrifugal
chabmer beside it
3.1 Components Survey
The Connection Pipes
The piping system are being used to channel the soapy and system from the reservoirs to the
discharge nozzle for washing hand, also another connecting pipe is used to channel the dirty
water to the collecting reservoir.
The Blower/Fan
This is the centrifugal type. It produces air current employing the use of rotating impeller. It
also has a stationery casing to guide the flow of air to and from the impeller.
Fig 2: A sketch of the centrifugal chamber
The Heater
The heater consists of a heating filament.
The Heating Chamber
The heating chamber is the compartment that houses the heater in this chamber; there is a
mixture of the heat generated by the heating filament and the air current generated by the
centrifugal fan, thus producing warm air current for effective drying of the washed hands.
The Pump
The pumps are two in number, one for soapy water and the other is used for pumping clean
water. The pumps are 12 bolts direct current electric type each. The choice of direct current
type was made because it is les noisy in operation. The pumps deliver certain quantity of
water from the reservoir to the washing sink at will.
The Reservoirs
There are three reservoirs. Each reservoir holds an average of five liters of soapy water, clean
water and dirty water. The reservoirs are made of plastic materials. The dirty water reservoir
has a discharge port through which dirty water is discharged when it gets full.
The Sink
The sink generally have two taps (faucets) that supply soapy and clean water and may include
a spray feature to be used for faster rinsing. The sink includes a drain with a strainer.
3.2 Parameter Calculations
Heat Requirements
Given that the human body temperature is 37°C required drying temperature is 40°C normal
room temperature is 35°C.
Dimension of the heater casing is (200x200)mm heat gained or lost through the walls of
the heating chamber is given by the relation.

A  T  K
Where;
X
 = heat (watts)
T = temperature difference (°C) A = external surface area (M2)
K = thermal conductivity of the insulating materials (0.07 watts/meter °C)
X = insulation thickness (m)
Substitutes

200 10
3

 200 10 3  0.07  40  35
25 10 3
 5.6kW
Power Requirements of the Centrifugal Fan Motor
The power of the motor of the centrifugal fan was obtained considering the power required for
the pressure drop from the inlet of the centrifugal fan casing across the heating chamber.
Given that;
Density of air = A = 1.72kg/m3
Operating temperature T2 = 40°C = 40 + 273k = 313K
Specific heat capacity of air at constant pressure (Cp) = 1.005J/kg°K
Knowing that,
The speed of the fan Nf = 300rpm
Diameter of the fan Df = 120mm
The velocity of air stream is given by: Vf = (18852 x10-3)m/s
= 18.85m/s
Coefficient of entry (Ce) = 0.97m/s
Area of heating chamber = (0.2x0.2)m2 = 0.04m2 using the relation
. . . . (i)
W  FA.. C p
  A1. V f Ce
But
Where A1 = area of the inlet section
A1 
. . . .(ii)
d 2
. . . .(iii)
4
Substituting in equation (iii)
3.142(0.12) 2
A1 
 0.189m 2
4
Then   0.189m 2 19.85  0.97m / s  3.45m 3 / s
Substituting in equation (i)
W = 1.172  3.45 313 1.005  1272.9 W
Time for Drying
The power required drying/producing the warm air that will dry the hand is the combination
of the power of the heater and the power of the fan.
Illustration
PR  PH X  PF
Where PR = power required, PH = power of heater,
PR = 5600W + 1271.9W = 6871.9W
And
PF =
power of fan
PR  PA  Qx cp  T
PR 
PA  V  cp  T
T
Where,
PA = 1. 172
T = 40 - 37 = 30 C
Cp = 1.005 kJ/kg/°k
Now the time (t) required for drying is given by
Volume (V) = 165x103 litres = 165m3
PA  Vx cp  T 1.172 165 1.005  3

= 44. 84sec
6.872
PR
Time required for drying is, say, 45 seconds.
t
The Efficiency of the Blower
Power output
Power input
Pin = IV = 220V x 37A = 814W
Pout = 6872W
n
n
6982 100

 84%
8140 1
Efficiency of the Pumps
Power output of the pump, Pout = gQH = l000 x 9.81 x 0.591 x 1= 5800W
Where,
 = 1000kg/m3, g = 9.81m/s2 ,
Q =0.591m3/s , H = 1m
n
Efficiency ,
Power output 5800 100

 71%
Power input
8140  1
3.3 The Pipe System Geometry
Loss Due To Sudden Enlargement in the Pipe
Pipe diameter (d1) = 10mm,
Pipe diameter due to enlargement (d2) say 20mm
Assuming hydraulic gradient rises by 10mm
Applying Bernoulli’s equation to small and large pipe sections,
2
2
We get P1  V1  2  P2  V2  Z 2  he (i.e. head loss due to sudden enlargement)
W
But, he
2g
w
2g

V  V2 2

… (v)
2g
From continuity equation we have,
A1V1 = A2V2
 D V 
V1  A2V2  4  D2 2  V2   2 2 
 D1 
 20 2 
  V2  4V2
Or V1  

 10 
Substituting this value of V1 in eqn (v) we have
he 
4V2  V2  2  9V2 2
2g
2g
Now substituting the values of he and V1 in eqn (iv) we have
P1 4V2 
P V2
9V 2

 z1  2  2  Z 2  2
w 2g
w 2g
2g
16V2 2 V2 2 9V2 2  P 2  22   P1  21 




  0.01m
2g
2g
2 g  w   w 
pZ
The term,
describes the hydraulic gradient
w
6V2 2
 0.01
2g
V2 
0.01 2  9.811 2  0.181m / s
6
Therefore, he 
9v2 2 9  0.1812 0.295

2g
2  9.81 19.62
= 0.015m
Rate of Flow 
We know that   A2 V2 

 0.022  0.181
4
= 0.00005m3/s
Power Loss Due to Sudden Enlargement, PLoss
Plost 
… (iv)
Wge
100
Where w = pg = 981 x 1 1000N/m2
 = 0.000057m3/s
he = 0.015m
Plost 
9.811000 0.000057  0.015
1000
= 0.008W
The Power Delivered To the Water by the Pump
hf 
flv 2
D  2g
Where hf = head loss due to friction
L = 50m (length of the pipe)
F = 0.03 (Darcy – Weisbach friction)
D = 10mm = 0.01m (Pipe diameter)
0.03  50  0.181 0.2715

 1.38m
0.01 2  9.81
0.1962
P  wh f  9.81 0.000057 1.38  7.7 10 4W
= 0.77
hf 
3.4 Electrical Connection
The electrical circuit is designed in such a way that when alternating current from the power
source (220 volts) mains is applied to the circuit by putting on the wall switch, the heater is on
and is regulated/ maintained at 40°C by a thermostat connected to step down the voltage from
220V to 12V and then a rectifier is connected to change the current form. The fan and two
pumps (soapy water and clean water pump) are connected in parallel to each other with an
indicator light (light emitting diodes) connected in parallel to the fan, first pump and second
pump respectively.
Conclusion
This research work has successfully presented a functional and highly efficient low cost
sensor-controlled hand washing and drying machine which is usable in different places within
our geographical environment and settings such as hotels, homes, hospitals, executive offices,
restaurants, schools etc. as way of adopting a good hand washing and drying process or
procedure hence improving hygienic condition of individuals; and this eliminates the transfer
of facal pathogens from one person to another.
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American Society for Microbiology (1996) Americans Caught Dirty Handed for the
Evaluation of Health Care Personnel Hand Wash Formations. American Society of
Testing Materials, Philadelphia P. A.
Cengel, Y. A., Boles M. A. (1998) Thermodynamics. WCB/McGraw Hill.
Engen, A. A. Theodore, B. Mark's Standard for Mechanical Engineering (Tenth Edition).
McGraw Hill.
Gordon Rogers, Yon Mayhew. Work and Heat Transfer.
James Carvill-Butterworth, Mechanical Engineering Handbook.
Khurmi, R. S. and Gupta, J. K. Hydraulics and Fluid Mechanics. Eurasia Publishing House (P
VT) Ltd New Delhi. (2003).
Khurmi, R. S. and Gupta, J. K. A Textbook of Machine Design, 14th Revised Edition, Eurasia
Publishing House (P VT) Ltd New Delhi. (2005).
Mohanty, A.K. (1994) Fluid Mechanics. Prentice-Hall of India Private Limited New Delhi.
Peter Snyder O. A. "Safe Hands" Hand wash program for Retail Food Operations.
Rajput, R. K. (2005). Heat and Mass Transfer. S. Chand Company Limited.
Yildiz Bayaztoglu, M. Necaji Ozisit Mechanical Engineering Series McGraw Hill
International Edition.
Shigley J. E. (2006) Shigley’s Mechanical Engineering Design, Eighth Edition McGraw-Hill
Companies Inc.
Gbasouzor Austin Ikechukwu is a lecturer in the Department of Mechanical Engineering,
Anambra State University, Uli, Nigeria.He received his B.Sc in Mechanical/Automobile
Technology in 2001, M.Tech in Electromechanical Technology (Plant Management) in 2005.
He’s currently a PhD Researcher in the Department of Industrial/Production Engineering of
Nnamdi Azikiwe University, Awka Nigeria. He has authored so many journals and has
written three book chapters. His research interest is in Design and Manufacturing. He is an
Associate Member of IMechE, member IAENG, and so many other engineering bodies.
Okeke Ogochukwu Clementina is a lecturer in the Department of Computer Science,
Anambra State University, Uli, Nigeria. She received her B.Sc. in Computer Science in 2000,
M.Sc. in Computer Science in 2008, PGDE in Education Foundation in 2006 from Nnamdi
Azikiwe University, Awka Nigeria. She is a PhD Researcher in the Department of Computer
Science. She has authored so many publications in journals.
Chima Lazarus Onyebuchi is a PhD Researcher in the Department of Mechanical
Engineering, Nnamdi Azikiwe University, Awka, Nigeria. He obtained his B. Engr. and M.
Engr. Degrees in Mechanical/Production Engineering from the Nnamdi Azikiwe University,
Awka in 2002 and 2009 respectively. He has been widely published in many reputable
journals. He is also a member IAENG.
Prevalence of Intestinal Parasites among School
Children in a Rural Community of Anambra State,
Nigeria
Maryjude C. Igbodika,a Anthony O. Ekesiobi,b Ifeyinwa I. Emmy-Egbe,c
a
DBSASUU- Department of Biological Science, Anambra State University Uli
Ihiala Local Government, P.M.B 02, Uli, Anambra State Nigeria.
[email protected]
b
DBSASUU- Department of Biological Science, Anambra State University Uli
Ihiala Local Government, P.M.B 02, Uli, Anambra State Nigeria.
[email protected]
c
DBSASUU- Department of Biological Science, Anambra State University Uli
Ihiala Local Government, P.M.B 02, Uli, Anambra State Nigeria.
[email protected]
Abstract. A study was conducted to determine the prevalence of intestinal parasites among
school children in Awka-Etiti, Anambra state, Nigeria between July and October 2012. Five
hundred faecal samples were examined using direct faecal smear and concentration technique.
Factors that predispose children to parasitic infection were investigated using oral interview,
direct observation of the environment and structured questionnaire. Three hundred and sixty
children, (72%) were infected including 149(29.80%) males, and 211(42.20%) females.
Ascaris lumbricoides was the most prevalent helminth parasite, 133(26.60%) and Entamoeba
histolytica, 105(21.0%) the most prevalent protozoan parasite identified. Prevalence of
infection was significantly higher in the age group 9 – 11 years than in other age groups
(P<0.05). Ogwugwudiani community school was the most affected and the difference in the
rate of infection the schools was significant (P<0.05). Children whose parents are farmers
were significantly more infected (88.0%) than other children (P<0.05). There was no
significant difference in the prevalence of infection between the sexes (P>0.05). The high
prevalence of infection could be attributed to the poor sanitary status and poor personal
hygiene of the children. Therefore, improvement in these factors through basic health
education and de-worming at intervals is highly recommended.
Key words: parasite, Entamoeba, prevalence, Ascaris, helminth, infection.
INTRODUCTION
Intestinal parasitic infections are globally endemic and have been described as constituting the
greatest single worldwide cause of illness and disease. Intestinal parasitic infections are
associated with lack of sanitation, lack of access to safe water, poor nutrition, improper
hygiene (Steketee, 2003). People of all ages are affected by parasitic infections but children
are the most affected. Intestinal parasitic infections undermine the health status of children
with more than one billion of the world’s population including at least 400 million school
children chronically affected (Harpham, 2002).
Through out history, human have been infected by parasite from single cell protozoa to large
worms living in the gastrointestinal tract. The source of parasites has been faecal
contaminated soil and vegetable. Ingestion of infective eggs from soil contaminated
vegetables and water is the primary route of infection. Transmission also comes through
municipal recycling of waste water into crop fields (Baird et al., 2002).
People became infected with Taenia solium and Taenia saginata by eating under cooked meat
or drink unpasteurized milk. Giardia lamblia and Entamoeba histolytica are spread by fecal
contamination of drinking water and foods as well as direct contact with infected dirty hand.
Ascaris lumbricoides can be contacted and spread by eating infected faecal contaminated
food, unwashed vegetables or raw fruits. Penetration of intact skin by infective stage is a
means of transmission employed by Hookworm and Strongyloides stercoralis. Swimming in
contaminated water can also result in infestation by parasite such as Schistosoma sp.
(Nematian et al., 2004). Allergies, anaemia, constipation, diarrhea, fatigue are some of the
symptoms associated with parasitic infections. Waste products from parasites can irritate the
nervous system resulting in anxiety and restlessness (Pillai and Kain, 2003). People with
intestinal parasitic infections are usually under nourished and weak, infected with virus, fungi
or bacteria (Methorn, 2001).
Intestinal helminthes may impair the development of their human host through their impact on
nutrition and may affect nutrition by inducing iron-deficiency anaemia (Ezeamama et al.,
2005). They attach themselves to the lining of the small intestine causing intestinal bleeding
and loss of nutrient (Guarner, 2009).
Certain drugs are used in the treatment of intestinal parasitic infections including Piperazine,
Mebendazole, Pyrantel pamoate, Albendazole etc. Intestinal parasitic infections can be
prevented through basic health education with particular references to sanitation, good
personal hygiene, wearing of shoes, and proper washing of hands before eating. The present
study describes the prevalence and risk factors associated with parasitic infections in a rural
community of South-eastern Nigeria.
MATERIALS AND METHODS
Study Area
Awka-Etiti lies between longitude 6.96670E and latitude 6.03330N in Idemili South Local
Government Area of Anambra State Nigeria. It is located within the agricultural belt of
Anambra State with tropical climate and distinct wet and dry seasons.
It comprises seven villages namely, Umunocha, Ejighinadu, Nkolofia, Nnaba, Ogunzelu,
Umudunu and Irowelle. The inhabitants are estimated to be 14,000 people (2006 census)
majority of who are farmers, some traders, artisans, few civil servants. There are primary and
secondary schools, churches, microfinance bank, electricity, market, health care centres and
private Hospital. Refuse are disposed in the farmland usually close to residential houses.
Disposal of fecal matter is mainly by pit latrine, water closet system and indiscriminate
defecation on farmlands. Source of drinking water is mainly from underground tanks.
Four schools were randomly selected for the study: Community primary school, Father Paul
Primary & Secondary School, Irowele, Ogwugwudiani Community School and St. Joseph
secondary School. Data on age, sex, hygiene, parental occupation were obtained using
structured questionnaire and oral interview. Fecal samples were collected in wide-mouthed
clean specimen containers and transported to Divine Laboratory Nnewi for parasitological
examination.
Within one hour of collection, the fecal samples were examined using wet preparation and
concentration technique.
In Wet preparation method a small portion of the fecal matter, taken from different sides, with
an applicator sticks, was emulsified in a drop of normal saline placed on a clean grease-free
glass slide. This was covered with cover slip and examined under the microscope using X10
and X40 objective lens.
Parasites which could not be seen using wet preparation method due to light infection were
concentrated using Formalin-Ether concentration technique. In a clean glass test tube about 3g
of faeces was thoroughly mixed in distilled water. The content was strained through two
layers of wire gauze into a centrifuge tube. This was centrifuged for 5mins. The supernatant
was discarded and it was re-suspended in 7mls of 10% Formaldehyde to which 3ml of Ether
was added and shook vigorously to mix. This was centrifuged for 5 minutes and the
supernatant poured off. The sediment was put on a clean grease-free glass slide and examined
under the microscope using X10 and X40 objective lens. The results were recorded and
analyzed statistically using Chi-square test.
RESULTS
Of the 500 fecal samples examined, 360 were positive with overall prevalence of 72.0%.
Ogwugwudiani Community School had the highest prevalence, 82.40% and St. Joseph
Secondary School had the least prevalence of 77.60% as shown in Table 1. The difference in
the rate of infection among the schools was significant (P<0.05).
The prevalence of intestinal parasites in relation to age is shown in Table 2. The highest
prevalence 84.67% was observed among the children aged 9 – 11 years whereas children aged
18 – 20 years had the least prevalence, 63.33%.
Ascaris lumbricoides was the most common intestinal parasites with the prevalence of
26.60% whereas Trichuris trichiura was not common and had the lowest prevalence of
2.40%. Difference in the rate of infection among the age groups was statistically significant
(P<0.05).
In table 3, children who drink mainly water from well were mostly infected, 93.75% with
Ascaris lumbricoides (41.25%) and Entamoeba histolytica (18.75%) being the most common
parasites observed among them. Those who drink sachet water harboured the least number of
parasites, 62.50%. Also, children who defecate in the bush harboured more parasites
(80.59%), than those who defecate in pit-latrine (67.78%) and water closet system (66.67%).
The difference in the infection rate was significant (P<0.05).
Table 4 shows sex related prevalence of intestinal parasites. The males were 149(78.42%)
infected more than the females 211(68.06%). The difference in the rate of infection was not
significance (P>0.05).
The prevalence of intestinal parasites in relation to the occupation of the children’s parents is
shown in table 5. Children whose parents are farmers were significantly more infected
(88.0%) than children whose parents are business and civil servants (P<0.05).
Table 1: Prevalence of the intestinal parasites among the four schools in Awka-Etiti
Schools
Community
primary
school Umunocha
St. Joseph Secondary
School Ejighinadu
Father Paul Primary &
Secondary
School,
Irowele
Ogwugwudiani
Community
School
Umudunu
Total
Total
Examined
125
No.
125
125
Total
+ve
100
(80.00)
97
(77.60)
60
(48.00)
No
Ascaris
No (%)
50
(40.00)
32
(25.60)
19
(15.20)
E. histolytica (%)
Hookworm (%)
G. lamblia (%)
T. trichiura (%)
15
(12.00)
39
(31.20)
16
(12.80)
20
(16.00)
10
(8.00)
12
(9.60)
12
(9.60)
16
(12.80)
9
(7.20)
3
(2.40)
0
(0.00)
4
(3.20)
125
103
(82.40)
32
(25.60)
35
(28.00)
19
(15.20)
12
(9.60)
5
(4.00)
500
360
(72.00)
133
(26.60)
105
(21.00)
61
(12.20)
49
(9.80)
12
(2.40)
Number in parenthesis indicate percentage infection
Table 2: Age specific prevalence of intestinal parasite of school children in Awka-Etiti
Age group
Total
Examined
6–8
No.
Total No +ve
Ascaris No (%) E. histolytica (%)
Hookworm (%)
G. lamblia (%)
T. trichiura (%)
80
60(75.00)
20(25.00)
23(28.75)
15(18.75)
0(0.00)
2(2.50)
9 – 11
150
127(84.67)
21(27.33)
36(24.00)
24(16.00)
26(17.13)
0(0.00)
12 – 14
100
65(65.00)
35(30.00)
14(14.00)
10(10.00)
11(11.000
0(0.00)
15 – 17
50
32(64.00)
30(30.00)
10(20.00)
0(0.00)
0(0.00)
7(14.00)
18 – 20
120
76(63.33)
27(22.50)
22(18.33)
12(10.00)
12(10.00)
3(2.50)
Total
500
360(72.00)
133(26.60)
105(21.00)
61(12.20)
49(9.80)
12(2.40)
Number in parenthesis indicate percentage infection
Table 3: Prevalence of intestinal parasite in relationship between hygiene/sanitation
Source
of
drinking water
Total
No.
Examined
Total
+ve
Well water
80
Sachet water
Bore
water
Total
Ascaris No (%)
E. histolytica
(%)
Hookworm
(%)
G. lamblia
(%)
T.
(%)
75*93.75)
33(41.25)
15(18.75)
8(10.00)
15(18.75)
4(5.00)
200
125(62.50)
45(22.50)
30(15.00)
35(17.50)
10(5.00)
5(2.50)
220
160(72.73)
55(25.00)
60(27.27)
18(8.18)
24(10.9)
3(1.36)
500
360(72.00)
133(26.60)
105(21.00)
61(12.20)
49(9.80)
12(2.40)
Toilet system
used
Water system
60
40(66.67)
10(16.67)
15(25.00)
8(13.33)
5(8.33)
2(3.33)
Pit toilet
270
183(67.78)
52(18.26)
68(25.19)
23(8.52)
32(11.85)
8(2.96)
Bush pathway
170
137(80.59)
71(41.76)
22(12.94)
30(17.65)
12(7.06)
2(1.18)
Total
500
360(72.00)
133(26.60)
105(21.00)
61(12.20)
49(9.80)
12(2.40)
hole
No
Number in parenthesis indicates percentage infection.
Table 4: prevalence of intestinal parasite in relation to sex
Sex
No. examined
Number infected (%)
Number
(%)
Male
Female
Total
190
310
500
149(78.42)
211(68.06)
360(72.00)
41(21.58)
99(31.94)
140(28.00)
Number in parenthesis indicate percentage infection
uninfected
trichiura
Table 5: Prevalence of the intestinal parasite according to occupation of parents especially
mothers
Occupation
of
parents
especially
mothers
Total No.
Examined
Total
+ve
Farmer
250
Business
No
Ascaris No
(%)
E. histolytica
(%)
Hookworm
(%)
G. lamblia
(%)
T. trichiura
(%)
220(88.00)
78(31.20)
62(24.80)
49(19.60)
28(11.20)
3(1.20)
150
100(66.67)
32(21.33)
13(20.67)
12(8.00)
15(10.000
4(2.67)
Civil servant
100
40(40.00)
23(23.00)
12(21.000
0(0.00)
6(6.00)
5(5.00)
Total
500
360(72.00)
133(26.60)
105(21.20)
61(12.20)
49(9.80)
12(2.40)
Number in parenthesis indicates percentage infection.
DISCUSSION
The result of this study revealed intestinal parasitic infections are a public health problem in
Awka-Etiti and Eastern Nigeria. Parasitic infections are wide spread in rural areas of Eastern
Nigeria where humid environment, traditional ways of life contaminated soils and water, and
limited health services contribute to the transmission and persistence of fecal parasites. In this
study, the overall prevalence, 72% is very high with Ascaris lumbricoides, 26.06% being the
most common parasite and Trichuris trichiura 2.4% being the least common parasites. Our
findings are in consistent with that of Damen et al., 2011 who reported an overall high
prevalence of 80.90% with Ascaris lumbricoides, 19.1% being the most common parasites
and Trichuris trichiura (3.5%) being the least common in similar rural North-eastern Nigeria.
High prevalence of intestinal parasites, 58.5%, although less than the 72% recorded in the
present study, was also reported by Houmsou et al. (2010) in Makurdi, Benue State, Northcentral Nigeria.
Also consistent with the finds of the present study are the findings of Endris et al. (2010) who
reported high prevalence of 72.9% in a rural area of Ethiopia, Legesse and Erko (2004) who
reported a high prevalence of 83.8% in South-East lake of Langano Ethiopia. The prevalence
of intestinal parasites reported in this study is greater than that reported by Aschalew et al.
(2013) who reported 34.2% prevalence in North West Ethiopia. Damen et al, (2010) who
reported prevalence of 30.2% in North central Nigeria, and Tadesse (2005) who reported a
prevalence of 27.2% in Babile Town in Eastern Ethiopia. These variations in the prevalence
may be due to differences in climatic conditions, environmental sanitation, economic and
educational status of parents and study subjects as well as previous control efforts.
In our study, Ascaris lumbricoides, 26.60%, was the most common parasite. This confirms the
study by Damen et al (2010); Orji et al., (2012); Ifeadike et al., (2012) who reported Ascaris
as the most common parasites. On the other hand, studies by Houmsou et al., (2010); Lindo et
al., (2002) and Aschalew et al., 2013) who reported Hookworm as the most common
parasites. This may be attributed inadequate drinking water and poor sanitation of the study
area. In this study, males, 78.42% were infected more than the females 68.06%. This is in
contrast to the report of Jang and Luo (2003) and Aschalew et al., (2013) where females were
more infected, but is consistent with the findings of Houmsou et al. (2010); Ikon and Useh
(1999). This may be attributed to the fact that males are more often engaged in predisposing
activities such as football, barefoot, playing in stream or ponds.
Our findings indicate that the young age groups (6 – 14) were more infected than the older
age group (15 – 20) years. This may be due to the fact that children in the age group 6 – 14
years play a lot outdoors with barefoot, forage in garbage dumps and eat discarded food
remains in their immediate environment which may be fecal contaminated and eat
indiscriminately with unwashed hands. They know very little about hygiene. On the other
hand, in the age group of 15 – 20 years, the low prevalence observed could be as a result of
awareness of hygiene and dangers of poor hygiene and as such avoid possible predisposing
factors. This confirms studies by Houmsou et al., (2010); Luka et al., (2000); Lindo et al.,
(2002).
Our findings also revealed children who drink well water, defecate in bush, and whose parents
are farmers were heavily infected. Also with the exception of Hookworm other parasites
reported in this study can be acquired through fecal-oral route. This depicts the level of risk
such as poverty, sanitation, illiteracy, ignorance, poor hygiene and lack of public health
education in most rural setting and inadequate drinking water. These are major contributors to
parasitic diseases in the developing world. Therefore, improvement in all these factors is
important in the control of parasitic infection. The present study demonstrates the usefulness
of fecal examination in developing countries especially in rural areas in monitoring the
prevalence intestinal parasites and in assessing the effectiveness of public health interventions
and other control measures.
CONCLUSION
The very high prevalence of parasitic infection in Awka-Etiti revealed in this study is a great
public health concern and calls for government urgent intervention through mass deworming
and creation of public health awareness on the helminth diseases and their association with
poor sanitary and hygiene status.
ACKNOWLEGDEMENTS
Our sincere appreciation goes to the Director of Divine laboratory Nnewi for his assistance.
Not left out are the members of staff of the laboratory for their co-operation. We will not
hesitate to acknowledge the co-operation of the Idemili North Local Government Area
Chairman, the health department of the local government, the chief of Awka-Etiti
Community, and the Heads of Community primary school, Father Paul Primary & Secondary
School, Ogwugwudiani Community School, and St. Joseph secondary School. Thank you all.
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Current Appraisal of Socio-Economic Factors
Associated with Intestinal Helminth Infections in
South-Eastern Nigeria.
Iwueze, O. Miriama, Nwaorgu, C. Obiomaa, Okafor, C. Fabianb
Email: [email protected] [email protected]
a
Department of Parasitology and Entomology, Nnamdi Azikiwe University Awka,
Anambra State, Nigeria.
b
Department of Zoology, University of Nigeria Nsukka, Enugu State, Nigeria.
Abstract
A cross-sectional study was carried out to assess the current status of intestinal helminth
infections and the associations between selected socio-economic variables and helminthosis
among school children less than twenty years old in five rural communities in Southeastern,
Nigeria. A total of 3000 school children randomly selected from the study communities were
enrolled for the study. Data collection involved the use of Kato Katz for microscopic
examination of stool samples, semi-structured questionnaires and focal group discussion
(FGDs). T-test was used to to determine the association of socoi-economic variables and
intestinal helminthosis.The overall prevalence of intestinal helminth infections was 60.4%.
The intestinal helminthes isolated included hookworm (29.1%), Ascaris lumbricoides
(22.1%), Trichuris trichiura (4.6%), Strongyloides stercoralis (2.4%), Taenia spp (1.1%) and
Diphyllobothrium latum (1.1%). Hookworm (29.1%) was the most predominant helminth.
Males were more infected (61.1%) than females (59.6%). Individuals aged 3-5 years old had
the highest prevalence (75.4%) of intestinal helminth infections. Factors that were
significantly associated with the risk of acquisition of the infections included age of the
school children, type of toilet facility, source of water, level of education, occupation,
housecrowding, hygiene habits. Conscientious personal cleanliness, proper sanitation and
controlled good water supplies would be useful for effective control.
Keywords: intestinal, helminth, infections, socio-economic, factors, Nnewi South,
Anambra, State, Nigeria.
INTRODUCTION
Helminthes are known to cause a lot of morbidity and socio-economic deprivation in
population living in the tropics, where poor sanitary conditions provide optimal
environmental conditions for their development and transmission (Akogun and Badaki, 1998;
Pukuma and Sale, 2006). It is estimated that over one billion of the world population are
chronically infected with the major soil transmitted helminthes. While the morbidity
associated with these infections is estimated to affect 447 million people with annual
mortality of 135,000 (Pukuma and Sale, 2006; WHO, 1998).
The different types of intestinal helminth parasites often encountered include Ascaris
lumbricoides hookworm, Trichuris trichiura, Strongyloides stercoralis. Other helminthes such as
the zoonotic (Taenia solium, Cysticercus spp, Trichinella spp, Echinococcus spp) are less
prevalent but contribute significantly to morbidity (WHO, 1998).
Transmission of parasites is sometimes influenced by differences in environment, local
population and socio-economic and socio-cultural habits such that parasite distributions in two
adjacent communities sometimes differ among school age children. Different parasite species
might have different effects on children (Olsen et al., 2001). Heavy parasite burden may cause
digestive and nutritional disturbances, blockages of the gut, abdominal pain, vomiting
restlessness, disturbed sleep and the perforation of tissue (Mbanugo and Abazie, 2002; Obiukwu
et al., 2009).
Although many studies regarding intestinal parasites focus on establishing the
prevalence and intensity of these infections in different populations, fewer studies have examined
the socio-economic and cultural factors that affect transmission of intestinal helminthes. Some
studies have shown that lack of education, lack of adequate toilet facilities, lower socio-economic
status, level of sanitation in households are related to parasitoses (Cooper and Bundy, 1988,
Holland et al., 1988; Yusuf and Hussen, 1990; Rajeswani et al., 1994; Ighogboja et al., 1997;
Pegelow et al., 1997; Gamboa et al., 1998). These reports coupled with the fact that there have
been few surveys designed to determine associations between socio-economic/ socio-cultural
variables and intestinal helminth prevalence data prompted the initiation of this study in five
communities in Nnewi South Local Government Area, Anambra State, Nigeria.
MATERIAL AND METHOD
Study area
This survey was conducted from July 2011 to August 2012 in Nnewi South Local
Gonernment Area located in southern senatorial zone of Anambra State, south-eastern
Nigeria. It lies approximately 60 to 12o North latitudinally and 8 0 to 150 East longitudinally.
The population is about 39,000 people. The climate is tropical and vegetation characteristic is
predominantly the rainforest with an average annual rainfall of about 2000mm and the
average atmospheric temperature of about 300 C. There are two distinct seasons, the wet and
dry seasons, the former takes place between April and October, while the latter occurs from
November to March. The area is transverse by a number of streams which constitute the
major source of water supply to all the communities in the area. Basic amenities are
essentially lacking in these area and there no proper sewage disposal systems in most of the
communities. Farming and trading are the major economic activities. Educational status of
most of the inhabitants is generally very low and systematic de-worming exercise has never
been conducted in the study area.
Study Population
Five communities out of ten community es were selected for the study through simple random
sampling. The communities selected were as follows: Amichi, Ekwulumili, Ukpor, Osumenyi
and Akwaihedi. Fifteen primary schools and five post-primary schools in the area were
selected for the study. One hundred and fifty school children ere selected from each school
through systematic sampling technique. A total of 3000 school children less than twenty years
old were enrolled for the study.
Ethical Consideration
The protocol for this study was approved by the Infectious Disease Research Division
(IDRD), Department of Medical Parasitology, Faculty of Biosciences Nnamdi Azikiwe
University Awka, Anambra State, Nigeria. The approval was based on the agreement that
patient anonymity must be maintained, good laboratory practice/quality control ensured, and
that every finding would be treated with utmost confidentiality and for the purpose of this
only. All work was performed according to the international guidelines human
experimentation in biomedical research (WHO, 1991). Approval for the study was obtained
from the Chairman, and Secretary Local Government Education Authority (L.G.E.A.), Nnewi
South LGA, Anambra State, Nigeria. Approval was also obtained from the Parents Teachers
Association (P.T.A.) of each school studied and informed consent was obtained from each of
the participating child. The participating school children were given biscuits, candies, pencils,
pens, erasers, and pencil as incentives. Infected pupils were referred to the Primary Health
Care Centre (PHCC) in the area for immediate treatment.
The children were educated on the causes of intestinal helminth infections among
school aged children and they were convinced that every child ought to be free from such
infections, thus the necessity of participating in the research work was appreciated by them.
Collection of Data
Data collection involved the use of questionnaires, focal group discussion (FGDs) and
collection of stool samples. The questionnaire contained three sections:
1.
2.
3.
Socio-demographic data: age, gender, residence, level education and occupation of the
parents, number of children in the family.
Environmental factors: water supply, type of toilet facility commonly used.
Behavior habit: hand washing after defecation (never/sometimes/ always), footwear
usage (never/sometimes / always), washing of fruits and vegetables before consumption
(never/sometimes /always).
Parasitological Technique
The selected children were each given a clean, dry, well-labeled specimen bottle with which
the feacal samples were collected. The collected feacal samples were transported to the
laboratory for processing. They were examined for ova and or cyst of intestinal helminth
parasites using the direct wet mount microscopic examination and the formol –ether
concentration technique (WHO, 1998).
RESULTS
The results revealed that six different intestinal helminth parasites were identified among the
communities studied. They include: hookworm, Ascaris lumbricoides, Trichuris trichiura,
Strongyloides stercoralis, Taenia spp and Diphyllobothrium latum. Of these parasites,
hookworm had the highest prevalence of 29.1%. This was followed by A. lumbricoides
(22.0%). Where as the least prevalence of 1.1% was recorded in Taenia spp and D. latum.
(Table 1)
The prevalence of intestinal helminth infections was high throughout the
communities with a range of 53.2% -63.7%. All the intestinal helminth parasites were
recorded in all the communities. The highest prevalence (63.7%) was recorded in Ukpor
followed by Ekwulumili where a prevalence of 63.3% was obtained. The least prevalence
(53.2%) was recorded in Akwaihedi (Table 2). Statistical analysis with t-test revealed a
significant difference in the prevalence of intestinal helminth infections in respect to
community (p <0.05; t-cal 9.875>t-cri 2.57).
Table 3 presents results on the prevalence of intestinal helminth infections by sex.
More males (61.1%) were infected than females (59.6%). However, the difference was not
statistically significant (p>0.05).
The prevalence of intestinal helminth infections were presented in table 4. The
percentage of infections was high in all the age groups with a range of 46.9%- 75.4%. The
highest prevalence of infection (75.4%) was recorded in age group 3-5 years old followed by
age group 12-14 years old in which 72.2% were infected. The least prevalence (49.6%) was
recorded in children less than two years old. T-test analysis showed a significant difference in
age of children infected with intestinal helminth infections (p<0.05; t-cal.35.2>t-cri. 2.44)
Prevalence of intestinal helminth parasites in relation to type of toilet facility
As shown in table 5, 66.2% of people who practice open defecation (bush) were infected,
65.4% of those using pit latrines were infected while 28.9% of those using water closet were
infected. Taenia spp (0.0%), and D. latum (0.0%) were found absent in individuals who use
water closet. There was a significant difference between prevalence of intestinal helminth
infections and water closet among community members (p<0.05 2 = 42.64 > 26.30).
However, there was no significant difference between those using bush and those that use pit
latrine. Some of the respondents from FGDs stated that defecating in the bush is the surest
way to avoid infection. A female youth in affirmation to this stated thus “I feel comfortable
defecating in the bush. Again it enables me to see my faeces and know whether there is any
worm crawling in it” Those who use pit latrines are of the view that it is less laborious as one
cannot start looking for water to flush the toilet as is the case with water closet. Another
female youth stated that water closet is the safest system of disposing human waste but due to
lack of water in rural areas people do not usually install it and where it is available they do not
make use of it because of lack of water.
As shown in table 6, 72.1% of people who get water from local stream were infected,
38.4% who use shallow well were infected while 26.7% of those who use borehole as their
source of water were infected. Trchuris was predominantly higher in those who use shallow
well (5.1%) than those who use local stream (4.8%) and borehole (0.9%) while D. latum was
completely absent from those who use borehole water 0(0.0%). There was a significant
difference between prevalence of intestinal helminth infection and source of water (p<0.05; 2
= 74.6 > 26.30).
A woman in one of the women FGDs noted that water from the local streams is the
best because “it has a good natural clayey taste, besides, it is the original water handed to us
by our ancestors that is why even if the government sink one hundred boreholes for us, we
will still go to the stream” Some youths were of the view that they have their stream as the
meeting point for friends where they meet, chart and wash our clothes especially during dry
season. Those who use shallow well water stated that they make use of water conserved
during rainy season when the paths to the stream must have been blocked.
Prevalence of intestinal helminth infections in relation to the level of education
As shown in table 7, the highest prevalence (68.0%) was observed among individuals who
had no formal education. This was followed by those with First school Leaving Certificate
(64.1%). The least prevalence was observed among those with degree (38.5%). The
prevalence of hookworm was highest among those with First Leaving Certificate (33.3%) but
least among those with degree (15.0%) Equal prevalence (4.0%) was found among those with
degree and those with no formal education. There was a statistically significant difference
between prevalence of intestinal helminth infection and level of education (p<0.05; 2 =
136.38 > 36.42).
Among those with no formal education, the older folks in both male and female
FGDs were of the view that worm infection is not a serious infection. Similarly, a female
youth stated thus “worm infection is not as serious as malaria, I can spend only two hundred
naira (#200.00) and buy any worm expeller from any chemist shop”
Prevalence of intestinal helminth infection in relation to occupation
As shown in table 8, the highest prevalence of intestinal helminth infections (65.1%) was
observed among artisans, followed by farmers (63.7%). The least prevalence of intestinal
helminth parasites (26.7%) was observed among the teachers. S. stercoralis (0.0%), Taenia
spp (0.0%) and D. latum (0.0%) were found to be completely absent in health workers. and
teachers. Artisans had the highest prevalence of Ascaris (40.8%) while the highest prevalence
of hookworm was observed among the petty traders (37.3%). There was a significant
difference between prevalence of intestinal helminth infection and occupation (p<0.05; 2
=292.6>46.18)
A male artisan in one of the male FGDs stated thus “worm infection is a natural
occurrence therefore we should allow our children to play in the soil and also eat it so that
their teeth will be strenghthened” Some farmers in the FGDs maintained that worm is in every
body’s stomach and that it does not disturb. It is only when there is no food in the stomach
that it disturbs, therefore one has to eat enough food that contains oil so that worm will have
something to eat and not disturb. Two women (one a nurse and the other a teacher)
maintained that they used to de-worm their children every three months.
Prevalence of intestinal helminth infections in relation to the number of
individuals in a household
As shown in table 8, the highest prevalence (75.2%) was observed among individuals who
have more than five members living in the same house. 36.4% of those with less than five
household members were infected. There was a significant difference between prevalence of
infection and house crowding (p<0.05 2 = 49.7 > 15.51). The prevalence of the individual
parasite species were found to be higher among households with more than five members
(hookworm (38.9%), Ascaris (25.7%), Trichuris (5.6%), Strongyloides (3.3%) and Taenia spp
(1.1%) than households with less than five members (hookworm (313.2%), Ascaris (16.2%),
Trichuris (3.0%), Strongyloides (1.3%) and Taenia spp (1.1%) except D. latum where the
prevalence was higher in households with less than five members18(1.5%) than households
with more than five members 16(0.8 %).
An elderly man in one of the male FGDs who has seven children stated that worm
infection can only be contracted by eating over ripe number one mango and new season corn.
Another woman, a mother of eight children, also stated that worm infection is not a serious
health problem that everybody including the adults pass out worm every day. Another elderly
woman (a mother of eight children) in agreement to what the man said stated that God while
creating man created worm to be part of the body but kept it in a special bag where they stay
and help in digestion of food.
Prevalence of intestinal helminth infection in relation to footwear usage
As shown in fig.1, the highest prevalence of intestinal helminth infection (46.4%) was
observed among respondents who do not put on foot wears. This was followed by a
prevalence of 33.2% participants who put on foot wears sometimes, and 20.5 % of
respondents who wore footwears regularly. There was a significant difference on the
prevalence of intestinal helminth infection in relation to footwear usage (p<0.05; 2
=221.35>5.991). Those who do not wear footwears stated it was out of poverty that they do
so. A woman in one of the FGDs stated thus “whenever I am working in my farmland I don’t
put on my footwears because it slows my movement” Another also added that whenever she
is in her compound she does not wear her footwears.
Prevalence of intestinal helminth infection in relation to washing of hands after
defecation
As shown in fig. 2, 50.0% of respondents who never washed their hands after defecation were
infected, while 37.3% of the respondents who occasionally (sometimes) washed their hands
after defecation were infected and 12.7% of respondents who regularly wash their hands after
defecation were infected. There was a significant difference on the prevalence of intestinal
helminth infection in relation to washing of hands after defecating (p<0.05; 2 =
473.39>5.991) A woman stated thus “I am always careful any time I am cleaning my anus
and I make sure that no particle of faeces touches my hands. So why should I wash my hands
since no particle of faeces touched my hands?” Another man from the group that wash their
hands occasionally stated that he wash his hands after toilet only when there is enough water
to do so and that is mostly during rainy season.
Prevalence of intestinal helminth in relation to washing of fruits and vegetables
before consumption
As shown in fig. 3, 45.4 % of the respondents who never washed their fruits and vegetables
before consumption were infected. While 31.9 % of those who occasionally (sometimes)
washed their fruits and vegetables before consumption were infected, 22.7 % of those who
regularly washed their fruit and vegetables before consumption were infected. There was a
significant difference on the prevalence of intestinal helminth infection in relation to washing
of fruits and vegetables before consumption (p<0.05; 2 =168.15>5.991). Those who do not
wash their fruits and vegetables stated thus “fruits and vegetables gotten from the farm
contain some nutrients which when washed especially with salts clears the nutrients”.
Table 1: Prevalence of intestinal helminth parasites in Nnewi south Local Government Area
Parasite
Prevalence (%)
Hookworm
29.1
Ascaris lumbricoides
22.1
Trichuris trichiura
8.4
Strongyloides stercoralis
2.4
Taenia spp
1.1
Diphyllobothrium latum
1.1
Table 2: Prevalence of intestinal helminth infections in relation to community
Community
No. Examined
No. Infected
Mean + S.D
P-value
0.534
(%)
Ukpor
810
516 (63.7)
10.5 +12.5
Osumenyi
676
405 (59.9)
9.8 + 13.6
Amichi
636
377 (59.3)
9.8 + 11.4
Ekwulumili
472
299 (63.3)
10.5 + 12.9
Akwaihedi
406
216 (53.2)
8.8 + 11.0
Table 3: Prevalence of intestinal helminth infections with respect to gender
Sex
No. Examined
No. Infected (%)
Mean + S.D
P-value
Male
Female
1510
1490
926 (61.3)
885 (59.4)
154.3 + 12.4
147.5 + 12.1
0.318
Table 4: Prevalence of instestinal helminth infections with respect to age
Age Group(years)
No. Examined
No. Infected
Mean + S.D
P-value
51.6 + 7.2
69.0 + 8.3
45.8 + 6.8
40.5 +6.4
49.4+ 7.0
45.8 + 6.7
41.2 + 6.4
0.087
(%)
<2
3-5
6-8
9-11
12-14
15-17
18-20
330
548
493
424
342
404
459
155 (46.9)
414 (75.5)
275 (55.7)
243 (57.3)
247 (72.2)
229 (56.6)
247 (53.8)
Table 5: Prevalence of intestinal helminth infection in relation to human waste disposal system
Types of Parasites
Types of toilet
facility
No Examined
(%)
No infected
(%)
Hookworm
(%)
A. lum.
(%)
T. tri.
(%)
S. ster.
(%)
Taenia
spp (%)
D. latum
(%)
Water closet
Pit latrine
443(14.8)
1244(41.5)
128(28.9)
814(65.4)
89(20.1)
363(29.2)
30(6.8)
332(26.7)
8(1.8)
60(4.8)
1(0.2)
30(2.4)
0(0.0)
14(1.1)
0(0.0)
15(1.2)
Bush
1313 (43.8)
869(66.2)
420 (31.9)
299(22.8)
70(5.3)
43(3.3)
18(1.4)
19(1.4)
Total
3000
1811(60.4)
872(29.1)
661 (22.1)
138(4.6)
74(2.5)
32(1.1)
34(1.1)
A. lum. = Ascaris lumbricoides
T. tri.
= Trichuris trichiura
S. Ster. = Strongyloides stercoralis
D. latum. = Diphyllobothruim latum
Table 6: Prevalence of intestinal helminth infection in relation to source of water
Types of Parasites
Source of
water
Borehole
Shallow
well
Local
stream
No
Examined
(%)
210 (7.0)
No infected
(%)
Hookworm
(%)
A. lum.
(%)
T. tri.
(%)
S. ster. Taenia spp
(%)
(%)
D.
latum
56(26.7)
30(14.3)
22(0.7)
2(0.9)
1(0.5)
1(0.5)
(%)
0(0.0)
724(24.7)
278(38.4)
120(16.2)
69(9.3)
38(5.1)
22(2.9)
13(1.8)
16(2.2)
2048(68.3)
1477(72.1)
722(35.4)
570(27.8)
98(4.8)
51(2.5)
18(0.9)
18(0.9)
Total
3000
1811 (60.4)
872(29.1)
661 (22.1)
138(4.6)
74(2.5)
32(1.1)
34(1.1)
Types of Parasites identified
A. lum.
T. tri.
S. ster.
(%)
(%)
(%)
Taenia
spp (%)
D. latum
Table 7: Prevalence of intestinal helminth infection in relation to the level of education
Level of
Education
No
Examined
(%)
No infected
(%)
Hookworm
(%)
(%)
F.S.L.C.
150(5.0)
102(68.0)
46(30.7)
30(2.0)
14(9.3)
8(5.3)
6(4.0)
6(4.0)
O’Level
950(31.7)
535(56.3)
230(24.2)
221(23.2)
48(5.1)
21(2.2)
8(0.8)
7(0.7)
Degree
200 (5.0)
77 (38.5)
30(15.0)
28(14.0)
5(2.5)
5(2.5)
8(4.0)
1(0.5)
Total
3000
1811 (60.4)
872(29.1)
661 (22.1)
138(4.6)
74(2.5)
32(1.1)
34(1.1)
Table 8: Prevalence of intestinal helminth infection in relation to occupation
Types of Parasites identified
Occupation
Petty traders
No
No infected Hookworm
A. lum.
Examined
(%)
(%)
(%)
(%)
700 (23.3)
409(58.4)
261(37.3)
90 (12.9)
T. tri.
(%)
S. ster. (%)
Taenia
spp (%)
D. latum
(%)
38(5.4)
2(0.3)
8(1.1)
10(1.4)
Farmers
1610(53.7)
1026(63.7)
522(32.4)
350(21.7)
42(2.6)
68(4.2)
20(1.2)
24(1.5)
Health
workers
20 (0.7)
9(45.0)
4(20.0)
3(15.0)
2(10.0)
0(0.0)
0(0.0)
0(0.0)
Artisans
490(16.3)
319(65.1)
61(12.4)
200 (40.8)
50(10.2)
4(0.8)
4(0.8)
0(0.0)
Teachers
180(6.0)
48(26.7)
24(13.3)
18(10.0)
6(3.3)
0(0.0)
0(0.0)
0(0.0)
Total
3000
1811 (60.4)
872(29.1)
661 (22.1)
138(4.6)
74(2.5)
32(1.1)
34(1.1)
Table 9: Prevalence of intestinal helminth infection in relation to house crowding
Types of Parasites identified
House
crowding
No
Examined
(%)
No infected
(%)
Hookworm
(%)
A. lum.
(%)
T. tri.
(%)
S. ster. (%) Taenia spp
(%)
D. latum
(%)
<5
1150 (38.3)
419 (36.4)
152(13.2)
186(16.2)
35(3.0)
15(1.3)
13(1.1)
18(1.5)
>5
Total
1850(61.7)
3000
1392(75.2)
1811 (60.4)
720(38.9)
872(29.1)
475(25.7)
661 (22.1)
103(5.6)
138(4.6)
59(3.2)
74(2.5)
19(1.0)
32(1.1)
16(0.8)
34(1.1)
Footwear usage
Sometimes
33.2%
Never
46.0%
Regular
20.5%
Fig. 1: Pie chart showing prevalence of intestinal helminth infection in relation to footwear usage.
Washing of hands after defecating
Sometimes
37.3%
Never
50.0%
Regular
12.7%
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Fig. 2: Pie chart showing prevalence of intestinal helminth in relation to washing of hands after
defecation.
Washing of fruits and vegetables
Sometimes
31.9%
Never
45.4%
Regular
22.7%
Fig. 3: Pie chart showing prevalence of intestinal helminth in relation to washing of fruits and
vegetables before consumption.
DISCUSSION
The results of the present investigation showed a high prevalence (60.4%) of intestinal
helminth parasites among children of Nnewi South Local Government Area. This is similar to
the results presented by Ukpai and Ugwu (2003), Gundiri and Akogun (2003), Obiamiwe,
(1997) in various studies in Nigeria. These results and those collated by Ogbe and Odudu
(1990), Ndifon (1991), Kogi et al (1991) Gundiri and Akogun (2003) illustrated that
helminth parasites particularly hookworm and Trichuris trichiura are common throughout
much of Nigeria since the same environmental conditions abound.
The six intestinal helminth parasites identified in this study were detected in all the
communities where screening took place. The universal and endemicity of these parasites
have been attributed to previous studies to poor standard of public and personal hygiene,
shortage of clean potable water and indiscriminate defecation (Atu et al., 2006)
The prevalence of intestinal helminth parasites by sex in this study showed that more
males were infected than their female counterparts (Table 3). This agrees with the findings of
Okon and Oku (2001); Luka et al (2000). The higher prevalence associated with males may
be due to the fact that they more often engage in activities such as playing in the field thereby
having contact with the soil. They also engage in rearing domestic animals which may
predispose them to infections. Females on the other hand engage in domestic chores which
expose them to intestinal helminth infections. However, the difference in the infection rate in
respect to sex was not significant. This finding implies an equal exposure in sexes.
The study showed that the age groups 3-5, 12-14, 9-11 years recorded high
prevalence rates of 75.4%, 72.2% and 57.3% respectively. This indicates a common pattern of
behaviour and susceptibility for the age groups. The high prevalence of faeco-orally
transmitted intestinal helminth (Ascaris lumbricoides and Trichuris trichiura) reported among
age groups in this study are closely related to their habits. These are generally the school age
subjects. Individuals in these age groups probably spend more time in water either washing or
playing. They are also more often in contact with the soil and eat indiscriminately with
unwashed hands. Lollies, food and snacks are freely purchased from hawkers and frequently
shared among their friends. Cabrera et al (1994); Etim et al, (2002); Oslen (2003) and Ibidapo
and Okwa (2008) in conformity to this, noted that unclean hands played a vital role in the
transmission of ascariasis among children. Toddlers also recorded high positive rates for
intestinal helminth infections because of the dirty environment in which they play and
because contaminated hands were dipped into the mouth quite often. The prevalence of
infection was observed to be on the decrease in individuals aged 18-20 years of age. This may
be because children of this age are becoming more conscious of their personal hygiene and
hence are able to avoid as much as possible what would lead them to one being infected. Luka
et al, (2000); Ukpai and Ugwu (2003) observed a similar trend in Kaduna State and Abia
State respectively.
The global public health importance of hookworm disease, ascariasis, trichuriasis
and other intestinal helminth infection have been comprehensively reviewed (Ukpai and
Ugwu, 2003; Sarraya et al 1971). Hookworms are directly responsible for blood loss leading
to iron deficiency anaemia which may have profound effects on developmental increments in
children via its influence on micronutrients status (Viteri, 1994). Also anorexia is known to
accompany hookworm infection. Ascariasis is particularly common in children and is
associated with malnutrition (Sam-Wobo et al 2004) affecting the health and growth of
infected children.
In this study, the prevalence of intestinal helminth infections in relation to socio
economic factors was also investigated. Improper disposal (bush) of human waste was
positively associated with intestinal helminth infection. This has been previously reported in
different parts of Nigeria (Adeyeba and Essiet, 2001, Ozumba and Ozumba 2002, Ukpai and
Ugwu 2003). In this study, a comparison of the toilet systems used by the sample population
showed that those who defecate in bush (66.2%) had the highest prevalence of the infection
followed by those who defecate in pit latrine (65.4%), the least was observed among those
who use water closet (28.9%). The low prevalence of infection among those who use water
closet could be that some individuals who have water closet system sometimes prefer to
defecate in bushes and farmland around their houses. This reaffirms the fact that parasitic
disease transmission is promoted by poor environmental sanitation which includes
indiscriminate defecating and poor personal hygiene.
With respect to water sources used for drinking and other needs, respondents make
use of streams, borehole water and well water only. None of the communities studied had
access to tap water. Infection rate was found to be highest among those who use local stream
(72.1%) while the least was observed among those who use borehole (26.7%). The reason for
this was not far-fetched these local streams in most cases are not protected and are subject to
contamination by cysts and ova of parasite agents. The seeming high rate of infection
observed among individuals who use borehole water is similar to the findings of Luka et al.
(2000). It is possible that those who use borehole water also make use of local streams as
children are fond of playing or swimming in it and possibly drink water from such streams.
Other possible sources of contamination may be through unwashed contaminated hands of
children after playing with soil. They in the process of fetching water contaminate the water
containers, mouth or nozzle handle of borehole and the water itself.
The high infection rate observed among individuals whose parents are artisans
(65.1%) and farmers (63.7% could also be attributed to poor personal hygiene and poverty.
Inhabitants of the study communities were mainly farmers and many of them have their farms
located 2-3 km away from their homes. Their children are usually left unattended after school
to play around and eat whatever comes their way. Unlike the traders whose shops are located
within local market square their children usually join them after school to assist in the shop,
thereby restricting their movement. The low infection rate (26.7%) observed among teachers
and health workers (45.0%) could be attributed to their high level of exposure and scholastic
attainment their parents. This is similar to the findings of Ukpai and Ugwu (2003).
An individual’s level of education has been recognized as one of the most important
risk factor for intestinal parasitism (Toma et al., 1999; Phiri et al., 2000). In this study, the
highest prevalence of intestinal helminth infections was observed among individual whose
parents are without formal education (68.0%) followed by those with primary education
(64.1%) while the least prevalence was observed among those with tertiary education
(38.5%). This implies that as the level of education increases the likelihood of intestinal
helminth infection declines significantly. This is because through health education in schools,
individuals are taught risk factors.
The findings of this study confirm household crowding a significant determinant in
intestinal helminth parasitism. In this study, households with more than five members harbor
more infection rate (79.1%) than households with less than five members (37.9%). Previous
studies (Atu et al., 2006 Oyerinde et al 1980) on intestinal parasitism in institutionalized
centers such as orphanages, crèches, Primary schools have similarly confirmed overcrowding
an important factor in disease transmission.
In this study, association between walking barefooted while outdoors and a higher
prevalence of helminth infection was observed. Individuals in the study communities who do
not wear footwear had the highest prevalence (81.8%) of infection followed by those that
sometimes wear footwear (72.2%). This could be attributed to the high level of poverty
observed among the inhabitants as some could not afford to buy footwear. It could also be
traced to the fact that the environment was seeded with many parasitic eggs and cysts. Nock et
al (2003) made similar observations and conclusion in Ilorin, Kwara State of Nigeria.
Furthermore the presence of eggs in soil could facilitate their dissemination both far and wide.
It was also observed that children and young adults in these communities walk barefooted
while shepherding their animals. They also with their animals co-mingle with people at water
points and within the environment.
The study reports a significantly higher infection rate among those who never wash
their hands after defecating (64.6%) than those who regularly do so (59.5%). The nonwashing of hands was attributed to ignorance and lack of water. Hand washing as a good
hygiene practice especially after toilet would eliminate any potential pathogen that would
have been picked up and by so doing, would go a long in preventing further of transmission of
intestinal parasitic infections (Nock et al., 2003).
The study revealed that those who never wash their fruits and vegetables were
significantly highly infected (65.0%) than those who regularly (54.2%) do so before
consumption (p<0.05). Unfortunately the hygienic nature of these fruits and vegetables is
questionable both from their source of growth where human and animal excreta is largely
employed as manure and to the point of consumption. In confirmation to this, several authors
have reported passive transmission of enteric pathogens and parasite ova by fruits and
vegetable (Umoh et al., 2001; Eneanya and Njom, 2003).
Acknowledgements
We would like to thank the Education Secretary, Nnewi South Local Government
Education Area. We also wish to express our profound appreciation to the management and
staff of Anambra State Ministry of Health, the Director, Primary Health Care Disease
Control.We are grateful to laboratories which kindly provided the reagents needed for the
study. Special thanks to the anonymous referee for their helpful suggestions related to the
manuscript.
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Biography
Professor Obioma nwaorgu is an accomplished, internationally trained scientist specializing in
public health parasitology and Entomolgy. She holds a B.Sc.degree in Zoology with speciality
in Parasitology from the University of Nigeria, Nsukka, (1973), a Ph.D in Parasitology from
the University of Cambridge, U.K (1978). She holds certificates in Epidemiological Methods
(1983); Negotiating Skills (2002), Participatory Development (2003). Organizational
Mornitoring and Evaluation (2003), Organizational Development approach to capacity
building (2004) and Morntoring and Evaluation of Social change (2005) among others. She is
a takemi Fellow of the Department of International Health, Havard School of Public Health,
Boston USA (1994-1995); A Global Health Leadership Fellows, Roll Back Malaria (RBM)
World Health Organization, Geneva Switzerland (1999-2001); a British Council Strategic
Leader (2009). She is the Executive Director and Founder of a non-governmental
organization, GHARF (1996-date) and she has a wide consultative experience.
Dr Miriam O. Iwueze is a senior lecturer at the Department of Parasitology and Entomology,
Nnamdi Azikiwe University, Awka, Anambra State, Nigeria. She holds a B.Sc. degree in
Parasitology and Entomology (1998), a Masters degree in Public Health Parasitology (2001),
a Ph.D in Public Health Parasitology all from Nnamdi Azikiwe University, Awka. Dr Iwueze
is actively involved in undergraduate and postgraduate teaching and research. She has to her
credit books, numerous monographs and conference papers and over 40 published research
articles.
Professor Fabian C. Okafor is a professor of Zoology and former Dean, Faculty of
Biosciences at University of Nigeria, Nsukka, Enugu State, Nigeria. Professor Okafor
rendered invited services to several other universities, academies and professional
associations, government agencies, referred journals and conferences, and private sector
organizations.
Assessing the Effect of E-Commerce Intelligent Bots on
Online Consumers’ Post-adoption Behavior for Future
Use
Masoud Shahmanzari,a Sevgi Ozkanb
a
Department of Informatics, Middle East Technical University, Ankara, 06800 , Turkey
[email protected]
b
Department of Informatics, Middle East Technical University, Ankara, 06800 , Turkey
[email protected]
Abstract. Having conducted many investigations on initial acceptance of information systems
using intelligent bots by researchers recently, this study would rather research the postadoption behavior of online consumers in the online service field. Researchers understand that
acquiring a new consumer for a specific service costs five times more than retaining existing
consumer. Intelligent bots are intelligent and automated software which assist customers to
make the best decision by providing high quality suggestions for them. Using online
consumer behavior tracking or acquire information from them, intelligent bots provide the
most interesting products to consumers. Implementing intelligent bots increases sales of
online retailer as well as their consumers’ loyalty. The main goal of this study is to evaluate
the influence of e-commerce intelligent bots on consumer’s post adoption behavior to use of
service in future.
Keywords: IS Continuance, Post-adoption behavior, ECM-IT, Intelligent bots.
1 Introduction
E-commerce websites provide millions of online users through internet via a diversity of
chances to buy or sell product or service in addition exchange goods. Many portals
worldwide like Amazon.com, eBay.com, Alibaba.com, Itunes.com and etc. are the popular
instances of e-commerce websites. No need to say, those websites required to be initially
accepted by online users in order to develop their business; however, the principal
determinant of success of e-commerce websites is the continuance intention of users
toward using that service. Regarding world sat, number of internet users has been increased
more than five times in last 10 years. As a result, e-commerce websites’ owners realized the
value of potential customers over internet and started to attract more and more consumers
to their websites. In today’s hectic business environment, for online e-commerce businesses
attracting new consumers to their websites is not a competitive advantage any longer;
however, it is a substantial factor of successfulness and success which should follow
customer’s loyalty afterward. This opportunity is more valuable for those e-commerce
portals and online retailers which their target customers mostly located in Asia.
Generally, when a consumer feels he or she benefits from using a portal or purchasing a
product, he/she will find usage of that service easy, then customer loyalty associated with
his/her usage or purchase experience with portal. One of the best methods for maximizing
consumer benefits includes proposing a lot of system features like recommendations with
high quality. Using a service which could provide high quality recommendations for
consumers could increase user satisfaction. That’s called “intelligent bot”. Intelligent bots are
intelligent, sophisticated and automated software which assist customers to make an ideal
decision by providing high quality suggestions for them. Using online consumer behavior
tracking or obtaining information from them, they provide the most interesting products to
customers, intelligent bots do (Jannach et. al, 2011). Using intelligent techniques and
methods, intelligent bots try to attract user’s attention to given product or service. Also by
implementing an intelligent bot, sales of e-commerce portal is increased via helping
consumers to find the product that meet their needs and match their criteria.
2 LITERATURE REVIEW
Underestimating the importance of users’ continuance intention of a service is not logical.
Have e-business’ owners realized the value of continuance intention they would have
focused on this point much more meticulously. Viability of every online business in long term
depends on its users’ intention to reuse that service (Bhattacherjee, 2001). Initial adoption
of a service is essential to its success; however, continual use of an IS is more important
rather than initial adoption of it. Initial adoption does not guarantee continued usage.
Models like UTAUT, TAM, TPB, and TRA cannot explain post adoption of usage since their
primary focus is on initial acceptance. One of the most crucial theories of marketing that
could forecast and explicate consumers’ satisfaction with product is expectation
disconfirmation theory (Patterson et al. 1997). Based on ECM, the following variables affect
the user intention to continue using a service: Level of satisfaction, perceived usefulness that
represents the expectation of post-adoption stage and confirmation of user’s initial
expectation.
There is a five-step process that explains users’ behavior from expectation to repurchase
intention (Bhattacherjee, 2001a). Firstly, prior to purchase of product or usage of service,
consumers form an initial expectation. Secondly, after initial adoption, they use the service
or product. During the initial consumption period, its performance perception was formed
by them. Thirdly, a comparison between perceptions of user for performance and their
initial expectation is made by consumers. In this level, the extent to which user’s initial
expectations are confirmed is determined. Perceived performance can be exceeds
expectations that means expectations are positively disconfirmed or can be lessen than
expectations that means initial expectations are negatively disconfirmed, or can be equal
with initial expectations which shows that expectations confirmed. Fourthly, satisfaction
feeling or dissatisfaction has been formed by consumers based on level of their
disconfirmation. Finally, the intention to reuse of service was formed by users whom
satisfied. Dissatisfied users discontinue reuse or repurchase of item. Based on ECT, users
intention to continue using a service or repurchase an item determined by the their
satisfaction level (Anderson and Sullivan, 199).
Previously, Technology Acceptance Model (TAM) has been played a prosperous role in
predicting of IS acceptance (Venkatesh et al., 2000). By emersion of new technologies in IT,
researchers cannot explain reason of some users’ discontinuing from using specific service
while they’ve initially adopted. This contrast is referable to prior studies which consider
continuance intention as extended version of initial behavior (Karahanna et al. 1999). Putting
important differences between repurchasing and initial acceptance in IS literature into
consideration, Bhattacherjee suggested Expectation Confirmation Model of IT usage (ECMIT) and examined it empirically. IS continuance model brings up decision of users to continue
service similar to users’ decision to repurchase an item. So, ECM-IT predicts users’ intention
to continue using IS with following antecedent constructs: users’ satisfaction with IS, the
extent of user confirmation and perceived usefulness. Although IS continuance inherits its
main structure from ECM, there are some significant differences between them.
Firstly, in IS continuance model, perceived usefulness shows post-adoption expectation. This
selection goes back to expectation’s definition (G.A. Churchill Jr. et al., 1982). Regarding this
definition, ECM-IT considers perceived usefulness as the measure of expectation. Secondly,
the main focus of IS continuance model is on post-adoption expectation. The user’s
expectation in expectancy-confirmation paradigm was pre-purchase expectation. The prepurchase expectation’s role is extended as a reference’s frame that determines level of
disconfirmation as well as satisfaction (post-purchase stage). Thirdly, perceived performance
was removed in ECM-IT. IS continuance model hypothesized that perceived performance’s
effect is attained by confirmation already (A. Bhattacherjee, 2001). In addition Y. Yi cleared
that confirmation factor mediated exclusion of perceived performance from ECM-IT (Y. Yi,
1990).
Also in intelligent bots’ literature, there are many of studies that try to make intelligent bots
effective and efficient but like other studies many of them have general crucial restrictions.
In fact, these intelligent bots should be used as marketing tool but they used like practical
sales one. In intelligent bots’ literature in e-commerce context, six websites as online store
examined using different intelligent bots techniques in order to increase return of
investment (Schafer et al., 1999). The degree of automation, to the extent which consumer
effort required by intelligent bots to generate recommendation, and insistence degree, the
measurement of whether recommendations are generated by users’ current session or
current session with it history were classified. Some other studies, focused on initial
adoption of IS by intelligent bots and analyzed the effect of intelligent bots on acceptance of
technology. Also the primary relation which analyzed by investigators is relation of
intelligent bot’s use and other factors of decision making process like product searching
time, quality of decision, duration of decision, decision effort, effectiveness of product
promotion and search of product. Decision Quality for online customers is one of the main
determinants that intelligent bots’ use tries to impact on it. After analyze of online
purchasing, decision quality refers to objective or subjective quality of user’s buying decision
(Xiao et al., 2007).
2 THEORETICAL FRAMEWORK
What this study tries to investigate is which factors impact online consumers’ intention to
reuse information system in their next shopping over internet. In order to find these factors
prior conceptual and empirical research in intelligent bots has been reviewed. Also, an IS
continuance model is also utilized in developing the conceptual model. A suggested model is
presented in Figure 1.
Figure. 1. Conceptual Model
Hypothesis 1: Use of intelligent bot is positively related to decision quality of user. Intelligent
bots increase users’ decision quality by increasing the non-dominated products in alternative
subset (Haubl et al., 2000). Also, the number of users who are eager to change their opinion
and purchase another item when system recommended a chance to change product is less by
utilizing intelligent bots than not utilizing intelligent bots (Haubl et al., 2000). Intelligent bot
helped users made better final decision than non-intelligent bots users (Hostler et al., 2005).
Hypothesis 2: User’s Decision quality is positively related to satisfaction with intelligent bots.
Satisfaction in this filed refers to satisfaction of user with intelligent bot’s performance as an
saving tool of effort, decision-making process of users helped by such system and quality of
decision of the consumer as a result of intelligent bots effectiveness. In this research, factor
predicted to has effect on satisfaction is decision quality of the user. Huffman & Hochster
(2007) analyzed whether there is any relation between relationship of the results returned by
system and user overall satisfaction. Study results have illustrated that there is strong
relationship between relevance of results and user satisfaction. Also Johnson et al. (2003)
found important correlation between effectiveness of system and user satisfaction. Consumers
that are recommended products which match their preferences more accurately will make a
better decision by selecting the more appropriate alternative and their level of overall
satisfaction will increase as a result of their perceived decision quality.
Hypothesis 3: Users satisfaction level with the website is positively related to continuance
intention of user.
Continuance intention of user refers to intention of user to continue using intelligent bots in
their future shopping activities. Although initial acceptance of Information System is a
significant factor in realizing its success, long-term success is not determined with initial
usage but long-term continued use (Bhattacherjee, 2001). Among several determinants
satisfaction plays a significant role in loyalty of users and continuous use of services. In the
literature, it is possible to detect empirical studies illustrating the positive correlation between
satisfaction of user and loyalty to provider’s services (Helgesen, 2006).
2 RESEARCH METHODOLOGY
2.1 Experimental Design
In order to test the proposed model, data collection performed by surveying. Two ecommerce websites have been developed. The framework of implementation is ASP.NET.
ASP is a server-side web application. First portal has been integrated with intelligent bot. A
knowledge-based intelligent bot is selected for this website. On the other hand, second
portal was not integrated to intelligent bot and utilized just basic filtering. In order to
remove design effect on satisfaction of customer and their continuance intention, graphical
design of both websites are same. Participants are invited by phone calls to participate in
this survey. Additionally, posters are designed and installed in all of seventeen
representatives. One of the URLs, intelligent bot-assisted websites and not-assisted one, are
sent randomly to participants that accepted to participate in research. Before starting
experiment, participants informed about goals of study. In these portals, they should buy
just one truck part. All guidelines on using website have been cleared to them either by
posters or directions. Participants have been guided to input their chassis number to the
login page of website; they have been instructed to utilize their chassis number in
questionnaire too. Prior to survey, all customers bought spare parts from this website
without being helped by intelligent bots. Customer service website performed only routine
basic filtering to find desired product. Also regarding to transactions performed by
consumers in website after three months of implementation of website, it is hypothesized
that initial acceptance was done for users so the determinants like perceived ease of use and
perceived usefulness were overlooked in proposed conceptual model (Bhattacherjee 2001).
Before conducting survey with customers of Tosee Fannavarihaye Pishrafte Azarabadegan,
this study has permission to be conducted at office of customer service.
2.2 Experimental E-commerce Website
At doorway page of web site a brief instruction is given. Next in order, consumers were
instructed to enter their chassis number as well as their passwords and then select category
of spare parts which they are interested. Doorway page is same in both intelligent bot
assisted website and simple one. Then, customers guided to login to portal by clicking on
login button. In next page, consumers should follow some steps to complete their
purchasing in intelligent bot-assisted system. Customers can navigate to any step via using
site map. Participants are asked to answer six questions. The questions include guarantee
duration, usage type, condition, price range, installation and manufacturer.
The developed intelligent bot in this research is constraint-based that is one kind of
knowledge-based intelligent bot. Constraint-based intelligent bot generates
recommendations based on explicitly rules. In his book, Jannach et al. (2011) presented
constraint-based intelligent bot as a constraint satisfaction problem and can be solved in
form of conjunctive queries or by constraint solver. After gathering participants’ answers, it
starts to search among more than 3100 spare parts which are stored in database. Then,
system recommends the most up to standard item to customer. Database of both intelligent
bot-assisted website and not-assisted one are same. Items are divided into 15 categories
based on functionality like electric, suspension, chassis, gearbox, axles, cabin, steering,
regulators and etc.
In addition to collecting customers’ desired technical details for desired product, intelligent
bot-assisted website tries to ask easily-understandable questions from participants in order
to collect their requirements. Answers play a significant role in quality of suggestions.
Another e-commerce website does not utilize any type of intelligent bot. Menus, doorway,
whole design and etc. are as same as intelligent bot-assisted portal. This e-commerce
website’s functionality is like most similar e-commerce websites. Prior to this study, all
participants faced with this website without assist of intelligent system. They choose spare
parts by using item filtering functionality that allows them to enter technical details of
product they are interested in. The function of this website is just searching among database
of spare parts and retrieving products based on participant’s input. Consumer can sort found
products using item sorting functionality.
Such websites suppose consumers have product domain knowledge. Also they supposed
that customers expected to purchase appropriate product with the assist of product filtering
functionality. As discussed, not all consumers have knowledge of spare part; hence, those
consumers who use basic filtering systems finish up with completely wrong or inappropriate
item some times.
2.3 Sampling
This research has been conducted at Tosee Fannavarihaye Pishrafte Azarabadegan’s
customer service located in Tehran, Iran. For testing the measures of proposed model, a
pilot study has conducted. In addition, in order to check survey instruction’s
comprehensibility, reliability, correctness of survey wording, validity of results and efficiency
of statistical processes pilot survey has been conducted. 28 participants from company’s
customers participated in initial pilot survey. The return rate was 85 % (24 out of 28).The
study scales are translated from English to Persian. Based on feedbacks from participants in
pilot study, required modifications were made to questions and experiment procedure’s
instructions. Pilot survey’s Questionnaires consist of all measures involved in study were
distributed to consumers in Tehran and Tabriz based on availability via e-mail. All subjects
are notified about the voluntary nature of the involvement in the research, the aim and
research process. It is also guaranteed all of answers will be kept private. Participants are
given two weeks in order to complete questionnaire of pilot survey. Because of prerequisites
of sample size factorial validity couldn’t be evaluated at pilot study. In main survey, 320
customers of Tosee Fannavarihaye Pishrafte Azarabadegan participated after removing
outliers. The return rate was 90 % (289 out of 320). Treatment group consists of 153
participants and control group consists of 136 participants.
2.4 Variables Measurement
The measures employed in this study are derived from decision making process and IS
continuance literature then adapted into conceptual model. 15 items measures three
factors, namely: decision quality, overall satisfaction and continuance intention which are
extracted from Lerzan et al., 2011, Bhattacherjee, 2001b, Bhattacherjee, 2001b respectively.
3 DATA ANALYSIS
Regarding to the nature of this study, structural equation modeling (SEM) method was
selected for examining proposed model. SEM can incorporate prior knowledge to the
analysis for confirmatory aims and it could model abstract concepts as well as unobservable
constructs moreover by using SEM measurement errors can be applied in the model.
3.1 Results
The research data sample, after removing missing data and outliers, was composed of 289
customers of company from different cities of Iran. Study’s participants are divided into two
groups: treatment and control. There are 153 participant in intelligent bot-assisted group
and 136 participants in not -assisted group. Most of participants were at the age of 23 and
31 are in groups.
3.1 Data Cleaning
Since outliers used to have negative impacts in the data analysis result, the first step in was
removing the outliers. In statistics, an observation that is far away from residue of data
numerically called an outlier. As reported in Pallant (2007), outliers were checked by
boxplots.
In statistics, when participants fail in answering items of questionnaire or skip giving answer
to them, missing data is occurred. The number of missing values of survey scores was small
on each variable. Associated with missing values of each variable, percentage was less than
0.8 so there seems to be no problem to replace missing data with series mean value of data
(Tabachnick et al., 2007).
3.2 Homogeneity test
In this study two groups are involved: treatment group and control group. In order to find
any differences between groups on different areas, participants should answer a pretest
containing eight questions before starting the shopping process. The eight questions of
pretest items asked about computer knowledge level of customers, visiting any type of ecommerce websites frequency, frequency of shopping item from internet, use of internet
level, truck spare part knowledge level, frequency of using spare parts and etc. For testing
possible differences between treatment and control groups, Mann-Whitney U test is utilized.
Mann-Whitney U test is a non-parametric test so data have not been needed to follow
normal distribution.
Existence of one ordinal dependent variable, one dichotomous independent variable and
samples independency and equal variances between groups which are the prerequisites of
running the Mann-Whitney U are met. For testing equal variances between groups, Levene’s
test is used and the results illustrated equal variances between groups. Regarding to MannWhitney U test results, pretest item’s p value are more than 0.05 (Asymptotic Sig. is more
than 0.05). Subsequently, it could be claimed that no significance difference exists between
scores of control group and treatment group.
3.3 Hypothesis Testing
In order to present evidences that whether the factors of conceptual model were assessed
really, the (CFA) confirmatory factor analysis was conducted. First step was to being
confident about assumption which is related to descriptive statistics. Skewness and kurtosis
values indicate normal distribution of all observed variables. Additionally, based on negative
value of skewness values, it could be claimed that all distributions were skewed in same
direction. Then, as Tabachnick et al., (2007) illustrated it can be stated that linearity
assumption be met. Multivariate outliers checking were performed by the method of
Mahalanbios distance (Pallant, 2007). There is not any multivariate outlier in observed
variables. The outlier cases are excluded from data. For checking the multicollinearity
existence, correlations among variables should be tested. All correlations are significant and
none of them is high. So multicollinearity is not the case for observed variables. So the
confirmatory factor analysis assumptions are not violated.
Validity of convergent is examined for the measurement scales via using criteria suggested
by Fornell and Larcker. Firstly all indicator factor loadings must be significant (more than
0.7). Secondly, constructs reliabilities should be more than 0.80. Finally, every construct’s
average variance should be more than variance because of error of measurement. Based on
correlation matrix, all three conditions are met for convergent validity.
Every scale item was modeled as it considered latent construct’s reflective indicator. All
constructs were allowed to covary in CFA model. Maximum likelihood approach was used for
estimation of model, with the correlation matrix as input. The model illustrated above
resulted in no good fit between developed model and observed data (X2= 45.50, p = 0.00,
GFI= 0.91; AGFI= 0.81; RMSEA= 0,072; SRMR= 0.055). In conclusion, for verifying whether
intelligent bot usage impress three constructs, the CFA is performed. All constructs are
correlated.
The hypotheses of this study are tested collectively by using Structural Equation Modeling
method. Regarding to Bentler et al., (1980) Structural Equation Modeling approach was
especially appropriate for justified models theoretically examining like was the model in this
research.
Like in CFA every indicator is modeled in reflective way. All constructs are linked like
proposed model. The model estimation was done by maximum likelihood approach. The
goodness of fit of structural model is comparable with previous CFA results. Model χ2/df is
1.715 (χ2 = 115.79; df = 62), NNFI is 0.94, in addition CFI is 0.95. Based on these metrics,
there is enough fit between hypothesized model and observed data. Path significance of
hypothesized associations in this study and the R2 value via each path are tested too. Figure
2 illustrates significances of path and path coefficients. At p < 0.01, all paths hypothesized in
model are significant.
Figure. 2. Research Structural Model
3.3 Discussion and Conclusion
In the IS continuance literature, there are many studies which evaluate the continuance
intention of consumers toward using the system. Significant percent of these studies use a
simulated experimental website for examining proposed models. This study uses a real-life
website. That is to say, rather than asking customers to use the simulated information
systems, face them with a real-life portal. In real-life experiments, constructs of model could
be measured effectively. Especially in online shopping stores, online auctions and etc. results
of tests in simulated portals may be completely different from real-life portal since in later
one consumers should pay for product. This study evaluated the impact of knowledge-based
intelligent bot on online users’ post-adoption behavior. Results of statistical tests revealed a
positive relationship between intelligent bot usage and decision quality. In other word,
decision quality which is determined by the users’ confidence level in online purchasing is
increased in intelligent bot-assisted website. Participants who assisted by intelligent bot are
more confident in decision while shopping an item rather than non-intelligent bot website
users. Statistical tests represent that continuance intention of customers substantially
influenced by overall satisfaction level. These result also disclosed high tendency to continue
system in those participants who satisfied with operation of e-commerce website integrated
by intelligent bot.
Putting all above-mentioned items into consideration, the following conclusion could be
drawn about the influence of intelligent bots on continuance intention of customers. Using
intelligent bots increases the tendency of customers toward continues using service by
increasing decision quality, overall satisfaction and continuance intention.
References
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Masoud Shahmanzari is from Tabriz, Iran. He received a Bachelor of Science in Information
Technology Engineering from Tabriz University, Iran with First Class Honors in 2011. He has
received M.Sc. in Information Systems specialization in Management information systems
from Middle East Technical University, Turkey. Masoud is member of METU MBA association
and was director of this club for one year. Currently he is employed with Mercedes Benz
truck manufacturer representative in Iran. He is chief information officer of mentioned
company.
Currently, he is PhD candidate in Computer Engineering at Bogazici University which is most
reputable one in Turkey. His research interest includes design technological service process,
business model innovation, customer experience management and online consumers’ post
adoption behavior.
From Theory to Practice:
Changing Conceptions of Hegemony to Hegemony
Analysis in Environmental Governance
Le Bo
The University of Essex, Wivenhoe Park, Colchester, UK
[email protected]
Abstract. This paper illustrates the theoretical development of ‘hegemony’, which emerged
as a slogan during the Russian Social-Democratic movement from the late 1890s, then
informed by Antonio Gramsci’s theory, and later critically developed by Robert Cox from the
dimension of international relation, and reconceptualized by Ernesto Laclau and Chantal
Mouffe with discourse analysis, and recently broadened by David Levy to environmental
governance domain. Since environmental issue has been a new threat to hegemony, the
paper focuses on the practical perspective sensitive to the context of China, and discusses
changes of hegemony among government, corporation and non-governmental organization
(NGO) in the development of environmental governance in China. With the social contexts of
development in China after the establishment of the New China in 1949, based on a
timeline, it concludes that the feature of hegemony in the development of China’s
environmental governance has changed from highly prescriptive planning in the planned
economy period to government supervision in the market economy period, then towards
tripartite cooperation recently.
Keywords: Hegemony, environmental governance, China, state, business, NGO.
1 Introduction
The term ‘hegemony’ firstly emerged as a slogan during the Russian Social-Democratic
movement from the late 1890s to 1917 to describe leading force of the working class fighting
for democracy in the earlier Marxist theory (Anderson, 1976; Hoffman, 1984). Then Antonio
Gramsci’s conception of hegemony as not only a unison of economic and political aims but
also intellectual and moral unity, in which civil society stands between the economic structure
and the state, made the notion of hegemony as an explicit concept in Marxist social theory
(Gramsci, 1971; Adamson, 1980; Mouffe, 1979). In the early 1980, Robert Cox merged
mainstream international relation approaches with hegemony, which is related to the
emergence of neo-Gramscian perspective, although such a theoretical extension faced many
critiques (Cox, 1981 & 1983; Germain and Kenny, 1998; Bieler and Morton, 2004). Then
post-Marxists Ernesto Laclau and Chantal Mouffe incorporated a discourse analysis approach
to illustrate the new conception of hegemony as a form of social relation in which ideology is
fundamental, and developed the neo-Gramscian discourse theory to a new level (Laclau and
Mouffe, 2001; Boucher, 2008). In the past twenty years, with deepening of industrialization
globally, emergence of environmental pollution as a global problem and a crisis of
governance, has increasingly threatened the modern hegemony. David Levy introduced a neoGramscian theoretical approach to environmental governance, involving state agencies,
business and non-governmental organizations (NGOs) in contestation over structures and
process environmental governance (Levy, 2005 & 2008; Levy and Egan, 2003; Levy and
Newell, 2002 & 2005).
In terms of illustrations on theoretical development of the term hegemony, this paper
focuses on hegemony changing in the development of environmental governance in China
from the New China established in 1949 to now, within a neo-Gramscian frame. In the first
timeline stage, from the 1950s to 1980s, China has experienced a long period of planned
economy, in which the whole society was under highly prescriptive central planning with the
central guideline of extensive economic growth to maximize industrial outputs. Then after the
1978 Reform, China has gradually transformed to a market-oriented economy with intensive
economic growth, and relaxed party control over the economy, society and ultimately over
public discourse. In recent ten years, after the ‘Scientific Development Concept’ proposed by
the Hu Jintao government in 2003 in China, pursuing a balance between economic growth and
sustainable development become the new theme nowadays in China. During the past six
decades, the Chinese government, corporation and NGO have played different roles in the
development of China’s environmental governance system.
From theory to practice, this paper begins by developing the arguments for changing
conceptions of hegemony as well as theoretical development of neo-Gramscian approach,
bringing these perspectives together to discuss environmental problem as a new crisis of
governance or hegemonic relations among the state, the capital and civil society. Then this
paper carries out hegemony analysis on the changing power relations among the state,
business and NGO in environmental governance in China with a neo-Gramscian
consideration.
2 Theoretical evolution of a neo-gramscian perspective
of hegemony
2.1 Hegemony in earlier Marxist theory
The term hegemony, with a long prior history, emerged as one of the most important political
slogans within the Russian Social-Democratic movement from the late 1890s to 1917
(Anderson, 1976). During that period, hegemony, implied by Lenin, indicates working class
as a leading force in the fight for democracy (Hoffman, 1984). In political theory, the term
hegemony, first emerged in a Marxist context in the writings of Georgi Plekhanov (19571981), refers to the power of one state over others (Klimechi and Willmott, 2011).
Before Gramsci, the notion of hegemony had not been a key part as an explicit concept in
Marxist social theory. Marx’s writing The Eighteenth Brumaire of Louis Bonaparte in 1869
shows his notion of hegemony (Hall, 1980). Marx proposes that the state acts in a ‘totalitarian
way’ upon civil society, and distinguishes notions of the state and the civil society as ‘the
state enmeshes, controls, regulates, supervises and regiments civil society from the most allembracing expressions of its life down to its most insignificant motions, from its most general
modes of existence down to the private life of individuals’ (Marx, 1973, p. 186). With the
idea of the alienation of the state apparatus from the civil society, Marx treats the state as a
component of man’s self-estrangement along with labor, money, property and religion
(Bocock, 1986).
However, as stated by Carnoy (1984), compared with Marx’s deep analysis of political
economy, his theory of politics was implicit in his writings. Marx did not fully develop his
ideas about the state since he had planned to write a volume of Capital on the state but finally
never done, which is seen as a serious lacuna in Marxism (McLellan, 1971). As pointed out
by Lefebvre (1968), although Marx discussed a lot around the nature and role of the state, the
bourgeois state, and the transition state as the dictatorship of the proletariat, it is hard to find
out a complete and coherent theoretical system of the state in the Marx’s writings.
Lenin’s conception of the proletariat as hegemonic as the ‘ideological leader of the
democratic process’, as Buci-Glucksmann (1980, p. 177) points out, can be viewed as part of
the classical Marxist tradition, according to numerous comments in Marx and Engels’
political writings. The advance of Lenin’s notion of hegemony over previous discussions was
to address the role of theoretical leadership. Lenin viewed hegemony as the organised and
disciplined proletarian leadership of a broadly based movement, involving all classes and
strata in, with the vanguard party as a tribune of the people. After the 1917 Revolution, Lenin
wrote the book State and Revolution, and regarded the state as an instrument of class rule,
which is the ‘product and the manifestation of the irreconcilability of class antagonisms’
(Lenin, 1933, p. 12). The state arises when class antagonism cannot be reconciled. Lenin
hoped the state eventually withering away after the Russian Revolution, and revolutions
would spread in Europe. But the German revolution’s failure, the second ‘great Patriotic
War’, the rise of Nazism and then the Cold War maintained a strong state presence in the
Soviet Union (Bocock, 1986). Although the term of hegemony is seldom used during that
period, its theme was deeply embedded in earlier Marxist theory (Adamson, 1980).
2.2 Hegemony in Gramsci’s theory
The illustrations of hegemony in the Gramsci’s Prison Notebooks introduce new vision to the
traditional Marxist perspectives of hegemony. The advance which Gramsci made over Lenin
was to develop a strategy for Western European societies, since Gramsci made a distinction
between ‘a war of movement’ in Russia and ‘a war of position’ that was feasible and
applicable in Western Europe (Bocock, 1986, p. 27). Based on a direct assault on the state, ‘a
war of position’ aims to achieve hegemony for the proletariat in civil society before the
capture of state power by the Communist Party. Gramsci described how modern capitalist
societies were organised in the past and present, and extended the concept of hegemony from
the proletariat to the bourgeoisie as a feature of class rule in general (Anderson, 1976; BuciGlucksmann, 1980; Simon, 1982; Hoffman, 1984; Carnoy, 1984).
In the reproduction of social relations, as pointed out by Adamson (1980), the classical
Marxism failed to pay sufficient attention to noneconomic factors like ideology and culture.
Marx and Engels treated ideology narrowly as a belief system rather than being sensitive to its
cultural manifestations. Gramsci’s theory, with the new conception of hegemony, can surpass
classical Marxism in the wide variety of cultural manifestations where ideology appears and
in the idealistic concern with culture as well as in the complex interconnections between
culture and politics. For Gramsci, the real power of ruling system does not lie in the violence
of the ruling class or the coercive power of the state apparatus, but in the civil society’s
acceptance of the ruling class’ worldview (Carnoy, 1984). Hegemony in Gramsci, as
‘intellectual and moral leadership whose principal constituting elements are consent and
persuasion’ (Fontana, 1993, p.140), is at the heart of Gramsci’s conceptions of the
intellectual, the party and the formation of a historical bloc through which an ascendant class
roots its political leadership in the realm of production (Hoffman, 1984).
As Gramsci states, ‘between the economic structure and the state, with its legislation and
coercion, stands civil society’ (Gramsci, 1971, p. 208). The term ‘economic’ refers to the
dominant mode of production in a territory at a particular moment, which consists of the
technical means of production and the social relations of production. The state connotes the
means of violence in a given territory with state-funded bureaucracies together. The civil
society refers to the other organizations supported and run by people outside of the other two
major spheres, rather than part of the processes of material production in the economy, or part
of state-funded organisations (Bocock, 1986). According to Adamson (1980), Gramsci
conceptualised the state as political society and civil society rather than as the equivalent of
political society. Gramsci characterizes the state as hegemony, close to the question of
consent, ‘protected by the armour of coercion’ (Gramsci, 1971, p. 263). More than most
previous Marxists, that legitimate consent was regarded as the predominant means of political
control in Gramsci (Adamson, 1980).
However, there is still some confusion about hegemony in Gramsci’s theory. On one hand,
Gramsci seems to try to distinguish the state from the civil society, and identifies the state as
the source of coercive power while the civil society as the field site of hegemonic leadership
within a society (Bocock, 1986). On the other hand, Gramsci tries to integrate the two
concepts of state and civil society together to understand the ‘integral state’: political society
plus civil society as the combination of hegemony (Gramsci, 1971). As conceptualised by
Gramsci, the integral state involves not only the means of coercion such as police force and
army, but the means of establishing hegemonic leadership in civil society as well.
2.3 Cox’s critical view of hegemony
In the 1980s, situated within a historical materialist problematic of social transformation, and
deploying many of the insights of the Italian Marxist Antonio Gramsci, a crucial break
emerged in the work of Robert Cox from mainstream international relation approaches to
hegemony, related neo-Gramscian perspective emerged (Bieler and Morton, 2004). By
rethinking the concepts of civil society, hegemony and historic blog in Gramsci, Cox further
illustrated a critical theory of hegemony, world order and historical change to question the
prevailing order of the world in his two papers in 1981 and 1983. Cox broadens the domain of
hegemony from a neo-Gramscian perspective and regards that the conception of hegemony as
‘a fit between power, ideas and institutions’ makes it possible to solve some problems in the
arguments that state dominance is necessary for a stable international order (Cox, 1981).
In the Cox’s conception of hegemony, it refers to ‘a form of dominance’, but appears more
as an expression of broadly based consent so that ‘dominance by a powerful state may be a
necessary but not a sufficient condition of hegemony’ (Cox, 1981, p. 139). By means of the
analysis of historical structure, Cox (1981) illustrates the notions of civil society and the state
as well as the world order with the consideration of three elements: ideas as intersubjective
meanings as well as collective images of world order; material capabilities as accumulated
resources; and institutions as means of stabilizing a particular order, which are seen as
amalgams of the previous two elements. Historically, hegemonies founded by powerful states
have undergone a complete social and economic revolution. World hegemony is thus
described as combination of ‘a social structure, an economic structure, and a political
structure’, and expressed in universal norms, institutions and mechanisms (Cox, 1983, p.
172).
However, neo-Gramscian approaches in Cox’s extensions of hegemony in Gramsci to
international relations studies are criticized as too unfashionably Marxist in Marxist rigour
and as being lack of historical materialist rigour in neo-Gramscian framework (Bieler and
Morton, 2004). Germain and Kenny (1998) point out that there are seldom attempts to explore
the nature of Gramsci’s work and engage with it in the methodological coherence of the CoxGramsci theory. At least three steps should be identified initially, since critical engagements
with Gramsci’s approaches are long overdue: first, acknowledging the interpretive difficulties
surrounding both the appropriation and application of Gramsci’s work; second, questioning
how far Gramsci’s concepts can be suitable for the international domain use and world order
today; third, building up a more critical engagement with Gramsci’s method. Cox regards the
world hegemony as an external-expansion activity led by a dominant social class with
confirmed domestic hegemony. Drainville (1994) criticizes the over-estimation of the
hegemony of transnational capital within world order by neo-Gramscian perspectives.
According to Burnham (1991), the neo-Gramscian hegemony developed by Cox, fails to
identify the core aspect of the capital relation, which is pre-occupied with the articulation of
ideology. Thus, Cox’s criticisms of Gramsci’s hegemony finally move to ‘a slide towards an
idealist account of the determination of economic policy’ (Burnham, 1991, p. 81).
2.4 Hegemony in Laclau and Mouffe’s discourse theory
Post-Marxists Ernesto Laclau and Chantal Mouffe employed discourse analysis to reconceptualize the notion of hegemony in Gramsci, and developed the neo-Gramscian
discourse theory to a new level. In the early work of Laclau and Mouffe, they integrated
Gramsci’s conceptions of particular historical events and contemporary post-structuralism,
and addressed the importance of non-class ideology and the popular democracy. For example,
as early as 1977, in Laclau’s Politics and Ideology in Marxist Theory, the conflicts between
the working class and certain sectors of the bourgeoisie stem from politics and ideology,
rather than the dominant level of production relations, which should not belong to ‘class
struggle’, but ‘classes in struggle’ (Laclau, 1977). The popular-democratic interpellation, as
the ‘domain of ideological class struggle par excellence’, is more important in the whole
ideological structure (Laclau, 1977, p. 109). In Hegemony and Ideology in Gramsci, Mouffe
(1979) pointed out that politic power can be viewed as inter-class collective ideology through
ideological struggle. Democracy, as a necessity of a bourgeois ideology, and in the young
Marx, ‘as the terrain of a permanent revolution begun by the bourgeoisie but concluded by the
proletariat’ became a class ideology (Mouffe, 1979, p. 174). However, Laclau and Mouffe, in
their earlier writings, still regarded politics and economics significant to ideological struggles
with thought of economics inevitably determining class politics eventually (Bieler and
Morton, 2004; Boucher, 2008).
The neo-Gramscian theory, greatly developed by Laclau and Mouffe in the later 1985’s
book Hegemony and Socialist Strategy: Towards a Radical Democratic Politics, directs
attention to new interpretations and notions of hegemony, intellectual and moral leadership,
war of position, historical bloc, and collective will by means of post-Marxian discourse
theory. Laclau and Mouffe develop a post-Marxist analysis of hegemony, and view hegemony
as a form of social relation, in which different kinds of social forces hang together to create a
social ideology (Laclau and Mouffe, 2001). For Laclau and Mouffe’s Gramscian perspective,
by introducing discourse analysis, hegemony acts as a condition of possibility for ideology,
politics, economics and civil society, which is politically constructed and contingent.
2.5 Environment as new threat to hegemony in Levy’s neo-Gramscian
theory
Since the emergence of environment as a global problem and environmental problems as a
crisis of governance, especially after the 1980s, environmental governance issues have been a
profound political process, and non-state actors, business and civil society, as significant
political struggle over complex social and political systems, have been crucial parts within a
neo-Gramscian framework for environmental governance (Levy and Newell, 2002; Levy and
Egan, 2003; Levy and Newell, 2005). Gramsci's theory of hegemony presents his conception
of the capitalist state, which is divided between ‘political society’ as the arena of political
institutions and 'civil society' as the private or non-state sectors, providing ‘a conceptual
linkage between corporate strategy and international relations in constructing a political
economy of international environmental governance (Levy and Newell, 2005, p. 48).
The neo-Gramscian approach provides a perspective which is theoretically grounded, as
Levy and Egan (2003) points out, reflecting discursive and organisational dimensions of
power within complex social systems. Gramsci’s hegemony in contemporary international
relations, as concluded by Levy and Newell, is still meaningful in illustrating the particular
discursive relations which integrate a network of actors.
The neo-Gramscian conception of hegemony rebuilt by David Levy provides a basis for a
more critical approach to corporate strategy for sustaining corporate dominance and
legitimacy in the face of global environmental challenges. Corporate activities, dominating
each step of the value chain, can serve as ‘powerful engines of change toward addressing
environmental concerns’ (Levy and Newell, 2005, p. 1). Corporations develop strategies to
improve market and technological positioning, sustain social legitimacy and influence
government policy in international environmental politics.
The neo-Gramscian perspective of hegemony also provides a flexible approach to
understand the increasingly crucial role of civil society in establishing legitimacy and building
alliance as one of the significant political struggles facing to ever more serious global
environmental issues and relatively passive corporate strategies (Levy and Egan, 2003).
Gramsci’s notion of civil society retains its validity if emergent international NGOs play a
dual role as ‘semi-autonomous arenas of cultural and ideological struggle’ and as ‘key allies
in securing hegemonic stability’ (Levy and Newell, 2005, p. 54). According to Evans (2012),
sustainable development addresses the normative idea which citizens have the ability to
impact how the places where they live are managed, stressing local action and community
inclusion. There will be no sustainability without a potential for civil society to take control
(Irwin, 1995).
In short, as environmental problems being a new threat to hegemony, a neo-Gramscian
perspective of hegemony incorporates non-state actors such as business and NGO into
governance system, and values their increasingly important roles in environmental
governance.
3 hEGEMONY IN cHINA’S ENVIRONMENTAL
GOVERNANCE
3.1 Hegemony under the context of planned economy
From the 1950s to the early 1990s, China, following the soviet-style approach to the
economic system, had experienced a long period of ‘planned economy’. As a relatively
backward country in the world in the 1950s, China adopted such a wholly government-led
development model to promote the progress of industrialisation. Such a centrally planned
economy initiated and guided the process of industrialisation in China for about thirty years.
During the first five years in that period, the Chinese Communists had carried out a ‘socialist
transformation’, transforming the ‘neo-democratic economy’, in which planning and market
coexist, to the ‘public-ownership economy’, in which planning and administrative control
dominated the market (Wu, 2003). This five-year reform in China transformed nearly all
private enterprises to the joint state-and-private ownership business, and then gradually
nationalized their means of production thoroughly. During this period, there was no NGO
allowed for surviving, not to mention the involvement of civil society in governance, even
large state-owned enterprises (SOEs) rarely had management power in their corporate
governance. The main feature of planned economy was the highly prescriptive plan from the
central state, which controlled the business sector in China, determining numbers, varieties
and prices of products, employment and wage levels, investment directions, proportions of
consumption and investment, etc., and arranged free medical treatment, education and
housing for the whole Chinese society.
Adopting such an economic system had deeply historical, political and social roots. At the
beginning of the second half of the 20th century, China had just ended the long war period
and achieved a truly national independence with the establishment of a strong government
‘the Central People’s Government of the People’s Republic of China’. The establishment of
the New China in 1949 marked the end of a ‘100-year history of semi-colonial, semi-feudal
society’ in the Old China. At that time, due to the outbreak of the Korean War, China’s
national security was still threatened. In addition, China had relatively lower level of
industrial development with the huge number of population, and faced serious market failure
with scant agricultural surplus and tight supply and demand. Due to very limited funds and
technical staff, dispersed local governments and private investments were hard to expand
production scale and improve technical level (Wu, 2003). Under governance of the powerful
but new government in China, pursuing for maintaining national security, establishing
independent industrial system and promoting economic growth, it is natural for China to
choose a government-led development model, and take the road of a planned economy.
Although it seems reasonable for China to take the road of planned economy in order to
heal the wounds of war and recover the national economy, over time, such an outdated
economic system appeared many problems, especially on environmental governance. During
that period, the development of heavy industries in China had been put at the primary position
in the process of national development, with the guiding principle of maximising outputs in
order to ‘surpass the UK and the US’ in industrial outputs. Under the central guideline of
realising industrialization rapidly at any cost in China, the central state required different
levels of local governments in China to clean up all the environmental messes for the SOEs,
and SOEs were merely committed to maximizing economic outputs without any
environmental concerns. As a result, environment had become the biggest victim of such an
extensive economic growth mode.
With the only goal of transiting China from an agricultural country to an industrial
country, and from a neo-democratic country to a socialist country, the central state manifested
its intellectual and moral hegemony through centrally prescriptive plans on constructing a
socialist society, developing national economy and improving people’s living standards. The
class consciousness of the subordinate groups in China during that period, with the only faith
‘without the Communist Party, there would be no New China’, had fully obeyed the consent
of the present ruling class, and fully followed both economic and moral ways developed by
the dominant group – the Communist Party of China (CPC). However, environmental
governance, without too many influences on maintaining hegemonic stability among the state,
business and the public and promoting economic growth in the planned economy, had been
ignored by the CPC. Thus under the predominant influence of the new but powerful central
state in China, without the direct and clear central planning on sustainable development, both
SOEs and local governments were difficult to be involved into environmental governance
during the planned economy.
3.2 Hegemony under the context of market economy
After thirty-year central planning, China had still remained a poor country (Dong, 2003). Due
to economy’s disappointing growth in the past twenty years, beginning in 1978, the Chinese
Communists began to implement a series of far-reaching economic reforms, transforming the
economic system gradually towards a ‘market economy’, in which non-state enterprises were
allowed to survive and compete with SOEs in the Chinese market (McMillan and Naughton,
1992; Nolan and Ash, 1995; Wang, 1994). Tenev and Zhang (2002) divided the marketoriented reform process since 1978 into two periods: first, from 1979 to 1992, by
reintroducing markets and incentives within the domain of direct state ownership and control,
market forces began to work together with central administrative plans via a dual pricing
system; second, from 1993 to the early 2000s, this period had been featured with significant
large-scale changes in corporate reforms for SOEs.
Within such a corporatization and ownership diversification process, corporate managers
in China were given ‘broad authority to use and dispose of the property entrusted to them by
the state for management and business purposes’ (Broadman, 1995, p. 26-27). Government
has changed its role from a manager to a supervisor, being responsible for guiding and
requiring the business sector to transfer the traditional extensive development model to the
modern model of intensive and sustainable growth. By decentralizing the management power
to the corporate level, government macro control took place of originally direct intervention
on corporate decision-makings. At the same time, with a relaxation of Party control over the
economy, society and ultimately over public discourse, grassroots NGOs have been tolerated
to survive in such a state-dominated society, which can help to fulfil some social
responsibilities from the grassroots perspective that government cannot do well.
With economic development in China, ever more environmental issues, such as climate
change, air pollution, water scarcity, forest degradation, soil and land deterioration, and
biodiversity destruction, have been emerging in China. Towards a market-oriented economy
with incorporating market mechanisms in the Chinese economic structure, environmental
governance has been paid ever more attentions by the central state, and requirement of
sustainable development for the Chinese business sector has been put on the agenda of the
central state. The main feature of environmental governance in China should be keeping pace
with the rapid development of national economy as well as the rapid expansion of population.
In 1995, the Fifth Plenary Session of the 14th Central Committee of the CPC issued the
‘Ninth Five-Year Plan for the National Economy and Social Development’, specially
strengthening the transition from the extensive economic growth model to the intensive
growth model. The 1997’s 15th National Congress of the CPC identified sustainable
development strategy as one of the core strategies for the socialist modernisation, and
strengthened the significance of protecting natural resources and environment (Li, 2008).
With emergence of environment as a global problem, the traditional centralised commandand-control model has no longer worked well because of multiple non-point source polluters
(Evans, 2012). Thus, there has been a shift from government to governance in the
development of environmental governance system, in which corporation and NGOs play more
active roles to deal with environmental issues. Corporations, dominating each stage of the
supply chain, are engaged directly in the process of resource depletion, energy reservation,
and waste emission, and play a key role in environmental governance for negotiating and
implementing environmental policies at the national and international level (Levy and Newell,
2005). After corporate reforms in the 1990s, both SOEs and private corporations in China
have been required to enhance their environmental performance and green competitiveness,
not only reacting to regulatory pressure from the different levels of governments, but also
responding to market pressure from investors and customers, as well as social pressure from
NGOs and the public.
Since the early 1990s, grassroots green NGOs have emerged in China and gradually
played an irreplaceable role in facilitating collective action and balancing power between
government and business within the modern environmental governance system. As Gramsci
(1971) points out, civil society stands between the state and the economic structure with its
legislation and coercion. However, different from NGOs in the western countries, in the
Chinese state-dominated society, any green grassroots candidate want to register as a legal
green NGO, it is compulsory to find a government institution to be as its head of supervision.
Then with its sponsor’s approval, the departments of civil affair in local governments would
decide if an applicant can be registered as a social organization in China. Under such a ‘dual
administration system’, green NGOs need to strictly follow government regulations to carry
out their activities and thus their potentials are hard to be realised to the largest extent. Spires
(2011) proposes a model of ‘contingent symbiosis’ to describe the relationship between
government and NGO in China, which are mutual exploitations and mutual suspicious. On the
one hand, the Chinese governments have realised that NGOs can provide some social services
from grassroots perspective that government cannot do well; on the other hand, the fear and
suspicion that some NGOs’ activities may challenge government policies and regulations, has
resulted in the governments’ strict controls on NGOs’ movements. But in recent years, green
NGOs, relying on the increasing influences of the mass media, have more opportunities to
present their green opinions and fight against corporate polluted activities.
In short, with the transition from the planned economy to the market economy in China,
sustainable development has been the main theme of the new era. The central state in China
has relaxed the Party control on both the economic structure and the civil society, and
government plays a role of supervisor. Under government’s supervisions, corporation has
turned focus to improve green performance to meet national requirements and international
standards, while green NGO has also become a significant battleground for broader social and
political conflicts in environmental governance.
3.3 Hegemony changing in recent years
In recent years, as mentioned above, with an ever more relaxation of party control over the
business sector and the civil society in China, non-state actors, corporations and green NGOs,
have played more active roles in China’s modern environmental governance system.
Especially during the past five years, with ever more stringent requirements of corporate
environmental performance from the central state, local governments have extended their role
to a ‘supervisor and coordinator’ to supervise corporate and NGOs’ activities and promote
tripartite cooperation among local governments, corporations and green NGOs, in order to
balance the local economic growth and sustainable development as well as maintain social
stability and development.
Due to the special historical and political roots in China, it has been always difficult for
local governments to make decisions on choosing economic priority or environmental
priority. Nowadays, national assessments of local governments’ contributions are mainly
determined by their ‘achievements’ in aspects of not only economic growth and social
stability, but also sustainable development. Under the Chinese central government’s ever
more attentions to environmental governance and sustainable development, especially after
the ‘Scientific Development Concept’ proposed in 2003, any further environmental damages
caused by local business also directly impact the achievement assessment of local
governments. Especially in recent years, with increasing green awareness of the public in
China, environmental damages by local heavy industries would cause different levels of
disturbances among the local residents. Public demonstrations or media reports against local
environmental deteriorations are most unwillingly seen by local enterprises as well as local
governments at the current stage, not only directly influencing the appraisal of the local
government achievements on the aspects of sustainable development and social stability, but
also causing a huge amount of payoffs to the local residents, reacting to huge social pressure.
Thus, at the current stage, with the central state attaching great importance to the
sustainability issues in the process of the local economic development, both the economic
growth and the environmental sustainability are the same important for local governments to
improve their achievements.
With the change from highly prescriptive planning to macro control and supervision from
the central state in China, supervision and cooperation between the local governments and the
local corporations, as new ways of acting, measures a success for the local economic
development. On the one hand, for obtaining higher evaluations from the central state, local
governments have similar interest to local business with pursuit of profit maximisation. On
the other hand, the local governments also need to monitor local corporate operations
stringently, ensuring all the production and emission indicators to meet the national
environmental protection standards. Such kind of supervision and cooperation mechanisms
between local governments and local corporations in environmental governance can keep
stable development of local economy.
In addition, due to increasing influences of green NGOs as well as its representative to the
civil society in China, although green NGOs have still been under the ‘dual-administration
system’ of the local governments, local governments gradually relaxed their supervision on
NGOs’ activities to some extent and sought for some degree of cooperation with green NGOs
in China’s environmental governance nowadays, in order to promote harmonious
development among the state, the capital and the civil society. On the one hand, green NGOs
in China can help local governments to monitor production pollutions and corporate
emissions without any complex personal relations mixed, via more objective and frequent
assessments on the local environmental situations. Local environment regulation departments,
with NGO’s assistance, have fewer concerns on the sudden appearance of the significantly
environmental problems caused by delayed monitoring works or information distortion during
reporting progressively within the complex governmental structures. On the other hand, green
NGOs can help corporations to improve green images greatly in the public. With NGOs’
positive assessments and reviews on environmental performance, corporations can greatly
enhance their green competitions in the market, not only relieving environmental pressure and
market pressure on them, but also enhancing brand recognition and public acceptance in the
market. The positive reviews from NGOs on corporate performance can benefit not only
corporations, but also achievements of local governments. Green NGO, with its grassroots
nature, can carry out convincing assessments on the local environment and the local corporate
green performance for both local governments and the whole public society.
In short, facing up to ever more stringent requirements of sustainable development from
the central state, local governments have gradually sought for some degree of cooperation
with local business and local NGOs, in order to create a win-win scenario, balancing
economic growth and sustainable development as well as maintaining social harmony and
stability.
4 conclusion
This paper illustrates the theoretical evolution of conceptions of hegemony, which is then
informed by Antonio Gramsci’s theory, and then developed by Robert Cox, Ernesto Laclau
and Chantal Mouffe to neo-Gramscian theoretical domains, and recently incorporated by
David Levy to environmental governance. From theory to practice, based on a timeline, this
paper discusses the changes of hegemony in the development of China’s environment
governance during the past six decades from a neo-Gramscian perspective.
In the first stage, from the 1950s to 1980s, China has experienced a long period of planned
economy system, in which the whole society was under highly prescriptive central planning
with the central guideline of extensive economic growth to maximize industrial outputs.
Environmental problems had not been viewed by the state as a crisis of governance after the
establishment of the New China. Within an extensive growth model, the central government
had not treated the serious environmental pollution as ‘a new threat to hegemony’ during that
period. As a result, both the local government and the SOEs in China failed to be actively
involved the environmental governing activities, since there were no clear requirements in
prescriptive plans from the central state during the period of the planned economy in China.
Under the overpowering control and subsequent monitors, as well as restrictions of citizens’
activities in the Chinese governance (Heberer, 2012), especially during the period of the
planned economy, there had been no NGO existing in such a social context. Thus, for NGOs,
as the only legitimate mean to effect transformative change in China, its missing had led to
the lack of activities of civil society in the Chinese planned economy.
In the second stage, from the 1978 Reform to several years ago, China has gradually
transformed to a market-oriented economy and loosen Party control over the economy,
society and ultimately over public discourse. With the transition of the central guideline for
national development from extensive economic growth to intensive growth, sustainable
development has become the main theme of development for the new era in China. Under the
supervision of government, non-state actors in China including business and civil society have
played more active roles in the modern governance. Corporations have been committed to
improving their environmental performance and green competitiveness to meet the national
and international standards in the global market, and green NGOs have started to be involved
in the Chinese modern environmental governance system to balance the power relations
between the state and the capital.
In recent ten years, after the ‘Scientific Development Concept’ proposed in 2003 by the
Hu Jintao government, maintaining a balance between economic growth and sustainable
development has been the new theme nowadays in China. With ever more stringent
requirements of corporate environmental performance and sustainable development for local
economy from the central state, local governments have extended their role to a ‘supervisor
and coordinator’ to promote tripartite cooperation among local governments, corporations and
green NGOs, in order to balance the local economic growth and sustainable development as
well as maintaining social stability and development.
In conclusion, in the hegemonic discourses of the Chinese environmental governance
system, government, with supreme power over the whole society in the Chinese governance
system, stands at a primary position; corporation, directly influencing national economic
growth of China, stands at a secondary position; and green NGO, relying on the increasing
influences of the mass media, stands at an auxiliary position. However, with a gradual
relaxation of Party control on the economic structure and even the public discourses, green
NGOs’ activism has been regarded as a feasible way for balancing economic growth and
sustainable development in today’s environmental governance in China, although power and
influences of NGOs in the public green programs as well as the public environmental
decision-makings have still been much weaker than the state and the business sector. At the
current stage, NGOs in China have tried to employ different strategies and skills to carry out
their green activities, so as to survive as a necessary ingredient within the Chinese
environmental governance system.
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Le Bo is a third-year PhD student in management at the University of Essex, UK. He received
his BSc degree in computer science and MSc degree in industrial economics from the Beijing
Jiaotong University in 2007 and 2009, respectively, and then received another MSc degree in
economics from the University of Essex in 2010. His current research interests include supply
chain management, environmental governance, hegemony and Gramsci’s theory, government
policy, corporate social responsibility, and NGO activism.
Emancipatory Accounting in China: Does Alternative
Social Reporting of Non-governmental Organisations
Address Corporate Social Responsibility Problems?
Dan Shen
Essex Business School, University of Essex, Wivenhoe Park, Colchester, CO4 3SQ, UK
[email protected]
Abstract. With the increasing number of corporate scandals such as Enron, Corporate Social
Responsibility (CSR) movement has become a global phenomenon and attracted ever more
attention nowadays. Although a large number of corporations have begun to choose corporate
social reporting to provide social and environmental information for proclaiming their social
responsibilities, corporate social reporting is widely regarded as a public relation opportunity
to respond to social pressures. Treating corporate social reporting as an addendum to
conventional accounting which serves for ruling classes in society, critical accounting
researchers suggest radical changes of current social accounting practices and alternative
accounting practices to go beyond the conventional accounting practices and to have positive
impact on CSR development. Focusing on the potential transformative nature of accounting
and alternative social reporting of Non-governmental Organisations (NGOs), this paper
investigates roles of NGOs’ social reporting in generating emancipatory changes of
accounting as well as promoting CSR development in China, from both theoretical and
empirical ways. On the basis of empirical work, the paper concludes that NGO’s social
reporting, as a form of emancipatory accounting practices in China, plays a positive role in
CSR development; however, its influence is restricted due to several reasons.
Keywords: emancipatory accounting, social reporting, corporate social responsibility, nongovernmental organisation, China.
1 Introduction
Nowadays, Corporate Social Responsibility (CSR) issues have become a global topic and been
concerned widely throughout the world. Early since the 1970s, corporations have begun to
publish CSR reports or disclose environmental and social information to the public in order
to defend corporations against critiques and relieve the pressure from social community.
Then ever more corporations started to choose corporate social reporting for proclaiming
their social responsibility obligations ranging from environmental protection, employee
health and safety, stakeholder relationships etc. (Cooper, 2010; Parker, 1986). However,
from the corporate perspective, social reporting and disclosures are considered as a tool of
public relations rather than solutions to CSR problems. Gaps remain between what
corporations have professed to undertake social responsibilities and what they actually have
done in practice; and their social reporting is selectively used for only proclaiming positive
effects of their activities on society, while neglecting conflicts between their business and
social welfare (Gray et al., 1987; Unerman et al., 2007).
This paper focuses on the transformative nature of accounting to go beyond the
conventional accounting and generate radical changes of social accounting practices. In the
study of emancipatory changes of accounting in dealing with CSR problems, roles of Nongovernment Organisations (NGOs) in effecting accounting mobilization are highlighted. The
paper discusses roles of NGOs and their alternative social reporting practices in effecting
emancipatory changes of accounting to promote development of CSR in the context of
China, from both theoretical and empirical perspectives, and both primary and secondary
data are collected and analyzed for supporting the research. This paper is divided into four
sections. After a brief introduction to the research, demand of alternative accounting
practice, roles of NGOs in social movements as well as current situations of NGOs in the
context of China are discussed. Following the theoretical investigation, this paper illustrates
the research methods and then discusses empirical findings about roles of NGOs in CSR
development in China. Finally, on the basis of the previous discussion, conclusions are made
about positive roles of NGOs’ alternative social reporting practices in resolving CSR
problems.
2 emancipatory accounting and NGO
2.1 Emancipatory changes of accounting
Critical accounting researchers consider conventional accounting research as interpreting
reality partially through privileging capital’s interests over social interests in analysis, which
sources from political and social context in which conventional accounting operates. They
suggest that diversity of social interests which are conflicting with each other are confronted
by accounting, and accounting practices, socially constructed and enactive, are evolved in
the broad processes of economic and social changes (Chua, 1986; Cooper and Sherer, 1984;
Puxty, 1986; Tinker, 1985; Tinker and Gray, 2003). Therefore, in terms of CSR problems, due
to limitations of conventional corporate social reporting which sources from the exploitative
social relations and unequal rights of classes under capitalism, critical accounting
researchers suggest the need to go beyond conventional accounting and utilize the potential
transformative nature of accounting in making social changes and developing CSR
(Gambling, 1974; Gallhofer and Haslam, 2003). Through social analysis from critical
contextual appreciation, accounting as a social practice is considered as being able to
function as a contradictory force to promote social transformative changes and
emancipatory development by means of social interaction. Especially through serving radical
democratic forces as a systemic communication and informing practice, accounting is able to
seek to challenge and go beyond current economic arrangements and dominant theories so
as to engender transformative changes in society, to open up a better social system
featuring a new and better accounting (Cooper and Sherer, 1984; Gallhofer and Haslam,
1993; 2003; Tinker, 1980). As a result, facing up to social conflicts such as CSR issues, unlike
conventional accounting only focusing on interests of ruling class, alternative accounting
would provide an open and democratic approach for benefiting the whole society (Gallhofer
and Haslam, 1997; Lowe and Tinker, 1977).
In researching accounting mobilization through critical approaches, as a result of
imperfect market and society, social structural factors emphasizing on relationships between
social conflicts and accounting practices are important (Tinker and Gray, 2003). As
mentioned above, although corporate social reporting practices emerged and developed for
decades of years, much existing social disclosures are hijacked corporations as a public
relation opportunity to respond to social pressures. Therefore, in the interests of protecting
shareholders and capitalist socio-political order, corporation can only behave as a very mildly
progressive force towards radical social accounting practice and mobilizing alternative
accounting which reflects interests of the whole society. Argued by Arnold (1990) and
Gallhofer and Haslam (1997; 2003), government is committed to regulate social accounting
for serving the interests of community, and it can engender positive actions against CSR
issues. In practice, governments have often encouraged corporations to take their social
responsibilities and provided requirements on governing the social and environmental
information disclosure in corporate reports (Murray and Gray, 2006). However, due to
repressive social relations in capitalism, emancipatory possibilities of accounting have been
largely displaced, and government can only has a mild progressive impact on mobilizing
accounting, for the purpose of managing societal governance instead of shaking or even
destroying the socio-political order. Therefore, more powerful players (such as NGOs) are
needed in order to engender more effective and progressive activism for promoting
alternative accounting and developing CSR.
2.2 Roles of NGO in social movements
Since the late 1980s, the number, power and influence of NGOs have improved greatly and
their participations in social changes, especially in socio-political and economic movements
(Yaziji and Doh, 2009). CSR issues offer NGOs great potential for seeking their social
transformation goals, and some radical ones have attempted to affect social accounting
practices and engender emancipatory changes through disclosing counter corporate
information (Gallhofer and Haslam, 2003; Gautney, 2010). On the basis of their dyadic
relationships with governments and corporations, NGOs have had directly impact on
business and government policy and behaviour, and even forced radical changes through
their social campaigns and reporting on swaying public opinions (Doh and Teegen, 2003).
In cooperation with corporations in terms of developing CSR, NGOs are working on
setting and monitoring standards for improving corporate social and environmental
practices of corporations through their active campaigns concerning labor, environmental
standards and human rights in trade agreements. From such a perspective, NGOs are
regarded as a powerful agent for changes within the context of CSR and counter-weights to
business and global capitalism (Moon and Vogel, 2008; Spar and La Mure, 2003). In terms of
impact on governments, although NGOs have no direct ability to change government policy,
their roles of creating the public force on reflecting voice of demands which are ignored by
market mechanism have pushed policy makers to make changes. And governments have
encouraged NGOs to enter partnerships in terms of governance, especially focusing on
corporate social involvement in the community through philanthropy and local economic
development (Keck and Sikkink, 1998; Moon and Vogel, 2008).
2.3 Development of accounting and NGO in the context of China
As the largest developing country in the world, China has a long history over thousands of
years, and traditional culture, socio-political and economic situations have had profound
impacts on the development of accounting in the country. Since the establishment of the
People’s Republic of China (PRC) in 1949, economic development pattern in the country
experienced a transformation from planned economy to market economy. Before the 1978
Reform, the country operated under planned economy in which production targets for
companies were all set by the government, function of accounting was only accumulating
and reporting financial data. Thus, accounting, solely as a tool of government for controlling
the planned production, played no roles except for bookkeeping (Chan and Rotenberg, 1999;
Lawson, 2009; Pacter, 2007). After the 1978 Reform, China’s economic development
changed to distinctive development model through combining Western advanced ideas with
China’s distinct social conditions, in which market dominates the economic development
with assistance of government regulations from macro perspective. Accounting profession
changed and gained a fast-growing improvement since then. Roles of accounting in Chinese
companies was evolving to taking responsibilities similar to Western accounting, although
bookkeeping and financial reporting were still a great emphasis (Chen et al., 2002; Tang,
1997). However, due to direct government involvement in accounting regulation originated
from the planned economy era, accounting profession is still politically weak, and the
government is still the main user of accounting information in China (Xiao et al., 2004).
NGOs emerged in China from the unique socio-political and economic context, which
makes them different from Western-style NGOs. NGOs in China are tied more closely to the
government than in many other countries, providing opportunities for them to play
important roles in social movements and development within the Chinese context (Kunp,
1997). After the establishment of the PRC, highly centralized economic and governmental
administrative system combined the government and society, and endowed the government
more functions to govern almost all aspects in social life. All social groups except for those
officially sanctioned ones were not permitted by the authorities. After the 1978 Reform,
pluralistic interests emerged and individuals began to set up genuinely non-state social
organisations which were tolerated by officials, providing opportunity for development of
NGOs (Burns, 1999; Liu and Hu, 2004). Nowadays, the Chinese government supports NGOs’
activities more than before at various aspects in order to assist disadvantaged groups and
decrease social conflicts. Moreover, along with the rise of market economy, social relations
in China become more pluralistic and people have more diversified policy preferences
instead of supporting government policies without any question. Therefore, NGOs have
more political opportunities and social space to play a more active role in participating
policy-making and implementation (Zhan and Tang, 2013).
3 SOCIAL REPORTING AND CSR PROBLEMS IN CHINA:
ANALYSIS AND DISCUSSION
3.1 Methods
In order to investigate roles of NGOs in promoting CSR proceeding and accounting
mobilization in China, semi-structured interviews were conducted on corporate managers
and NGOs’ staff in order to obtain first-hand data about their thinking of CSR, social
disclosure as well as social accounting. Corporate interviewees are from both State-owned
Enterprises (SOEs) and private companies in different industries including metal,
petrochemical, coal mining, food and retail, and all interviewees' companies have released
CSR reports for at least two years. NGOs interviewees are from international and grass-root
NGOs focusing on CSR related issues. All interviews were conducted in Chinese, and then
translated into English by the researcher carefully, where necessary, amendments are made
in writing the paper. Qualitative analysis on responses from semi-structured interviews can
suggest insight into attitudes of corporations and NGOs in China on social accounting and
social disclosure as well as impact of NGOs on corporate behavior.
Apart from gaining primary data from interviews, relevant corporate and NGOs’
reporting documents were reviewed and analysed to support further investigation on roles
of NGOs in dealing with CSR issues. The case of Foxconn’s labor rights issues was chosen for
documentary analysis. In the analysis, Foxconn’s Corporate Social and Environmental
Responsibility Reports from 2008 to 2011 and investigation reports as well as verification
reports published by Fair Labor Association are main source of secondary data. Comparison
between corporate social reporting of Foxconn and social disclosures of the NGO provided
support on the analysis of NGO’s impact on corporate behavior in terms of CSR issues.
3.2 Empirical analysis
3.2.1 Broad view of CSR and NGO activism in China
Since the 1978 Reform and implementation of ‘Opening-up’ policy in Mainland China,
advanced Western ideology of CSR was introduced into the country. After China’s accession
into the World Trade Organization (WTO) in December 2001, Chinese corporations,
especially those multinational ones began to confront ever more pressures from the global
market. Taking social responsibility became a trend for corporations in order to obtain
competitive advantage and good reputation in fierce international competitions. On the
basis of the semi-structured interviews, no matter SOEs or private companies all agreed that
social responsibility should be taken in their business, and CSR activities are significant for
their sustainable development and competitions in the market. However, considering the
direct reason or the most significant driver for their CSR practices, requirements of
governments on SOEs and listed companies are the first and foremost factor highlighted by
the respondents. As explained by a SOE’s senior manager: “There are a series of
environment protection indicators for standardizing our production such as waste disposal,
machine usage, energy consumption and so on. The government also requires us to take
charitable responsibility like poverty alleviation. For example, according to profitability of
one plant in our company, the local government set target for us to invest eight million Yuan
within three years to assist anti-poverty of a nearby poor village”(COM1). Winning
competitive advantages and good reputations, coping with pressures from the public are
also main drivers for corporations to taking social responsibilities in practice. As stated by a
company: “Our company established through merger of one SOE and two private companies
years ago, left several problems about employee treatment, transformation, pension and
welfare. Since employee dissatisfaction may result in social problems against our further
development, we consider employee issues as the key social responsibility in
practice”(COM2).
Apart from conducting CSR practices, Chinese corporations have begun to release CSR
reports and disclose environmental and social information to the public since 1999, in order
to summarize their CSR practices, communicate with relevant stakeholders and obtain
competitive advantages. Corporate respondents explained corporate social reporting in a
similar way to their CSR practices, while NGOs had some different opinions. Generally
speaking, international corporations have a higher consciousness on CSR than domestic
companies, and large domestic companies are confronting fewer difficulties in taking CSR
into practice than the small and medium ones. However, CSR practices are deformed in
some companies and even considered as a tool of ‘green wash’ which depends on using
profits gained from polluting environment to establish charitable foundation and wash their
unethical behaviour. As mentioned by a domestic NGO: “A large number of companies
publish CSR reports for acquiring some benefits, for example, listed ones can acquire ‘extra
points’ on their performance; unlisted ones can gain ‘green-light’ for some business.
Moreover, some companies disclose CSR reports only for coping with short-term problems
or external pressures”(NGO6). In addition, although foreign international corporations
normally perform better in corporate social reporting and CSR disclosure than domestic
companies in practice, NGOs detected problems in their social reporting as well as practices,
such as: “We found some foreign companies take totally different measures towards social
responsibility. For example, in S company’s CSR reports, they listed their CSR activities in
Europe, and claimed the same activities were also taken in China. Actually, through our
investigation, effectiveness of their CSR practice implemented in China was very poor, but
this aspect was evasive in their CSR reports”(NGO5).
For dealing with CSR problems and promoting CSR development in China, both
international NGOs and domestic grass-root ones have cooperated in various forms and
perform actively in communication and cooperation with corporations with regard to CSR
issues. For instance: “We are cooperating with other 46 domestic NGOs and establishing
Green Choice Alliance, working on promoting green supply chain management through
pushing large foreign international companies in China to concentrate on environmental
performance of their suppliers”(NGO2). As a result of restrictions on international NGOs’
activities, they cannot get access to some fields in China so that in the cooperation between
NGOs, international ones often focus more on generating a broad and macro idea towards
one aspect of CSR and attracting attentions from government, companies and society for
seeking solutions; while domestic NGOs normally pay more attention to one specific issue
and attempt to solve problems through practical work. Conceptual communications
between domestic grass-root NGOs are rare and they normally work together to handle
specific CSR issues. Besides, some international NGOs are providing platform for other NGOs
to gather and communicate, and also assisting domestic NGOs’ activities thorough
professional trainings.
Communications between NGOs and corporations are relatively few, especially between
grass-root NGOs and corporations. Through the interviews, all five interviewees from
domestic NGOs acknowledged that there is no company contacting with them for solving
CSR problems voluntarily and it is usually the NGOs to actively get in touch with companies
discussing about CSR issues. However, international NGOs have received some enquires
about CSR practices, normally from international corporations and some innovative
domestic companies. Two main reasons can be considered for lack of cooperation between
companies and NGOs in China. On one hand, companies are unwilling to discuss with NGOs
about issues inside of their operation, especially issues towards CSR, which are relatively
sensitive to their business. Thus, most of companies choose not to cooperate with NGOs
voluntarily and even refuse NGOs’ requirements of communication for the excuse of
commercial confidentiality. On the other hand, from NGOs’ perspective, a large number of
grass-root NGOs in China are incompetent to conduct common projects with companies for
detecting, supervising or resolving CSR problems. Most of them are confronting problems of
lacking staff and funds, resulting in their ability falling short of their wishes of resolving CSR
issues. For example, a large number of grass-root NGOs are struggling to survive facing many
requirements of government: they are required to register in local Department of Civil
Affairs, submit report for annual inspection, accept annual financial inspection and so on.
Even for international NGOs, flexibility of their activities is very weak in China and they have
to change ways in working to adapt to government requirements. As stated by an
international NGO: “We only concentrate on companies rather than Chinese government.
We support policies of the central government and sometimes provide some suggestions to
local governments about specific issues. We normally present problems of a company or an
industry to the government and then communicate or influence the company with the help
of government’s attention”(NGO1). Therefore, most of domestic grass-root NGOs can only
focus on propaganda of CSR concepts and environmental education activities, but have great
difficulties in communication with companies for discussing and solving specific CSR issues.
Only some international NGOs and large-scale domestic NGOs which have considerable
influences and sufficient ability are likely to cooperate with companies towards CSR issues.
Although confronting many difficulties, NGOs in China still perform enthusiasm in dealing
with CSR problems and have been involved in promoting CSR development and urging
companies to undertake their social responsibilities. All NGO respondents believe that they
are working as an exponent and assistant for company’s CSR practice through integrating
company, government, public, and mass media for promoting CSR development, and they
emphasize that media are playing an indispensable role in assisting their activities
concerning CSR issues. Currently in China, awareness of the public for protecting their
legitimate rights has been gradually enhanced and ever more people have begun to
concentrate on company’s social responsibility fulfillment and even expose their
irregularities by means of the network and the public media for the purpose of exerting
pressures on the government and companies to solve problems. One domestic NGO set an
example: “Our major working mode is to communicate with the public media first, then
communicate with companies with the help of media attention and exposure. Such as our
communication with D company, our doubts and open letters on their grassland pollution
were ignored at first. Then, we contacted with the National Business Daily and exposed such
an issue as well as our open letters, then, we received responses from the company’s senior
manager. The company finally promised to investigate the problem and disclose this issue in
their CSR report after our negotiation”(NGO4). In addition, apart from several requirements
on NGOs’ registration, all NGO respondents agreed that there is little pressure from Chinese
government on their practical activities concerning CSR. The Chinese central government has
begun to pay more attention to NGOs’ activities nowadays, and is supporting more on
activities of domestic NGOs in policy. As explained by a domestic NGO: “The central
government supports us by and large since our work has no direct influence on tax charge,
but our work on companies’ environmental pollution behaviour is not welcomed by some
local governments due to regional protectionism. However, some local governments take
supportive attitude and cooperate with us actively, such as Hangzhou local
government”(NGO2).
In summary, although ever more companies in China have begun to undertake social
responsibilities in various degrees since the 1978 Reform and several companies have
attempted to publish CSR reports and shared their CSR concepts and working results with
stakeholders, social responsibility fulfillment and quality of CSR reports are still in low level.
Requirements from government, reporting and pressures from NGOs and the mass media
urged companies to focus on taking social responsibility to some extent, which indeed have
promoted CSR to be accepted and further development in China. However, actual
effectiveness of CSR practice implementation as well as reliability and value of CSR reports
and disclosure are doubted and need to be further improved. During the process of CSR
development, NGOs undoubtedly have played positive roles from micro level, through
supervising company’s business operation and CSR practice, detecting problems and
communicating with corporations to solve the problems energetically. However, NGOs’ roles
in effecting transformative changes of accounting in the context of China are restricted as a
result of various requirements and restrictions of government as well as their own relatively
weak capacity in influencing social changes. In the following section, impact of NGOs’ social
reporting on CSR development in China is discussed through a specific case on the famous
Foxconn’s labor rights issues.
3.2.2 Impact of NGO’s social reporting on CSR development in China: a
case
In 1988, Foxconn Technology Group (Foxconn for short) was set up as Hon Hai’s subsidiary in
Mainland China, and it is currently cooperating with major American, European and
Japanese electronics and information technology companies for joint-design, jointdevelopment, manufacturing, assembly and after-sales services, and its notable products
manufactured include iPhone, iPod, iPad, Kindle, Xbox 360, Wii U etc. Since 2008, based on
GRI G3 Guidelines, Foxconn has begun to release its Corporate Social and Environmental
Responsibility Report for disclosing its progress in its employee management, occupational
health and safety, stakeholder engagement, energy saving and environment protection and
community contribution and supply chain social & environmental responsibility
management. Apart from releasing CSR reports, Foxconn also sets up a special column for
introducing its CSR policies and actions towards its social and environmental responsibility
on its website, together with showing many photos on employee care, employee education
and community philanthropy.
In recent years, Foxconn is involved in several controversies relating to its employee
management in Mainland China. From January to November 2010, fourteen employees of
Foxconn killed themselves in the factories, and the news of Foxconn’s over-intensity work
was widely spread on the Internet at the same time. In 2012, under great pressure from the
public, as a main client of Foxconn, Apple Inc. hired the famous international NGO, Fair
Labor Association (FLA), to conduct an audit on working conditions at Foxconn’s factories in
China. Through an independent investigation in February 2012 lasting for almost one month
to assess working conditions and the treatment of workers at Foxconn’s three Chinese
factories in Shenzhen and Chengdu, FLA published investigation report in March 28th, 2012
and provided recommendations of improvement for Foxconn. This research made an
analysis on both Foxconn’s CSR reports and FLA’s investigation report in terms of six main
aspects (including hours of work, compensation, social insurance, interns, industrial
relations, and health, safety and environment) examined by FLA in its investigation.
Comparison on employee management and treatment was made between what were
proclaimed in Foxconn’s social disclosures and what were found through investigation and
released in the social reporting of FLA and further analysed.
The first aspect audited by FLA is the working hours of employees in the three factories.
Working hours’ information was disclosed in corporate social reporting for at least one time
per year during the investigated period. In the CSR reports, Foxconn highlights that decrease
of working hours is a policy of the company for protecting human rights and the company
considers this aspect as an important evaluation indicator in improving supply chain social
and environmental responsibility management. Particularly in 2011 CSR report, the company
stated: “Foxconn has taken measures in increasing pay and reducing normal work hours so
that its workers have more opportunity to enjoy quality time with their loved ones and to
have a rich social life” (Foxconn Technology Group, 2011, p. 16). However, in FLA’s
investigation report, Foxconn is regarded as not comply with its policies of control working
hours. As displayed by FLA, overtime working is widely detected in all three factories being
investigated: “During peak production periods, the average number of hours worked per
week exceeded the FLA Code Standard of 60 hours. Also, there were periods in which some
workers did not get one day off in seven days. This is confirmed by the worker survey” (Fair
Labor Association, 2012i, p. 8).
Compensation was explained in Foxconn’s CSR reports every year for introducing its
policy about individual compensation at work including illustration of performance
management, working safety and environment, and employee training sections. Particularly
in 2011, employees’ compensation in China was proclaimed to be increased in corporate
social reporting. FLA’s investigation confirmed that wages, sick leave payments and
overtime hours premium were all paid on time in the three factories, and sick leave
compensation was 10% higher than the local law requirement. However, based on surveys
on workers, around 65% workers thought their salary was not sufficient for basic needs, and
this problem was worse in Chengdu factory. In addition, system used for calculating
overtime working hours was doubted to have drawbacks harming workers’ legitimate rights.
According to FLA’s investigation: “The system used to measure overtime has an issue in that
it uses a unit of 30 minutes for unscheduled overtime and does not pay workers for fractions
of a unit they may have worked. In other words, a worker who puts in an extra 29 minutes
may not get paid for that time.... A similar issue regarding payment arises with respect to
team meetings that take place before or after work and training that takes place outside
working hours.… [M]anagement did not see these as work and accordingly did not pay for
them” (Fair Labor Association, 2012i, p. 9).
Foxconn disclosed social insurance information in every year’s CSR reports, and the
company stated that various social insurance were provided to employees, including medical
insurance, security insurance, various insurance and assistance funds. FLA confirmed
Foxconn’s statements on social insurance; however, problems of social insurance brought by
weaknesses of national social insurance net about migrant workers were also pointed out in
the investigation report, such as around 99% of workforces at the Shenzhen facilities are
migrant workers who cannot be enrolled in the unemployment and maternity insurance
systems (Fair Labor Association, 2012i, p. 9).
Information about interns or internship has never been disclosed in corporate social
reporting of Foxconn during the investigated period. On the basis of FLA’s investigation, in
2011, 2.7% of the workforce of Foxconn Group consisted of interns, an average of 27,000
interns per month, and average tenure was 3.5 months (Independent Investigation of Apple
Supplier, Foxconn, p. 10). According to FLA, interns in Foxconn cannot protect their
legitimate rights in working sometimes: “[I]nterns worked both overtime and night shifts,
violations of the regulations governing internships”(Fair Labor Association, 2012i, p. 9-10).
Industrial relations were mentioned more frequently than the former aspects, normally
in sections of stakeholder engagement, labor union establishment, employee relations etc.
From Foxconn’s CSR report, in its factories, labor unions and employee relations
departments have been established for the purpose of protecting employees’ legitimate
rights and improving communication between employers and workers. Moreover, according
to Foxconn’s disclosure, in 2011, a large number of employees have participated in a total of
15 labor union organizations at the various sites in China, and the membership rate has
exceeded 86% of the workforce (Foxconn Technology Group, 2011, p. 18). However, based
on FLA’s field investigation, industrial relations as well as effectiveness of labor unions were
not as optimistic as description of Foxconn: “Workers had very limited knowledge of the
structure, function and activities of the worker participation bodies within Foxconn. Only
32.7% of the respondents in our perceptions survey stated that workers elect worker
representatives, while 20% believe that management elects them. Another 42.3% do not
know how the committees are formed…. A majority of the members of union committees
are drawn from the ranks of management…. [I]t does not meet the standards of the relevant
ILO Conventions or of the Trade Union Law of China and the Regulations on Collective
Bargaining”(Fair Labor Association, 2012i, p. 10-11).
Information about health of workers, working safety and environment was mentioned
frequently in Foxconn’s CSR report, which mainly includes protecting workers’ health in
working as well as providing safety and comfortable working environment for employees.
Besides, in the CSR reports, Foxconn also mentioned it provided several working safety
trainings for workers and established a health monitoring system and an employee
healthcare website for solving workers physical and mental health problems. However,
effectiveness of such an aspect in Foxconn was not as good as being described in its CSR
reports on the basis of FLA’s investigation. According to FLA, Foxconn’s health and safety
policy, procedures and practices were inconsistent and such an inconsistency can harm
safety of employees in working. Additionally, low worker participation in safety and health
committees was also a problem to weaken its effectiveness in practice.
On the basis of findings of investigation, FLA provided many suggestions to Apple and
Foxconn in order to improve working conditions at its facilities. Foxconn finally accepted
FLA’s suggestions and implemented a remediation plan lasting for 15 months in response to
the findings of FLA. In the following 15 months, FLA was invited to verify the implementation
status of remedial actions of Foxconn in those three factories in scanning working conditions
and compliance with Chinese labor laws and published three verification status reports on
August 2012, March 2013 and December 2013 respectively. According to the verification
status reports of FLA, Foxconn and Apple have continued to carry out actions on improving
working conditions over the 15 months and made steady progress. However, although
progress has been made concerning working hours, the three factories are still not in
compliance with Chinese labor law in terms of hours of work. In summary, on the basis of
qualitative analysis on Foxconn’s corporate social reporting and FLA’s social reporting
regarding labor rights issues as well as impact of FLA on Foxconn’s improvement actions, it
can be summarized that NGO’s social reporting played an important role in disclosing more
reliable information about CSR than corporate social reporting, and promoting progressive
changes of corporation’s CSR practices, although some problems are still unresolved which
demonstrating limited power of NGO in effecting transformative changes of corporate social
accounting practices.
4 CONCLUSION
On the basis of discussion and analysis in the former sections, it is apparent that, from
theoretical aspect, although accounting has emancipatory nature of mobilizing from
conventional practices to more radical alternative practices, emancipatory changes of social
accounting practices are difficult to be generated without assistance of external factors.
NGO is a necessary factor in effecting emancipatory accounting changes and social
movements. Especially in current China, as a result of mild interventions of government and
corporations in mobilizing alternative accounting and radical social accounting practices,
NGO becomes the only legitimate ways in promoting radical changes of accounting in
dealing with CSR problems. Through empirical analysis, it can be concluded that NGOs in
China have played positive roles in detecting CSR practices of Chinese corporations, exposing
CSR problems to the public and forcing corporations’ improvement to handle CSR issues.
They have also acted as an important exponent of CSR as well as integrating different actors
in the society such as corporations, government, community and public media to promote
CSR development. However, it cannot be denied that power of NGOs are largely restricted as
a result of the particular social and political context in China, such as the power of
government in regulating every aspect of social life including regulating patterns and
contents of NGOs’ activities, requirements on registration of NGOs, local protectionism on
corporations and so on. As a result, it is difficult for NGOs’ to carry out activities strong
enough to effect transformative social changes or radical changes of accounting in order to
get rid of weaknesses of conventional social accounting practices. Moreover, sometimes
NGOs’ social reporting for exposing corporations’ CSR problems is not only based on the
public interests, and corporations’ adverse behaviour may be overstated by some NGOs for
the purpose of self-promotion or attracting more public attention. Some NGOs even make
use of false reporting to reap ill-gotten gains. Therefore, NGOs’ roles in promoting CSR
development still need further investigation, especially from empirical perspectives.
Appendix A: Lists of interviewees
Table 1. Interviewees from companies
No.
Type
Industry
Position of interviewee
COM1
SOE
Petrochemical
Deputy general manager: fertilizer
production
COM2
SOE
Metal
Senior manager: international trade
COM3
Private
Coal mining
Senior manager: supervision
COM4
Private
Auto
Manager: new energy automobile
COM5
SOE
Metal
Secretary of the Board of directors
COM6
SOE
Metal
Manager: finance
COM7
Private
Retail
Secretary of the Board of directors,
deputy general manager
COM8
Foreign
Paper
Senior manager: production
COM9
Private
Food
Senior manager: securities
Table 2. Interviewees from NGOs
Main Focus
Position of
interviewee
No.
Type
NGO1
International
Air pollution; Energy saving; Forest
protection; Food safety; Climate
change
Head of forests
campaign
NGO2
Domestic
Waste management; Green choices;
Ecological restoration; Environmental
education; Asian NGO cooperation
Project officer: Green
supply chain choice
NGO3
Domestic
Water pollution; River protection;
Environmental education; Green
volunteers.
Office manager
NGO4
Domestic
Environmental monitor; Carbon
emission; Electromagnetic and metal
pollution; Environmental science
Project officer:
Environmental monitor
popularization
NGO5
NGO6
Domestic
Pollution map in China; Green
choices
Deputy director:
Pollution map
Domestic
Environmental and ecological
protection; Waste and emission
reduction; Environmental education;
Domestic NGOs support;
Environmental information disclosure
Senior member of
project
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Dan Shen is a PhD student in accounting at the University of Essex. She received her BSc
degree in financial management from Zhongnan University of Economics and Law, and MSc
degree in accounting from Beijing Jiaotong University in China in 2007 and 2009,
respectively, and obtained Master of Research Degree in accounting from the University of
Essex in 2010. Her current research interests include corporate social responsibility, nongovernmental organisation activism, and critical accounting research.
The analysis and evaluation of capital structure in the
Polish mining enterprises
Aneta Michalak,a
a
Silesian University of Technology, Faculty of Organization and Management, Roosevelta
26, 41-800 Zabrze, Poland
[email protected]
Abstract. Mining industry is a specific, highly capital-consuming industry of a special
significance for the economy. The assets of the mining enterprises, due to the profile of their
activity, are very often permanently fixed in a particular place which makes them immobile,
they have a high amount in the balance sheet and they are mostly very difficult to change into
cash (buildings and objects of underground engineering, excavations, professional mining
appliances etc.). The objective of the research presented in the hereby article is the analysis
and evaluation of capital structure in the Polish mining enterprises.
Among the basic methods used in the research process there may be the ratio analysis
mostly distinguished. Afterwards the results of analysis were compared and generalized. The
research process was enriched with the synthesis which was used for drawing the final
conclusions. The research is based on the literature studies and analysis of the original
documents obtained from the examined enterprises (financial reports). The subject of the
research are 4 Polish mining enterprises. The period of the research encompasses the years
2009-2012.
The article was financed from the sources of the National Science Centre.
Keywords: capital structure, return on capital, mining
1. THE NOTION OF CAPITAL STRUCTURE
Each economic activity requires capital engagement (Bludnik 2008). It rises the problems of
selecting the type of capital and determining its sources, what directly translates into
creation of a specific capital structure. In the financial literature there is no uniformity
concerning the definition of capital structure in a company, there is also liabilities structure
and structure of financing sources used interchangeably.
Capital structure is most often defined as a relation of debt capital and equity (Janasz 2010,
p.35). Nevertheless, in many publications capital structure is not identified with the
structure of liabilities. According to such approach, in frames of capital structure there
should be no liabilities included which the company does not pay any interest on (that is,
trade credits, amounts due to taxes and to remuneration etc.) (Duliniec 2001, p.17).
According to R. Masulis, R. Higgins, S. Ross and others (Masulis 1998, p.1; Higgins 1992,
pp.344-345; Ross, Westerfields & Jaffe 1996, p.4) capital structure is identified with the
structure of liabilities in the balance sheet of company which is also called financing
structure at the same time. In turn, according to E. Helfert (Helfert 1994, pp.482-483) and J.
Downes and J. Goodman (Downes & Goodman 1994, p.60), capital structure is only reflected
in a configuration of fixed capital, that is in a relation of equity and long-term debt capital.
Another approach to defining capital structure is presented by R. Brealey and S. Myers, as
associating it with the structure of securities issued by the company with a division into debt
and owner (shareholders) securities (Brealey & Myers 1991, p.397).
In the hereby article capital structure is identified with the structure of liabilities. The object
of the research is thereby the relation of equity and debt capital.
2. THE EVALUATION MEASURES OF CAPITAL STRUCTURE
Firstly, analysis of capital structure requires to examine the share of equity and debt capital
in capital structure. For this purpose two ratios should be determined:
equity share ratio = equity / total capital *100
debt capital share ratio = debt capital / total capital *100
An important ratio fulfilling the analysis of capital structure is the level of net operating
capital, also called working capital. It may be indicated by subtracting the value of shortterm liabilities from current assets or, in another way, subtracting the value of fixed assets
from the value of fixed capital. Fixed capital of the company consists of equity and long-term
liabilities.
When examining the capital structure in a company, there is also the level of covering fixed
assets by equity ratio:
level of covering fixed assets by equity ratio = equity / fixed assets *100
When the value of this ratio is equal or higher than 100% it means that the golden balance
sheet rule is fulfilled. It says that fixed assets, which are engaged in conducting a long-term
activity, should be fully financed by equity.
Another ratio allowing evaluation of capital structure is return on equity (ROE), determined
according to the formula:
return on equity (ROE)= net income / average equity
It informs about the value of net income meant for a unit of equity engaged. The higher the
value of this ratio is the more favorable financial situation of company is.
In the next step the ratio of return on equity is compared with the profitability of all
engaged capitals, expressed by the Return on Net Operating Assets (RNOA). This comparison
enables evaluation of the effect of financial leverage occurring in the particular companies of
the industry (Bukair, 2013). The ratio of return on assets is indicated according to the
formula:
Return on Net Operating Assets (RNOA) = Net Operating Profit After Taxes (NOPAT) /
Average Net Operating Assets (NOA)
where:
NOPAT=EBIT*(1-T),
T- income tax
(NOA = fixed assets + operating assets – short-term financial assets – operating liabilities
(short-term, without interest).
The effect of financial leverage means that, in the result of constant burden by interest, the
fluctuations of net income per one unit of equity are more or less proportional in relation
with the fluctuations of operating income (before interest payment and taxes - Earnings
Before deducting Interest and Taxes – EBIT).
In a situation when the financial leverage ratio (debt / equity) is higher than zero the effect
of financial leverage occurs. The effects of financial leverage may be positive, when they
translate into increase of earnings per one share or negative, when they contribute to
decrease of earnings. Positive effects of financial leverage appear in a situation when the
return on equity (ROE) is higher than the return on net operating assets (RNOA)
3. CAPITAL STRUCTURE OF THE POLISH MINING ENTERPRISES
In the mining industry there are currently about 30 coal mines functioning that are grouped
in the structure of five mining enterprises. These are:

Kompania Węglowa S.A. (15 coal mines, employment 60 000 people),

Katowicki Holding Węglowy S.A. (5 coal mines, employment 18 000 people),

Jastrzębska Spółka Węglowa S.A. (5 coal mines, employment 30 000 people),

Południowy Koncern Węglowy S.A. (2 coal mines, employment 6 000 people),

Lubelski Węgiel Bogdanka S.A. (independent coal mine, employment 4 000 people).
Because of the availability of data, the analysis of capital structure conducted in the hereby
article includes four of the aforementioned mining enterprises.
The analysis of capital structure in the Polish mining enterprises was started from calculating
the equity share ratio and debt capital share ratio in total capital. The results are presented
in table 1.
Table 1. Capital structure of Polish mining enterprises in years 2009-2012 [%]
Enterprise
Capital
2009
2010
2011
2012
Equity
14.24
21.06
24.85
14.81
Debt capital
85.76
78.94
75.15
84.99
Katowicki Holding
Węglowy S.A.
Equity
29.10
29.88
32.59
26.68
Debt capital
70.90
70.11
67.41
73.32
Jastrzębska Spółka
Węglowa S.A.
Equity
45.06
57.51
62.00
60.95
Debt capital
54.94
42.49
38.00
39.05
Equity
70.36
69.60
69.56
65.89
Debt capital
29.64
30.40
30.44
34.11
Kompania Węglowa S.A.
LW „Bogdanka” S.A.
Source: own work based on financial reports from the examined mining enterprises.
The most indebted mining enterprise in the industry is Kompania Węglowa S.A. Debt capital
also dominates in Katowicki Holding Węglowy S.A. A balanced capital structure is specific for
Jastrzębska Spółka Węglowa S.A. and equity dominates in LW „Bogdanka” S.A.
The next examined element is the value of net operating capital. It is included in table 2.
Table 2. The value of net operating capital of the Polish mining enterprises in the years 2009-2012
[PLN]
Enterprise
2009
2010
2011
2012
Kompania Węglowa S.A.
-647 712 232
152 427 758
376 807 189
65 987 186
Katowicki Holding Węglowy
S.A.
-966 170 126
-975 766 690
-901 676 111
-420 356 176
Jastrzębska Spółka Węglowa
S.A.
-169 900 000
1 179 055 720
2 229 900 000
1 818 000000
552 990 000
225 049 000
60 484 000
LW „Bogdanka” S.A.
5 829 000
Source: own work based on financial reports from the examined mining enterprises.
Operating capital was negative in the first analyzed year in Kompania Węglowa S.A., what
indicates a very risky configuration in which the difficult to cash fixed assets of mining
enterprise are financed by the short-term liabilities. However, in the next two years the
operating capital changed its sign into positive one, what is justified by limiting the financial
risk. In the last year of analysis fixed capital financed about 10% of current assets in
Kompania Węglowa S.A. Katowicki Holding Węglowy had negative working capital in the
whole analyzed period and maintained it on a relatively fixed level (yearly over 20% of fixed
assets were financed by short-term liabilities). It is connected with high financial risk.
However, in Jastrzębska Spółka Węglowa positive working capital is firm (although it was
negative in the first analyzed year). In 2010 this enterprise financed total fixed assets by
fixed capital as well as 35% of current assets and in 2011 almost 50%. Such strategy
regarding the financing structure was also selected by LW Bogdanka S.A., which in each year
of the analyzed period had positive working capital, however, in contrary to Jastrzębska
Spółka Węglowa, it was decreasing every year. In 2009 fixed capital was financing, apart
from fixed assets, over 68% of current assets. In the subsequent years the degree of
financing operating assets in this enterprise was decreasing to the level of about 16%.
Next, the level of covering fixed assets by equity ratio was examined which allows to
determine whether the golden balance sheet rule is fulfilled in the enterprise. It is included
in table 3.
Table 3. The level of covering fixed assets by equity ratio in Polish mining enterprises in the years
2009-2012
Enterprise
2009
2010
2011
2012
Kompania Węglowa S.A.
19%
32%
37%
22 %
Enterprise
2009
2010
2011
2012
Katowicki Holding Węglowy
S.A.
37%
36%
39%
34 %
Jastrzębska Spółka Węglowa
S.A.
67%
85%
95%
88 %
LW „Bogdanka” S.A.
105%
89%
79%
75 %
Source: own work based on financial reports from the examined mining enterprises.
In none of the examined Polish mining enterprises (except for one case in 2009) the golden
balance sheet rule was achieved. Jastrzębska Spółka Węglowa and LW Bogdanka were the
closest to achieving it where equity was financing a great part of fixed assets; in case of the
first enterprise it was 95% in the last year of analysis and in the second one it was about
80%. Furthermore, in case of Kompania Węglowa and Katowicki Holding Węglowy we deal
with a situation in which equity was financing almost 40% of fixed assets. Considering the
character of fixed assets in a mining enterprise, it is a situation indicating a very high
financing risk.
Another element taken into account in the evaluation of capital structure is return on equity
(ROE) and return on all the capitals engaged in company’s activity measured by the return
on net operating assets (RNOA) ratio. The calculated ratios are presented in table 4.
Table 4. Return on equity (ROE) and return on net operating assets (RNOA) in the Polish mining
enterprises in the years 2009-2012 [%]
RNOA
ROE
RNOA
ROE
RNOA
2012
ROE
2011
RNOA
2010
ROE
2009
Kompania
Węglowa S.A.
1.8
0.3
1.6
0.3
19.6
4.5
11.1
3.15
Katowicki
Holding Węglowy
S.A.
6.6
2.0
2.2
0.7
10.7
3.3
3.9
3.24
Jastrzębska
Spółka Węglowa
S.A.
-13.0
-7.1
27.6
15.2
28.9
17.4
11.6
12.76
LW „Bogdanka”
S.A.
13.4
9.3
12.3
8.6
10.7
7.5
13.1
10.47
Enterprise
Source: own work based on financial reports from the examined mining enterprises.
In each of the examined enterprises the return on equity (ROE) was higher than the total
return on net operating assets (RNOA), which stems from burdening the debt capital with
financial costs. Significant differences between these two ratios show that there is a high
share of financial costs in the total costs of mining enterprises. In the examined period all the
enterprises, except for Jastrzębska Spółka Węglowa in the year 2009, achieved the positive
financial results. It translated into the positive levels of ROE and RNOA ratios. The highest
fluctuations in return may be observed in case of Jastrzębska Spółka Węglowa. It is the only
enterprise among the examined ones which specializes in mining a high quality type of coal
used on the market of steel and cocking coal. The remaining enterprises extract the hard
coal for energy purpose (power coal) (Oji, 2012). In 2009 Jastrzębska Spółka Węglowa noted
a negative return in the result of the global financial crisis which especially affected the
market of steel and cocking coal (Korenik 2002). The sales of cocking coal started to fall and
prices went down by about 50%. The other enterprises specializing in power coal survived
the crisis without loss. In the year 2010 Jastrzębska Spółka Węglowa made up for the losses
from the previous year, reaching a record return on equity in the industry on the level of
over 27%, in the view of total capital return equaling over 15%. In the next year these
indicators were slightly improved. The second mining enterprise, considering returns, is LW
„Bogdanka”. The return on equity in this enterprise amounted to from 13.4% in 2009 and to
10.7% in 2011. It is a satisfactory value although a decreasing tendency of this ratio may be
worrying. A similar situation occurs in case of return of total engaged capital. It fell from
9.3% in 2009 to 7.5% in 2011, but it still remained one of the highest in the industry in 2012.
In Kompania Węglowa, which is the highest and at the same time the most indebted
enterprise in the industry, in the two first years of analysis the return indicators were on a
very low level. The return on equity equaled almost 2%, which is a much lower value than
the risk-free rate. The situation considerably improved in 2011 when the net income
increased fifteen times in comparison with the previous year, with a slight increase of equity
value. In this situation the return on equity of Kompania Węglowa increased to almost 20%
with 4.5% level of the ratio of total assets return.
A significant increase of return was also noted in Katowicki Holding Węglowy in the year
2011. The return on equity increased from the level of 6.6% and 2.2%, accordingly in 2009
and 2010, to 10% in 2011. However, the return on net operating assets, similarly to
Kompania Węglowa, still remained relatively low (about 3% in 2012).
In the last stage of capital structure evaluation in the Polish mining enterprises the financial
leverage ratio (debt to equity) was examined. The results obtained are included in table 5.
Table 5. Value of debt to equity ratio in the Polish mining enterprises in the years 2009-2012
Enterprise
2009
2010
2011
2012
Kompania Węglowa S.A.
6.02
3.66
3.02
5.74
Katowicki Holding Węglowy
S.A.
2.44
2.35
2.07
2.75
Jastrzębska Spółka Węglowa
S.A.
0.90
0.74
0.61
0.64
0.42
0.44
0.44
0.52
LW „Bogdanka” S.A.
Source: own work based on financial reports from the examined mining enterprises.
The highest value of debt to equity ratio was achieved by Kompania Węglowa and Katowicki
Holding Węglowy. In most of the cases these were the enterprises with the highest debt.
Such value of financial leverage ratio is an opportunity for gaining the positive effects of
leverage in a configuration in which the return on equity ratio is higher than the return on
total assets (Klimek, 2011). In the conditions of such a high debt that we deal with in case of
these enterprises, it is an especially risky situation from the point of view of financial
liquidity (Lange, 2010). Two other enterprises from the examined industry are specific for a
much higher level of debt to equity ratio, nevertheless, the effects of financial leverage are
also positive in their case.
4. CONCLUSIONS
The mining industry in Poland has been considered as highly indebted, unprofitable and
being in a declining stage. However, currently the mining industry is undergoing a gradual
revival. The Polish mining enterprises are the leading hard coal producers in Europe (JonekKowalska, 2011). Progressive changes on the coal market cause that financing of the mining
enterprises becomes a current and important issue. Therefore, in the hereby article there
was a problem of analysis raised along with evaluation of capital structure in the Polish
mining enterprises. The analysis included 4 biggest mining enterprises and the research
period included the years 2009-2012.
In the capital structures of the two biggest Polish mining enterprises there is a debt capital
dominating. In Kompania Węglowa the share of debt in the capital structure is the highest in
the industry and, although it decreases year by year, it was about 75% in the final year of
analysis. Also in Katowicki Holding Węglowy the debt constitutes about 40% of total capital.
In these enterprises the financial risk is the highest. The lowest ratio of debt share in the
capital structure is in LW „Bogdanka” where it equals about 30%. In Jastrzębska Spółka
Węglowa the share of debt in the capital structure is of a decreasing tendency and in the last
analyzed year it amounted to almost 40%. Taking debt into account, the mining industry is
divided into two groups. On the one hand, there are enterprises of much better financial
conditions and more favorable configuration of the capital structure in the Polish mining
industry. These are Jastrzębska Spółka Węglowa and LW „Bogdanka” – the enterprises listed
on the stock exchange. The capital structure of these enterprises is balanced, with a
periodical dominance of equity. Fixed assets in these enterprises are in a great part or
periodically, even in total, financed by equity what significantly reduces the financial risk.
On the other hand, there are highly indebted enterprises. But these are enterprises with
good future perspectives. They slowly rebuild their equity, indicating at the same time a very
low but positive return on total assets and growing, even satisfactorily high in 2012, return
on equity. Although the activity of mining enterprises is accompanied by a high financial risk
resulting from the negative or very low net operating capital and low level of covering fixed
assets by equity, they are on a good path to curing their finances.
In general, the mining industry should be considered as a profitable industry even though in
the first analyzed years the level of returns was very low or sometimes negative. It was
caused by the global financial crisis which affected the demand and price of hard coal.
However, the industry was able to face the crisis and in 2012 it already reached the return
on equity on a decent level from 4% to almost 13% in the particular mining enterprises. The
return on equity (ROE) is higher in most cases than the return on net operating assets
(RNOA). These enterprises use a positive effect of financial leverage in this way.
Acknowledgments
The article was financed from the sources of the National Science Centre.
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Aneta Michalak, PhD, is a lecturer at the Silesian University of Technology, Faculty of
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Determinants of Economic Growth in Central and
Eastern Europe: A panel analysis
Prof.As.Dr. Valentina Sinaja
a
FE-Economics Faculty,Tirana, Albania
[email protected]
Abstract. This paper provides an analysis of the determinants of economic growth in Central
and Eastern Europe on the basis of a comparison with developments in the region that have
undergone a process of transition economy . Are analyzed 18 countries in central and eastern :
Armenia , Azerbaijan , Belarus , Bosnia & Herzegovina, Bulgaria, Georgia , Hungary,
Kyrgyzstan , Croatia , Latvia , Lithuania , Macedonia , Moldova , Poland , Romania, Slovakia
Slovenia and Albania for the period 1998-2011. The data on GDP, number of employees and
physical capital stock are taken from the database of the International Monetary Fund to 18
countries. While the total productivity of factors of production is taken from the database of
the "Total Economy Database". The data were obtained for the period 1998-2011 for 18 CEE
countries, which means that we are dealing with 18 individual units and 14 time periods, thus
forming 252 observations in total. Panel analysis will be used to construct the model of
economic growth.
Keywords : Cointegration , stacionarity , increasing, effects .
1 Introduction
The experience of Central and Eastern Europe countries in transition situations (CEE) and in
the countries of ex-Soviet Union (CIS) has been very different. Financial and economic crisis
has attacked all countries of CEE causing damage in the flow of development and fast
economic growth. So, the first years of raising for these countries has been and continue to be
very problematic. This makes you think about the development model before crisis situations
in the region, which is a unique model that resulted in a fast economic growth. With the fall of
Berlin Wall (1989), the South-Eastern Central and Eastern European countries, where are
located Baltic countries, Balkans countries as Albania, Bosnia, Bulgaria, Croatia, Serbia,
Armenia, Azerbaijan, Estonia etc came out of Eastern Block and communist centralized
system. By going toward trade economic system, each country would get through "transition
periods", which is characterized of similar trends but with their specific features according to
each country. This phenomenon made possible that centralized state economies as nonefficient had to close by force or make as private different sections of economy. This
approach resulted together with social and political tensions in a drastic reduction of the
domestic production for each person in the first years of after 90-s.In this period of time
unemployment goes to the top in many countries as result of privatizations, reduction of
administrate, closing of industries and exposing of agricultural section, where the majority of
people were employed toward to high productivity of trade economy. With the establishing
of the situation the employer force began to be postponed from non-profit sector to private
sector, growing its productivity ; raw materials which began to be used ,led in a fast economic
growth for a certain period of time. But this was not a consistent growth because these
countries were not supported in the aggregate production growth. During the period 19902011 countries have evolved in terms of income per capita . In year 1990 Albania estimated
GDP per capita level of $ 2,854 ( PPP ) in 2011shows a level of $ 8,944 ( PPP ) showing a
tripling of them . In 2011 Albania ranks last compared with all other countries and also its
GDP per capita results in less than one third of the EU average . These figures may make
optimistic retrospect but not too optimistic perspective if trying to compare countries EU
member states and the organic part of this potential merger . Comparing countries between
them in 2011 , Slovenia ranks first with $ 27.412 while coming in second place Czech
Republic with $ 26.046 . Larger differences observed in 1994 and in 2003. The first period of
divergence (1990-1994) is understandable because countries were approached to a new
economic system without having the experience needed heterogeneity showing their
individual behavior.
The second period of divergence (period 1998-2003) can be interpreted in commitments
group of EU member states such as Estonia, Hungary, Lithuania, Latvia, Poland, the Republic
Czech, Slovak Republic and Slovenia, took before joining them in 2004 by accelerate the
pace.
The economic growth of South-Eastern Europe countries was not reflected in the reduce of
unemployment .However, the unemployment was stopped somehow from the growth of
private sector, it remained high which led to the massive emigration of the employers toward
developed countries which resulted in a stabilization of the unemployment levels.
2. LITERATURE REVIEW
The economic growth and development have a positive influence in labor market but "the
unemployment growth", seems to be a big barrier for the poor people to benefit from the
positive flow of the growth of a country. The amount of the poor growth is seen depending on
the rates in which the growth generates employment and better possibilities for profits. On the
other hand competition and the wellbeing level of a country are related in a clear way with the
performance of the economic growth. There is no long-term reduction of poorness, without
economic growth. For this reason, the economic performance of regions, states and world has
given clear form to the studies during last decades. The main determinants of economic
growth, find their explanation in the empiric studies which suggest two approaches (Khan,
2004): The first ,neoclassic model (Solow, of the economic growth who suggest dissolution of
the economic growth level according to the contribution of the fundamental resources of the
economic growth such as: human capital, physical stock of capital and the growth of Total
Productivity of the Production Factors (TFP).
Secondly, during the building of the comparative analysis of the economic growth among
different countries, are identified the structure resources of the economic growth such as:
investment rates, registration rates in school, the integration in the international trade,
macroeconomic stability, infrastructure and quality of institutions. It is understandable that
these structure variables contribute in the development of one or some fundamental resources
of the economic growth which were used in the first approach.
Papyracis and Gerlagh (2007), analyze empiric determinants of the economic growth in the
United States, using facts cross-section in 49 countries. Their depending variable is the rates
of growth of GDP, independent variable of regress are initial income, natural resources,
investments, education, sincerity and corruption. They found that the empiric facts supported
the absolute hypothesis of the convergence for the United States, and they indicate that the
richness of the natural resources is a important negative determinant of the growth. The
studies of the regression of economic growth are used to explain the differences in the
economic performance between nations and regions. Mankiw, Romer and Weil (1992),
supposing the reduction of capital return, they agree that neoclassic theory of growth predict a
growing tendency of the convergence of nations or regions in development, so poor countries
or regions have tendency to grow faster than the rich countries.
3.ECONOMETRIC ANALYSIS
3.1 The data
The evidence on GDP, the number of employees and the physical capital stock are taken from
the base of International Monetary Fund for 18 countries, but the total of productivity of
factors of production is taken from the base of evidence of “Total Economy Database”. The
evidence is taken for the period 1998-2011 for 18 countries of CEE, which means that there
are 18 individual fractions and 14 time periods, creating in this way 252 observations in total.
There are given facts for all the variables for this studied period for each country and for all
time period, this evidence forms a balanced panel.
3.2 Growth model
The model which will be estimated to identify the determinants of economic growth for 18
countries of Eastern Europe and Central Asia as: Albania, Armenia, Azerbaijan, Belarus,
Bosnia & Herzegovina, Bulgarian, Croatia, Czech Republic, Estonia, Georgia, Hungary,
Kirgiziane Republic, Latvi, Lithuania, Macedonia, Moldova, Slovak Republic and Slovenia is
as follows:
Lnyit = β0it + β1lnkit + β2PTFit + ut
where:
Yit- represents GDP which is measured according to parity of the purchasing power divided
for the number of employees in a respective place.
PTF – represents the growth of total productivity of the production which is expressed in a
difference.
lnk – represents logarithm of physical capital stock per worker in a respective place
ut – represents remains of regression
3.3 The study of Stacionarity
The first step of analysis which is formed on the evidence which has their part the time series
is stationarity. For its study is used the unit root test for the panel evidence based on the test
Levin-Lin-Chou and Breitung to find out if they have common unit roots for all the variables
of the panel5. The test of stationarity :
Δyit = δiyi,t-1 + z’itγi + εit
H0 : δi = 0 for each i
Ha : δi < 0 - are stationer
If all the variables have unit roots, then the series are not stationer and in this case is used the
rule of differentiation to indicate that the variables are stationer or positioned of the first
place. When variables are stationer of the first place than Johansen test of co-integration for
the panel evidence is applied to see if the short-term estimated relationship stand even for
long-term periods. To discover the direction of the relationship in short-term periods is used
5
Other tests of unit roots for the panel evidence as Im-Pesaran-Shin;Fisher-Adf,Fisher-PP test
for existence of the unit roots,individual for each variable of panel.
Engel-Granger test. Tests results Levin, Lin, Chu and Breitung of the unit roots showed that
the panel evidence studied have common unit roots in the same level of GDP per worker, in
the same way the physical capital stock for worker .For this reason that the variable of total
productivity of factors is taken divided from the unit root test, it proves to be stationer in
level6.
Im-Pesaran-Shin, Fisher-Adf, Fisher-PP tests show that exist individual unit roots as for Lny
and Lnk. Making the difference of order 1 is seen that the series of physical capital stock per
worker becomes stationer, which means is I(1).On the other hand the series of GDP for ImPesaran-Shin and Breitung tests shows a presence of unit roots and difference of the first
order and second order. Despite this it s interesting that the series of GDP is differentiated
according to I(1), in order not to lose more information and not to attenuate more than it is
necessary its change, which affects negatively in the evaluation of panel model.
Because of the series is stationer of first place, I(1) than to determine if the series cointegration which each-other Johansen Fischer test should be done (table 1) for co-integration
of the panel evidence. The co-integration results depend importantly on the number of
logarithm used for the remnants. In our case only remnants in lag (1) are considered. Because
of the probability for each of tests is smaller than 0,05 then we can say that series co-integrate
with each-other.
3.4 Econometric Model
Firstly we estimate the regression on combined data, using OSL, from which we get a
common constant for all the countries in the survey. In this case OLS provides efficient
estimates but with heteroscedasticity, autocorrelation or correlation problems, of observations
within a country. In this case the individual effects are included in the error term.
Lnyit = β0it + β1lnkit + β2PTFit + ut
where:
i - Stands for individual units, in this case for each of the CEE countries analyzed, and
t - for the relevant period.
Variable
6
Coefficient
Standard error
t statistics
p value
β0it
0.045
0.002
17.776
0.000
Δlnkit
0.113
0.013
8.253
0.000
PTF
0.006
0.0005
10.073
0.000
R2adj
AIC
HQ
DW
Prob
0.581
-3.780
-3.762
1.246
0.000
So, we say that the series of total productivity of factors is I(1).
Table 2: Evaluation of the model Δlny with united data
Secondly, it is estimated the fixed effects model (FEC) according to cross-section to
determine if different CEE countries have different initial levels of economic growth (so they
have different values of intercept. If unobserved individual effects are correlated with the
explanatory variables, OLS produces displaced and inefficient estimators. In order to get the
individual effects, dummy variables for each country are included in the model, thus avoiding
also the internal correlation. To avoid the dummy variable trap, we use 17 dummy variables
for the 18 observed countries.
Lnyit = α0 + α1D1i + α2D2i + α3D3i +......+ α17D17i + β1lnkit + β2PTFit + uit
To determine if all countries, during different periods, have different levels of economic
growth, we estimate the model of fixed effects (FEP) by period. In order to do this, we
incorporate in the model dummy variables, for the 14 observed years. However, the addition
of a large number of variables in the model, results in a loss of degrees of freedom and the
estimations achieved will be displaced.
Lnyit = c0 + c1D1i + c2D2i + c3D3i + ... + c13D13i + β1lnkit + β2PTFit + uit
Moreover, it is also estimated the model of fixed effects for cross-sectional data and for time
series (FEPC). (Table3)
Lnyit = α0 + α1D1i + α2D2i + α3D3i+ .... + α17D17i + c1D1i + c2D2i + c3D3i + ... + c13D13i + β1lnkit +
β2PTFit + uit
Finally, we estimate the equation with random effects by cross-section and time series, which
estimates the expected value of intercept and avoids potential correlation between individual
observations and the error term, using the composite error term.
Lnyit = β0it + β1lnkit + β2PTFit + wit
where:
wit = uit + μit represents the composite error term, consisting in the regression error term and
stochastic differences. (Table 4)
Among the models of random effects, the model of random effects by cross-section and
period, is assessed to be the most suitable, taking into consideration R2, statistical significance
of variables and DW. Therefore, it is applied Hausman test, in order to select the best model,
between the one with fixed effects by cross-section and the one by period. (Table 5)
Given that the Chi statistics is 0.000, for both cross-section and period, the appropriate model
to use when estimating is the model of random effects by cross-section and period. After
evaluating the random effects model, for both individual and period records, it results that an
increase of one percentage point of the physical capital stock leads to an economic growth of
0.086 percentage points, when all other variables kept constant.
Also, for an increase of one percentage point of the total labor productivity, leads to an
economic growth of 0.006 percentage points, for all countries in our research and when all
other variables are held constant.
Regarding the normal distribution test, statistics J-B =594.95 p=0.000, so the basic hypothesis
is rejected, residuals do not result in normal distribution.
Referring to the results of effects of countries and time series (table 6) we can say that: From
the intercept estimates, it is noted that Moldova and Slovenia have parted from the worst
position of economic growth compared to all the other countries. Meanwhile, Bosnia &
Herzegovina is in a better initial economic position. Based on the estimation of effects of the
period, presented in the intercept, it is noted that for all countries, growth has been at its
lowest in 1999 and has had an upward trend until 2008.
4. Results and Conclusions
Levin, Lin, Chu and Breitung tests of unitary roots, indicate that panel data have common
unitary root level for GDP per worker as well as for the stock of physical capital per worker.
Being that the factors total productivity variable is taken differentiated, from the test of
unitary roots it results in stationary level, which means that the series of this variable is I(1).
Im-Pesaran-Shin, Fisher-ADF, Fisher-PP tests indicate that there are individual unitary roots
for LNY and Lnk. After integrating in the first order, it is noted that the series of the stock of
physical capital per worker turns stationary of order I(1). While GDP series for Im-PesaranShin, and Breitung tests appears a presence of unitary roots even in the first and second order
difference. Despite this, it is of interest that the GDP series be differentiated according to I
(1), in order to prevent loosing more information and to not soften too much its variability,
which would adversely affect our assessment of the panel model.
5. Literature














Fainzylber, P. and Lederman, D. (1999), “Economic Reforms and Total Factor
Productivity Growth in Latin America and the Caribbean (1950-95)”.
Kota, V. (2009), “Faktorët përcaktues të rritjes ekonomike në Shqipëri”.
Sinaj. V. Financial development and economic growth: An econometric analysis for
Albania.2014.
World Bank (2014), "World Development Indicators".
http://www.bankofalbania.org
http://databank.worldbank.org
http://www.iedm.org
http://www.conference-board.org/data/economydatabase/
Barro, J. R. & Sala-i-Martin, X. (2004). Economic Growth, 2nd edition.
Massachusetts , The MIT Press Cambridge.
Cohen, M. W.& Levinthal, A. D. (1989). Innovation and Learning: The Two Faces
of R&D. The Economic Journal, 99, 569-596.
Dollar, D.& Kraay, A. (2001b). Growth Is Good for the Poor. World Bank Policy
Research. Working Paper, No 2587.
Elgar, F. J., & Aiken, N. (2010). Income inequality, trust and homicide in 33
countries.European Journal of Public Health , 1-6.
European Commission, (2006). The Western Balkans on theroad to the EU:
Consolidating stability and raising prosperity , Communication from the
Commission, COM.
Fuentes, R. & Morales, M. (2007). “Measuring TFP: A Latent Variable Approach.
Central Bank of Chile, Working Papers, N° 419.
Appendix
Hypothesized
No. of CE(s)
Trace
Test
Model 1
Model 2
Prob
MaxEigen test
Prob.
Trace
Test
Prob.
MaxEigen test
Prob.
None *
196
0.000
167.6
0.000
243.8
0.000
205.7
0.000
At most 1
73.74
0.000
71.97
0.000
81.15
0.000
77.84
0.000
At most 1
34.21
0.553
34.21
0.553
34.21
0.553
34.21
0.553
No trend & no Intercept In CE or test VAR
No trend & Whith Intercept In CE or test
VAR
Table 1. The results of co-integrim test Johansen Fischer for panel data.
**MacKinnon-Haug-Michelis (1999) p-values
Fixed Effects by cross-section
coeff.
Std
error
Fixed Effects by time
t. Stat
Prob coeff.
Std
error
Fixed Effects by cross-section
and time
t. Stat Prob
coeff.
Std
error
t. Stat Prob
β0it
0.044
0.002
18.763
0.000
0.0473
0.002
20.685
0.000
0.046
0.002
22.731
0.000
Δlnk
0.106
0.013
8.003
0.000
0.0857
0.013
6.286
0.000
0.080
0.012
6.547
0.000
0.006
0.0006
10.19
0.000
0.0056
0.000
10.391
0.000
0.006
0.000
10.620
0.000
R2adj
AIC
SC
DW
R2adj
AIC
SC
DW
R2adj
AIC
SC
DW
0.640
-3.864
-3.569
1.554
0.688
1.299
0.760
it
PTF
-4.027 -3.806
Table 1: Estimated models with fixed effects by cross-section, according to the period and
according to both of them together
Note: Δlny dependent variable; The models are all statistically significant (p = 0.000)
-4.223 -3.750
1.80
Random Effects by cross-section
Random Effects by time
coeff.
Std
error
t. Stat
Prob coeff.
β0it
0.044
0.004
10.749
0.000
Δlnkit
0.109
0.013
8.30
PTF
0.006
0.000
10.385
DW
Prob
R2adj
0.606
1.448
0.000
Random Effects by crosssection and time
Std
error
t. Stat
Prob coeff.
Std
error
t. Stat
Prob
0.046
0.005
8.883
0.000
0.046
0.006
7.221
0.000
0.000
0.092
0.013
6.965
0.000
0.086
0.011
7.200
0.000
0.000
0.005
0.000
10.73
0.000
0.006
0.000
11.173
0.000
R2adj
DW
Prob
R2adj
DW
Prob
0.491
1.283
0.000
0.516
1.632
0.000
Table 2: Estimates of the model with random effects for both cross-section and time period.
Statistics Chi
Prob.
Period random
0.000
1.000
Cross-section
Random
0.000
1.000
Period and Cross
random
6.716
0.034
Table 3: Hausman test results
Dummy
Variable
Country
Free term value
Year
Free term value
1
Albania
-0.005089
1999
-0.018428
2
Armenia
0.005515
2000
-0.000850
3
Azerbajxhani
0.025029
2001
-0.001549
4
Bjellorusia
-0.008842
2002
-0.004088
5
Bosnjë &
Herzegovina
0.026140
2003
-0.003000
6
Bullgaria
0.019602
2004
0.004467
7
Croatia
-0.000808
2005
0.011730
8
Czech Republic
-0.008143
2006
0.025633
9
Estonia
-0.001823
2007
0.016977
10
Georgia
0.008184
2008
0.031385
11
Hungaria
0.002157
12
Republic Kirgiziane
-0.007101
13
Latvia
0.003949
14
Lituania
-0.004847
15
Macedonia
-0.009429
16
Moldavia
-0.027966
17
Slovak Republic
-0.002835
18
Sllovenia
-0.013692
Table 4: Free term values for each country and each year according to the random effects for the crosssection for the period.
Application of Lean Six Sigma Principles to Food
Distribution SMEs
Fahed Algassema, QingPing Yanga, Joe Aua
a
School of Engineering and Design, Brunel University, Uxbridge, Middlesex UB8 3PH
[email protected]
[email protected]
[email protected]
Abstract. Across the world service industry organisations including SMEs have been facing
unprecedented challenges in delivering best quality products at low costs and fast delivery
speeds. Lean and Six Sigma are increasingly used as practical methodologies to improve
delivery and quality and to reduce operational costs, to thereby enhance business
competitiveness. This study aims to investigate the implementation of Lean Six Sigma by
means of an empirical case study in food distribution SMEs in Saudi Arabia. Suitable
statistical tools have been applied in each phase of the DMAIC cycle. The case study
indicated that a combination of the strengths of each approach could bring about considerable
performance improvements in SMEs.
Keywords: Lean, Six Sigma, Lean Six Sigma, SMEs, Food distribution.
1 INTRODUCTION
For service industry businesses to succeed and prosper, it is essential for them to stay ahead of
the competition and to respond to market changes rapidly. Nowadays SMEs face even greater
challenges because they have to compete in the global economy. SMEs have been forced to
respond more quickly in this new economic climate and to become more flexible
operationally, tactically and strategically. The ever-increasing competitions in the current
challenging business environment have meant that companies have to enhance their supply
chain performance. This has resulted in supply chain management becoming a significant way
for companies to achieve a competitive advantage. Food distribution firms provide the link
between food manufacturers and end consumers. Important activities of a food distribution
firm include procurement, inventory, warehousing, order processing, and customer service
(Nabhani and Shokri, 2009).
During the second half of the Twentieth Century, Lean and Six Sigma were the two most
important structured process improvement methodologies. They each evolved separately;
Lean concentrates on process speed and eliminating waste, and Six Sigma, like its forerunner
TQM, aims to eliminate process variation which leads to defects. When the two
methodologies are combined the results will be superior to the outcomes that would result
from either one alone. The integrated approach is superior to earlier ones because it integrates
the process elements and the human elements of process improvement. Lean concentrates on
improving process speed and removing waste, while Six Sigma concentrates on eliminating
the process variation which results in defects. ‘Lean Six Sigma’ combines Lean and Six
Sigma to offer the best of both systems.
The subject of this case study is a food distribution SME. The company faces many problems
and difficulties in the process of delivering food, two of the most prominent being delays in
the delivery of orders and low levels of quality, leading to customer dissatisfaction with the
service provided. Customers have made negative observations and complaints, suggesting the
potential for financial losses due to loss of customers. Prior to starting this Lean Six Sigma
project to improve the quality of service at the company, the total cost of late deliveries was
calculated, to justify the running of the project. This paper will address these issues, aiming
to investigate the implementation of Lean Six Sigma by integrating some of its principles by
means of a case study in food distribution SMEs.
2 THE NEED TO INTEGRATE LEAN AND SIX SIGMA
Lean six sigma is a methodology which strives to achieve maximum shareholder value by
rapidly improving customer satisfaction, quality, and process speed and flexibility as well as
reducing cost and increasing bottom-line savings (George, 2002; Shamou and Arunachalam,
2009; Snee, 2010). Lean strategies play a significant part in eliminating waste and non-valueadded activities throughout the organisations, while Six Sigma statistical tools and techniques
allow an organisation to reach a higher standard of process performance and capability
(Antony, 2011; Kumar et al., 2006). In spite of Lean and Six Sigma having developed
separately, several articles advocate an amalgamated approach (Pepper and Spedding, 2010).
Most of the current literature implies Lean and Six Sigma are the optimal combination for
process improvement (George, 2002; Arnheiter et al, 2005; Shamou and Arunachalam, 2009;
Antony, 2011; Zhang et al, 2012; Salah et al., 2011; Snee, 2010). Snee (2010) writes that
Lean and Six Sigma are clearly based on two different perspectives. Lean is based on the wish
to raise the product flow velocity by eliminating all non-value-added activities while Six
Sigma has its roots in the desire to guarantee final product quality by concentrating on very
high conformance levels. It is important for the supporters of one system to learn from the
supporters of the other. As has been mentioned previously, when companies implement either
Lean management or Six Sigma on its own, they may reach a point of diminishing returns.
Six Sigma and Lean go hand in hand and complement each other. If Lean and Six Sigma are
integrated it results in a combination of the Lean philosophy of waste elimination with the Six
Sigma mentality of constant perfection (Lee and Choi, 2006). Similarly Pepper and Spedding
(2010) argue that the fusion of Lean and Six Sigma is potentially an extremely powerful tool.
If Lean’s cultural elements and Six Sigma’s data driven investigations are combined, the
result could be an indisputable and ongoing approach to implementing organisational changes
and improving processes. The results obtained when the two methodologies are brought
together are superior to the results obtained from one method alone. When Lean and Six
Sigma are integrated this results in greater flexibility in problem solving and offers two
possible approaches, Kaizen and DMAIC, to use when tackling problems, according to the
kind of problem or project involved (Shamou and Arunachalam, 2009). Furthermore Lean Six
Sigma has been useful in SME organisations as Zhang et al. (2012) have pointed out.
Nevertheless there is still room for more research in this area so as to develop the theoretical
background of the implementation of Lean Six Sigma in SMEs.
Lean and Six Sigma are two well-known strategies for business process improvement which
can offer striking improvements in cost, quality and time by concentrating on process
performance (Kumar et al., 2006; Taylor, 2009). By raising levels of customer satisfaction
rapidly, Lean Six Sigma maximises shareholder value (Nabhani and Shokri, 2009). Arthur
(2007) believes that quality, cost and on-time delivery are the most important drivers of
customer satisfaction. When the two tools are used in combination, it is highly likely that all
three objectives will be achieved.
3 IMPLEMENTING THE LEAN SIX SIGMA METHODOLOGY
The organisation of the case study has been based on the proposals by George and George
(2003) and George et al (2005). The small project team consists of four members and the
scope of the case study is to achieve a reduction in the number of complaints about the
delivery process and quality of goods. Suitable statistical tools have been applied in a
synergistic and integrated application of Lean Six Sigma methodology to use customer
requirements as a means of pinpointing defects and their causes, then to apply the best
solution to enhance the delivery process. Table 1 shows the tools and technologies which have
been applied in the study in each phase of Lean Six Sigma within the DMAIC cycle
framework.
Table 1: Tools and technologies which have been applied
DMAIC
Define
Measure
Analyse
Improve
Control
Tools
Project charter, Interviews, SIPOC Diagram, Data Collection, Pareto Chart.
Data Collection, Brainstorming Strategy, Histogram, Process Map, Process
Capability Calculation, Sigma Level Calculation, VSM analysis calculation,
VOC Identification.
Fishbone Diagram, Cause & Effect Matrix, Pareto chart, Brainstorming
Strategy, Quality function deployment method.
Brainstorming Strategy, VSM Analysis Calculation, Process Map,
Implementation Plan.
Data Collection, Process Capability Calculation, Sigma Level Calculation
The implementation of this project began with the ‘define’ stage, where a project charter was
established. Definitions were established of prerequisites such as the goals of project, its
scope and the resources required, providing a basis on which the subsequent stages could
proceed. According to George and George (2003), the basic principle of Lean Six Sigma is
that a defect is anything that makes a customer dissatisfied, such as poor quality, high cost
and long lead times. The first step in dealing with these problems is to take a process view of
how the firm meets customer requirements. The tool for building a high-level map of such a
process is a SIPOC diagram (Figure 1), including suppliers, inputs, processes, outputs and
customers.
Figure 1: SIPOC diagram
A sample of customers was asked about their satisfaction with the service provided by the
company and the main problems that they had faced or noted when their orders were fulfilled.
The problems related to delivery were incorrect billing, late delivery, supply of a reduced
quantity, substandard items delivered, and incorrect products or quantities delivered. A Pareto
chart (Figure 2) shows that 50 percent of all complaints related to delivery were about late
delivery, meaning that this was the problem having the greatest impact.
Figure 2: Pareto chart based on defects
A Pareto chart based on costs was used for deeper analysis. Costs were determined on the
basis of two main considerations: the average cost of the possibility of losing a customer and
the calculated cost per defect in the service provided. Looking at the curve chart used to
calculate the cost based on the above considerations, it can be seen that both give almost the
same result, i.e. that late delivery and substandard items delivered were respectively the most
costly problems, so the next step was to concentrate on late delivery to identify its causes and
potential solutions.
At the measuring stage, the current process was mapped and measured. ‘Late delivery to the
shops’ was used as the critical-to-quality variable (CTQ-Y), with the defect being late
delivery. Since cycle time was identified as CTQ, a data collection plan was developed. Key
measures and sources of data must be identified for proper data collection to take place.
The customer complaint database indicated that delivery-related variables were the lateness
by sales office, time spent loading, lateness by customer, number of shops and traffic
problems. Figure 3 shows that, ‘lateness by sales office’ was the variable appearing most
often in the customer complaint database. It was necessary to verify this further. The main
objective was to reduce as far as possible the number of causes of this defect.
Figure 3: Pareto chart based on delivery-related variables
A value stream map (VSM) analysis was carried out to verify the result of the Pareto analysis.
A current-state VSM was drawn, allowing the one non-value-added step that should be
removed to be identified. Next, a future-state VSM was drawn by removing from the process
any non-value-added step, then identifying any potential for reducing the cycle time in each of
the other steps.
Looking at the average time data in all steps of the current-state and future-state value stream
maps, it was noted that there were two key gaps between the ideal and existing amount of
time spent, on billing of sales and on loading the items.
The causes were seen to be the same as those of the Pareto chart, indicating that lateness by
the sales office was the most important cause of the defect. The root causes of the problem of
late delivery can be identified by using the fishbone diagram shown in Figure 4.
The association/effect scores for each of the variables were entered after brainstorming and a
fishbone diagram was drawn up. Possible sources (Xs) were chosen for further analysis with a
cause and effect XY matrix (Table 6), using the CTQ-Y variables, so that the possible sources
of the three elements could be identified and the number of potential causes narrowed down.
Figure 4: Fishbone diagram
The four causes with the highest scores, i.e. those having the most impacts on lateness by the
sales office, were chosen as the key sources of the defect, to be given further considerations,
so that suitable solutions could be implemented during the improvement and implementation
stages. These four sources, identified as potential causes of the three variables which had
already been chosen as the CTQ-Ys for delivery time, were: Bad loading planning; Loading
method; Late morning start; and Lack of equipment.
Based on the results of the analysis phase and after determining clearly the reasons for the
delay, the team members categorized the solution as comprising two key stages: changing
daily hours of work and improving operations management. It had already been suggested
that delivery time could potentially be reduced by changing the daily hours of work,
improving the loading method and loading planning, and using trolleys to carry the items in
order to help deliver the services in the right quality and quantity at the right time.
4 RESULTS
By using the above method, we were successful in reducing the cycle time required to deliver
orders to customers during working hours, which helped to reduce delays in delivery and
increase customer satisfaction significantly, thus reducing the likelihood of losing customers
due to dissatisfaction. The results of the data analysis indicate that changes in hours of work,
loading plan and loading method brought down the number of defects by 95% from 10.5 to
0.5 per week, resulting in a considerable improvement in the Sigma level from 1.7 to 3.55.
Although the direct focus of the project was the causes of deliver delays, it contributed
indirectly to raising the quality of goods delivered and reducing the number of customer
complaints about delivery of substandard goods, as the new trolleys helped significantly in
reducing the risk of dropping items and damaging them while they were being taken to the
trucks.
Table 2: results of implementation Lean Six Sigma
DMAIC
Tools
After improvement
Defect/week
10.5
0.5
Sigma level
1.7
3.55
5 CONCLUSION
There are a range of operational difficulties which affect food distribution SMEs in Saudi
Arabia. Lean Six Sigma can be used to great effect to reduce or eliminate the associated
defects. The case study indicates that a combination of the strengths of each approach (the
speed of Lean and the consistency of Six Sigma) could bring about considerable performance
improvements. A synergy of Six Sigma and Lean has provided an effective methodology
which has helped to improve food distribution in an SME by reducing costs, improving the
cycle time and reducing quality defects, thus increasing customer satisfaction. These
significant improvements demonstrate the effectiveness of the Lean Six Sigma approach. In
view of the success of this methodology in this specific case, it is likely that it can also be
usefully implemented in SMEs in other service industries.
References
Antony, J. (2011), “Six Sigma vs Lean: Some perspectives from leading academics and
practitioners”, International Journal of Productivity and Performance Management, Vol.
60, No. 2, p. 185-190.
Arnheiter, E. D. and Maleyeff, J. (2005), “The integration of Lean management and Six
Sigma”, The TQM magazine, Vol. 17, No. 1, p. 5-18.
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George, M. (2002), Lean Six Sigma combining Six Sigma quality with Lean speed, McGrawHill.
George, M. L., and George, M. (2003). Lean six sigma for service, McGraw-Hill, New York.
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toolbook.
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Lean Sigma framework in an Indian SME: a case study”, Production Planning and
Control, Vol. 17, No. 4, p. 407-423.
Lee, K.-C. and Choi, B. (2006), “Six Sigma management activities and their influence on
corporate competitiveness”, Total Quality Management and Business Excellence, Vol.
17, p. 893.
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SME through the implementation of Six Sigma methodology”, Journal of Manufacturing
Technology Management, Vol. 20, No. 7, p. 957-974.
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International Journal of Quality and Reliability Management, Vol. 27, No. 2, p. 138-155.
Salah, S., Rahim, A., and Carretero, J. A. (2011), “Implementation of Lean Six Sigma (LSS)
in supply chain management (SCM): an integrated management philosophy”,
International Journal of Transitions and Innovation Systems, Vol. 1, No. 2, p. 138-162.
Shamou, M., and Arunachalam, S. (2009), “Integrating Lean and Six Sigma for optimum
manufacturing performance”, in Proceedings of Advances in Computing and Technology
(AC&T), The School of Computing and Technology 4th Annual Conference, University
of East London, p. 51-60, ICGES Press.
Snee, R. D. (2010), “Lean Six Sigma – getting better all the time”, International Journal of
Lean Six Sigma, Vol. 1, No. 1, p. 9-29.
Taylor, G. M. (2009), “Lean Six Sigma service excellence: A guide to green belt certification
and bottom line improvement”, J. Ross Publishing.
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Literature Review.
Usage of GA with Multilevel Thresholding to Detect
Ice Thickness of Iced Conductor
Bahadır Akbal,a Musa Aydınb
a
Department of Electrical and Electronics Engineering,
Selçuk University, 42075, Konya, TURKEY
[email protected]
b
Department of Electrical and Electronics Engineering,
Selçuk University, 42075, Konya, TURKEY
[email protected]
Abstract. Ice load on the electrical transmission line (ETL) can change the aerodynamics of the lines,
causing galloping and faults, for example short circuits. If enough ice load forms, the weight of ice on
the line can cause the electrical lines to collapse and then it can cause loss of load. Thus electrical energy
of some consumers may be cut for days. So, ice load must be monitored continuously to prevent this
case. Image processing can be used to monitor ice load and to determine ice thickness of iced conductor.
Ice thickness of iced conductor can be determined by using image segmentation, and image
segmentation makes according to optimum threshold value. Optimum threshold value can be determined
bi-level threshold method or multi-level threshold method. It was seen in literature that multilevel
threshold method is an effective method in object recognition. Multilevel thresholding can be made by
Otsu method. But determination of optimum threshold level is difficult process. In this study, multilevel
threshold method was used and its optimum threshold level was determined with genetic algorithm.
Objective function of genetic algorithm is determined by Otsu method.
Keywords: Ice load, electric transmission line, image processing, multilevel.
1 Introduction
At cold and humid weather, ice occurs on the conductors of transmission line and it is called
as ice load. Ice load occurs generally at between 2˚C and -8˚C temperature and at least 95%
humidity. Ice load amount on conductor increases at low temperature and high humidity and
if its amount increases excessively, transmission line pole may be bending or conductor may
be breakage. Ice load can be monitored continuously to decrease its effect of ice load. Image
segmentation was used to determine ice thickness of iced conductor in this study. There are
lot image segmentation methods. It was seen in literature that bi-level threshold method is not
enough for some object identification. Thus multilevel threshold method was used for image
segmentation studies. Multilevel threshold can be made Otsu method. But detecting of
optimum threshold level is difficult. The optimum threshold level can be determined by using
artificial intelligence methods for multilevel threshold.
Particle swarm optimization (PSO) method was often used in literature. When PSO is used
with Otsu method, its results are better than traditional Otsu method results. Two-dimensional
Otsu method is suggested for segmentation of low-contrast iced conductor. The result of two-
dimensional Otsu method is good but algorithm speed is low level. Multilevel threshold was
made with maximum entropy and developed PSO (DPSO). Convergence of the suggested
method is faster than convergence of traditional PSO, and 5 threshold levels were used but the
best level for segmentation was not defined.
When transmission line monitoring was made with video processing, two-dimension Otsu
method was used to eliminate noise of image. The best simulated annealing PSO (SA-PSO)
was used with two-dimension Otsu method to detect the best threshold level. But single level
threshold was made. When hybrid PSO-GA was used with OTSU method, noise of image was
eliminated, and threshold number and the best threshold level is not indicated. Slope-line
search algorithm was used to determine ice thickness. This method is different the other
methods. In this method image segmentation was made with single level threshold. If
multilevel threshold can be used, the better results may be obtained. Support Vector Machine
(SVM) and Artificial Neural Network (ANN) were used as different method to detect ice
thickness of iced conductors. SVM and ANN were used to classify image. When SVM and
ANN were compared, the result of SVM is better than the result of ANN. But ice thickness of
SVM and ANN were not indicated.
In this study, multilevel thresholding was used to determine ice thickness of iced conductor.
Multilevel thresholding was made by using Otsu method. The optimum threshold level was
determined by using Genetic Algorithm (GA). The result of Otsu-GA methods were
compared at the end of this study.
2 PROBLEM FORMULATION
Otsu indicated between-class variance method for image segmentation. In this method,
variance of different classes is maximum value. When an image is divided as two classes,
these classes can be defined as C0 and C1. If threshold level of C0 and C1 is determined as t, C0
includes the gray level from 0 to t-1, and C1 includes the gray level from t to L. gray level
probabilities are defined as w0 and w1, and distribution of gray level probability of classes as
follows ;
C0 
p0
p
p
p
,........, t 1 and C1  t ,........, L
wt
wL
w0
wt 1
where w0 
t 1
L
i 0
i t
 Pi and w1   Pi
(1)
(2)
The mean levels of classes are defined as µi. the mean levels of image are defined as µT.
t 1
0  
i 0
L
i.Pi
i.P
and 1   i
w0
i t w1
0 .w0  1.w1  T and w0  w1  1
(3)
(4)
Otsu's method which is based on between-class variance is defined as follows;
f (t )   0  1
Where
 0  w0 .(0  T )2
and
1  w1.(1  T )2
(5)
(12)
In bi-level threshold studies, optimal threshold level (t) is determined by Otsu method as
follows;
t  arg max  f (t )
(6)
Multilevel thresholding of an image can be extended between-class variance function.
m
f (t )    i
(7)
i 0
The number of threshold is m (t0,t1,t2,.....,tm), and the number of classes in original image is
m (C0,C1,C2,.....Cm).
Where
f (t )   0  1   2  .....   m
(8)
 0  w0 .( 0  T ) 2
 1  w1.( 1  T ) 2
 2  w2 .( 2  T ) 2 ...
(9)
 m  wm .( m  T ) 2
The optimum threshold levels (t0,t1,t2,....,t3) are determined as follows;
(t0 , t1 , t2 ,...., tm )  arg max  f (t )
(10)
3 BRIEF DEFINITON OF PROPOSED METHOD
In this study, iced conductor image which is shown Fig. 1 was used for ice load monitor
study. This iced conductor belongs to ETL which was harmed by ice load. Primarily image
segmentation must be made properly. If image segmentation is made properly, target object
can be detected correctly.
After this image was converted to gray level, average filter was used to determine ice
thickness of conductor. Unnecessary object images on image of iced conductor were
eliminated with average filter. After average filter was implemented to the gray level image,
its histogram was obtained. Optimal threshold point can be determined by using the obtained
data from histogram.
Fig. 1. Iced conductor.
It seen in literature that the results of multilevel thresholding are better than the results of
bi-level thresholding for image segmentation. Therefore multilevel thresholding was
preferred in this study. Multilevel threshold can be made Otsu method. But detecting of
optimum threshold values is difficult. Thus GA was used to detect optimum threshold values
for image segmentation. When Otsu method was used with GA, objective function was
determined equation (10). So t0,t1,t2,…tm values which is on gray value histogram can be
determined easily by using Otsu method with GA. t0,t1,t2,…tm values is shown Fig.2.
Fig. 2. Histogram of gray level image
After threshold level and threshold values are determined, edge detection can be made.
There are a lot edge detection methods in literature. These methods can be defined as two
topics. These topics are first-order and second-order edge detection operators. First-order edge
detection operators are Roberts Cross, Smoothing, Prewitt, Sobel, and Canny. Second-order
edge detection operators are Laplacian, Zero-crossing and Laplacian of Gaussian. Marr–
Hildreth algorithm was used for edge detection. Marr–Hildreth algorithm is based on the zerocrossings of the Laplacian of the Gaussian operator.
4 GENETIC ALGORITHM
Find the optimum threshold levels is difficult process by using only Otsu method. Thus
genetic algorithm was used in this study. Genetic algorithm is one of the powerful algorithms
to solve optimization problems.
Working principle of genetic algorithm as follows:
1. Chromosome population is occurred as random according to iteration number and genes
numbers. Genes are t0,t1,t2,…tm.
2. Fitness value of chromosome is calculated by objective function, and affinity value is
calculated. Objective function is determined by Otsu method. Chromosome selection
process for crossover operation is made according to affinity value. In this study tournament
selection method was used as the selection process, and the selected population was
occurred for crossover. Two chromosomes are selected and affinity values of chromosomes
are compared in tournament selection process. If chromosome affinity value is good another
chromosome affinity value, it is selected for crossover process. Tournament size determines
according to population size.
3. Crossover is made after the selection process. Crossover is made according to crossover
rate (Pc). The number is produced random between 0 and 1 for any chromosome which will
be selected for crossover. If the number (or ID) of chromosome is less than Pc, it is selected
to crossover. After the crossover population is created, chromosomes are selected as pair,
and mutual gene exchange is made between pair chromosome. If the selected chromosomes
are shown as C=(C(1),C(2),C(3),..,C(m)) and K=(K(1),K(2),K(3),..,K(m)), crossover can be shown
by equation (11) for each gene.
Cn(i)   .C(i)  (1   ).K (i)
and
Kn(i)   .K(i)  (1   ).C(i)
(11)
So new chromosomes are produced as Cn and Kn. i which is produced randomly is a number
according to gene number. β is produced random between 0 and 1. Change of the number
of genes is determined as randomly.
4. Mutation is made when radical change need in genes. Mutation provides variation in
population and is made according to mutation rate. The number is produced random
between 0 and 1 for any bit which will be selected for mutation. If the number is less than
mutation rate, this bit is selected for mutation process. The selected bit is changed with a
random number
5 EXPERIMENTAL RESULTS
At least three threshold levels were selected to determine ice thickness of iced conductor
which is shown Fig.1. Ice thickness was determined by using Otsu method with GA. Ice
thickness of ice conductor is determined according to number of pixels which is obtained after
edge detection process. Different threshold levels were used to determine ice thickness of iced
conductor. When Otsu-GA method was used to determine ice thickness, Table 1 and Fig. 3
Table 1. Font sizes and styles.
Threshold
Level
The Number
of Pixels
3
Threshold
The Fitness
Values
Value of GA
52
82 121 177
1943
4
48
73 103 135 186
2004
5
45
69 96 122 153 197
2035
6
44
58 80 103 127 158 202
2055
7
42
58 79 101 123 146 173 205
2069
The most accurate result was obtained when threshold level was 7. This result can be seen in
Fig. 3.
Fig. 3. The result of Otsu Method with GA
6 CONCLUSION
Image processing is used generally in ice monitoring method. In this study, ice thickness of
iced conductor was determined by using image processing and Genetic Algorithm. The good
results are obtained by using multilevel thresholding method in literature. Thus multilevel
thresholding was used to determine ice thickness. Otsu method was used for multilevel
thresholding, and GA was used to find optimum threshold level. When the results of Otsu-GA
which is shown in Table 1 were examined, 7 level thresholds were determined as the best
result, and total thickness of iced conductor was found 42 pixels. This value can be acceptable
level.
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Swarm Optimization algorithm. International Conference on Intelligent Computation
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The Modified Particle Swarm Optimization Algorithm. Proceedings of the Sixth
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Fengjie S. , He W. & Jieqing F. (2009). 2D Otsu Segmentation Algorithm Based on Simulated
Annealing Genetic Algorithm for Iced-cable Images. International Forum on Information
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Hongmei T., Cuixia W., Liying H. & Xia W. (2010). Image Segmentation Based on Improved
PSO. International Conference on Computer and Communication Technologies in
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A Green Supply Chain Network Design Considering
Carbon Dioxide Emissions, Energy Consumption and
Economic Performance
Mohammad Reza Marjani,a Omid Arjmand Ghahestani,b Milad Heidari c
a
Department of Industrial Engineering, Qom University of Technology, Qom, Iran
[email protected]
b
Islamic Azad University Zanjan Branch, Zanjan, Iran
[email protected]
c
Islamic Azad University Zanjan Branch, Zanjan, Iran
[email protected]
Abstract. The aim of most supply chain network design problems is to minimize the total
cost of the supply chain. One of the most important problems in the today’s world is climate
changes and its impact on environment and humanity. The green supply chain concept
because of its emphasis on energy efficiency, reduction of greenhouse gas emissions, and
recycling end of life products, has been considered as an effective solution to this concern. In
this article we introduced a green supply chain network design model with forward and
reverse flows, considering green procurement and also some tradition costs of supply chain
such as fixed cost, transportation cost, purchasing raw material. Two major factors of the
model are the energy consumption cost and the Costs of carbon dioxide emissions when the
upper limit is exceeded. The concerned supply network includes suppliers, planets,
distribution centers and customers in forward scene, and collection centers and disposal
centers in backward direction. Each plant can be established by standard or environmentally
friendly technology. Multiple types of vehicles with different capacity, cost and CO2
emission are used throughout the supply chain. The problem is formulated as a mixed integer
nonlinear programming model and solved using Lingo. Numerical experiments are performed
to illustrate the efficiency of the proposed approach.
Keywords: Green Supply Chain, Network Design Problem, Carbon Dioxide Emissions,
Energy Consumption.
1 Introduction
Climate change and its impacts on the earth and humanity are gaining momentum ,
menacing the integrity and security of economies and the quality of life of vulnerable
populations. the main elements to climate change are Anthropogenic green house gases
(GHGs), as their atmospheric concentrations have grown markedly since pre-industrial
times, with an increase rate of 70% between 1970 and 2004 (Tarek Abdallah 2004).
In order to responding to climate change, the Kyoto Protocol was signed in 1997 and
came into force in 2005. The protocols’ goals require an emissions reduction of greenhouse gases by an average of 5% from 1990 levels by 2012 in 37 industrialized countries
(Protocol, K., 2007). One of the great achievements in this protocol is emissions trading
mechanism. The advantage of this mechanism is that some firms can reduce their emissions
more economically than others. This mechanism reduces the pressure on companies to reduce
carbon emissions throughout their operations, by allowing them to either invest in other
economical emissions reduction projects or purchase carbon credits (Nordhaus 2007).
On the other environmental impacts of end of products (EOL) and limited availability to
natural resources are other important problems that have been considered by many researchers
in two last decades. Supply chains have more environmental impacts on environment and in
order to reduce their environmental impacts, green supply chain is defined. Srivastava (2007)
describe green supply chains as ‘‘integrating environmental thinking into supply chain
management, including product design, material sourcing and selection, manufacturing
processes, delivery of the final product to the consumers, as well as the end of life
management of the product after its useful life’’. To have a green supply chain, it is necessary
minimizing (preferably eliminating) the negative effect that the supply chain has on the
environment. So that, in order to reducing environmental effects of supply chains and for
limited availability of natural resources we consider green supply chain concept and also
reverse logistics, as a tool of green supply chain for this paper. For this goal we use closed
loop supply chains concept too. Wells et al (2005) have defined closed loop supply chains as:
“In general terms, closed loops consist of two supply chains: a forward and a reverse chain
whereby a recovered product re-enters the traditional forward chain”. therefore, if target is the
closed loop supply chain, reverse logistics, which is a means of green supply chain
management, is the best approach to reaching that target, because in order to minimize waste,
a reverse flow must be introduced into the supply chain and it should be managed in order to
make best use of the materials/products returned, through repair and reuse, refurbishment,
remanufacturing, cannibalization, or recycling (kumar et al 2006).
In this paper we propose a mixed integer non-linear programming model for a green
supply chain with forward and reverse flows where minimizes some traditional supply chains
cost such as: fixed cost, transportation cost, energy consumption cost, purchasing raw material
cost and co2 emission cost with considering emission trading mechanism. The rest of paper is
organized as follows: section 2 gives some literature about the green supply chains. Section 3
introduces the mathematical model of problem. Section 4 shows the numerical examples
results and findings and section 5 gives final conclusion.
2 Literature Review
Mincirardi et al (2002) introduced a multi-objective model to minimize solid waste in a
supply chain. Bin and Jun (2007) introduced a non-linear mixed integer program for a green
supply chain, taking into consideration the effect of e-commerce on the supply chain. They
concluded that e-commerce can significantly reduce supply chain costs while also optimizing
the green supply chain management. Paksoy et al (2010) proposed a supply Chain model to
minimize total cost, prevent more CO2 gas emissions and encourage customers to use
recyclable products. They considered different transportation choices between echelons,
according to CO2 emissions. Wang et al (2011) proposed a multi-objective optimization
model that captures the trade-off between the total cost and the environment influence. They
were interested in the environmental investments decisions in the design phase. Fatemi ghomi
et al (2012) developed a multi-objective optimization problem for a green supply chain that
considers the cost elements of the supply chain, such as transportation, holding and backorder
costs, and also, the environmental effect components of the supply chain, such as the amount
of NO2, CO and volatile organic particles produced by facilities and transportation in the
supply chain. Also they utilized a memetic algorithm in combination with the Taguchi method
to solve their model. Tarek abdallah et al (2012) developed a mixed integer program for the
carbon-sensitive supply chain that minimizes emissions throughout the supply chain by taking
into consideration green procurement also known as environmental sourcing. They also
presented a sample case study with a life cycle assessment of three scenarios based on
different carbon emissions costs.
In this paper we extended the green supply chain model presented by Tarek abdallah et al
(2012) considering reverse logistics as a tool of green supply chain management, different
options for transportation and different building technologies for plants according to building
technologies that presented in bouchriha (2011) paper.
3 Problem Definition
The integrated supply network considered in this study includes multiple suppliers,
multiple production/recovery sites, multiple distribution centers, multiple demand points,
multiple collection centers and multiple disposal centers. The best locations to establish
production/recovery, distribution, collection and disposal sites from some existing potential
locations are the main outputs of the study. Also we want to determine which suppliers to
deliver raw materials along with their respective quantities, which plants should supply
products to selected distribution centers, the optimized flows of product from selected
distribution centers to selected customers with satisfied demands, optimized flows between
customers and collection centers, how much collected products will ship to plant for recovery
from collected centers and how much products will send to selected disposal centers from
collection centers, while costs of supply chain with carbon emission cost are minimized. The
major assumptions are that:
1. Customer demands are fixed and deterministic.
2. Plants building technology are: eco-building and standard building.
3. Recovery and recycling is done in opening plants.
4. Capacities for distribution centers, disposal centers and collection centers are
deterministic.
5. Each supplier has a threshold amount of raw material to establish a contract.
6. There are two options for transportation.
The problem is formulated as an integer programming as follows:
3.1 Sets
N:
I:
J:
C:
H:
V:
L:
M:
B:
R:
set of suppliers
set of plants
set of distribution centers
set of customers
set of collection centers
set of disposal centers
set of products
set of transportation options
set of building technology
set of raw materials
3. 2 Parameters
: Fixed cost at opening a production/recovery center at location i with building technology
b.
: Fixed cost of opening a distribution center at location j.
: Fixed cost of opening a collection center at location h.
: Fixed cost of opening a disposal center at location v.
: Unit cost of purchasing raw material type from supplier at location n.
: Number of units of raw material type required to produce one unit of product type l.
: Threshold amount of raw material required by supplier at location n to establish a
contract.
: Demand of costumer c for product type l.
: Unit CO2 emission in a production/recovery center at location i with building
technology b to produce one unit of product type l.
: Unit CO2 emission in a production/recovery center at location i with building
technology b to recovery one unit of o products l.
: Unit transportation cost between centers using transportation mode m.
: Distance between a supplier at location n and production/recovery center at location
i.
: Distance between production/recovery center at location i and distribution center at
location j.
: Distance between a distribution center at location j and costumer at location c.
: Distance between a customer at location c and collection center at location h.
: Distance between a collection center at location h and plant at location i.
: Distance between a collection center at location h and disposal center at location v.
: Unit CO2 emission using transportation mode m.
: Unit CO2 embedded in raw material from supplier at location n.
: Unit energy consumption costs using transportation mode m.
: Unit energy consumption using a production /recovery center at location i with
building technology b to produce.
: Unit energy consumption using a production /recovery center at location i with
building technology b to recovery.
: Plant production capacity.
: Plant recovery capacity.
: Capacity of distribution for a distribution center.
: Capacity of collection for a collection center.
: Capacity of disposal for a disposal center.
: Rate of return for product from customer.
: Rate of return for product from collection center to plant.
: Rate of return for product from collection center to disposal center.
CCO2: CO2 emission cost.
: Maximum amount of carbon credit.
3.3 Decision variables
: Quantity of raw material shipped from supplier n to production/recovery center i
using transportation mode m.
: Quantity of products type l shipped from production/recovery center i to distribution
center j using transportation mode m.
: Quantity of product type l shipped from distribution center j to costumer c using
transportation mode m.
: Quantity of products type l shipped from costumer to collection center h using
transportation mode m.
: Quantity of products shipped from collection center h to production/recovery center i
using transportation mode m.
: Quantity of products shipped from collection center h to disposal center v using
transportation mode m.
: All amount of carbon dioxide emission in throughout supply chain.
: 1 if a production/recovery center with building technology b is opened at location i, 0
otherwise.
: 1 if a distribution center is opened at location j, 0 otherwise.
: 1 if a collection center is opened at location h, 0 otherwise.
: 1 if a disposal center is opened at location v, 0 otherwise.
: 1 if supplier n supplies raw material to production /recovery center at location i, 0
otherwise.
: 1 if supplier n supplies raw material type , 0 otherwise.
3.4 Model
Min TOTAL COST= FC+TR+EN+PR+CO2C
FC =
.
+
+
TR =
+
+
+
+
(1)
(2)
.
+
+
(3)
EN =
+
.
+
.
+
+
+
+
+
(4)
PR =
CO2C = (
(5)
–
) * Z1 * CCO2
(6)
Subject to:
(7)
(8)
(9)
(10)
(11)
(12)
(13)
(14)
(15)
(16)
(17)
=
(18)
(19)
(20)
(21)
>
* Z1
(22)
+ M * Z1
(23)
1
(24)
={0 , 1},  i,b
(25)
={0 , 1},  j
(26)
={0 , 1},  h
(27)
={0 , 1},  v
(28)
={0 , 1},  n,i,r
(29)
Z1 ={0 , 1}
(30)
,
,
,
,
0
(31)
Objective Function (1) minimizes the total costs within the supply chain. Relation (2)
determines the fixed cost of the supply chain based on opened facilities. Equation (3)
computes the transportation cost according to the distance and amount of the transported
product by each transportation mode. Relation (4) computes the energy consumption cost
according to the distance and amount of the transported product by each transportation option
and energy consumption in plants according to amount of produced and recovered products.
(5) computes purchasing cost of raw materials and (6) computes CO2 emission cost in
throughout the supply chain according to amount of emission in transportation and plants and
co2 embedded in raw materials. Constraint (7) ensures that the demand of each customer is
satisfied by the open DCs. Constraint (8) ensures that all the raw material requirements are
met from the assigned suppliers. Constraint (9) states that every supplier has a minimum raw
material order requirement to establish a contract. Constraint (10) describes that no contract is
established unless a supplier provides the raw material. (11) ensures that no raw material is
shipped unless a contract is established. Constraints (12)-(16) are defined to guarantee the
capacity of different sites. Relation (17) ensures that the total flow of product l that enters DC
j from all plants does not exceed the flow that leaves the DC to all customers. (18) calculates
the carbon dioxide emissions across the supply chain. Constraint (19) states that there is a rate
for return of end of life products from customers. (20) describes that after inspection in the
collection centers only number of collected products that are recyclable ship to plant for
recovery or recycling. Constraint (21) states that non-recyclable collected products send to
disposal centers. Relations (22) and (23) define Z1 binary variable which should be one if and
only if CO2CUR is bigger than CO2CAP. Constraint (24) ensures that only one type of building
technology is selected for opened plant i. Constraints (25)-(30) enforce the binary restriction
of some variables and (31) enforce the non-negativity restriction of other variables
respectively.
4 Experimental results
In this section the results of some numerical examples carried out to evaluate the performance
of the proposed model. To do so the developed model is coded and solved using Lingo 8.0
software. All experiments are performed using a computer with an Intel Core 2duo 2.2 GHz
CPU and 2GB of RAM. We generate four different instances randomly and in each case the
optimal solution of the problem is gained and the running CPU time is reported. Since the
problem is NP-complete the optimal solution will be achievable just for reasonable size
problems. These experiments are summarized in tables 1 and 2.
Table 1: Dimensions of tests
# of Suppliers
# of Raw material types
# of Plants
# of Distribution centers
# of Customers
# of Collection centers
# of Disposal centers
# of Transportation options
# of Products
CO2 Capacity
Test 1
2
2
2
2
2
2
2
2
2
100000
Test 2
4
2
3
4
8
3
2
2
3
200000
Test 3
4
2
3
4
15
3
3
2
4
2000000
Test 4
6
3
4
5
30
5
5
3
5
400000
Table 2: optimal solutions and solution times
Test 1
Test 2
Test 3
Test4
Optimal solution
405680.0
3852382.0
7694819.0
60816060.0
Solution time (s)
10
13
106
314
As can be seen from table 2 by increasing the size of the problem, the solution time will
increase exponentially and thus the optimization software are useful just for limited
dimension.
5 Summary and Conclusions
Pace of Climate change is increasing in recent years and greenhouse gases emission is one of
the most important factors that contribute to this change. Green supply chain design is one of
the areas that has been considered for this problem by many researchers. Green supply chain
approach is a new attitude where supply chains can reduce their environmental effects,
collecting their end of products to recover them. We utilized the srivastava definition of green
supply chain that mentioned above, in our proposed model. The developed mixed integer
non-linear programming model is based on fixed cost of opened facilities, energy
consumption cost, supply chain operational costs and carbon dioxide emission cost for extra
emission that considering these elements is innovations of this model. The problem was
solved using the LINGO 8.0 optimization solver on four tests with different dimensions and
the optimal solutions are gained. However for large size problems optimization software
cannot achieve to optimal solution. Future studies may develop heuristic methods solving this
problem with bigger dimensions in acceptable times, define other objectives and also perform
the model on real-world cases.
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Multi Period Distribution Planning Problem of
Crossdocking Network
Setayesh Badakhsh,a Alireza Rashidi, b Ali Akbar Akbari c
a
School of Industrial Engineering, Islamic Azad University, South Tehran Branch, Tehran,
Iran.
[email protected]
b
School of Industrial Engineering, Islamic Azad University, South Tehran Branch, Tehran,
Iran.
[email protected]
c
School of Industrial Engineering, Islamic Azad University, South Tehran Branch, Tehran,
Iran.
[email protected]
Abstract. The purpose of this study is to investigate modeling and the analysis of physical
distribution of crossdocking network. Crossdocking is a new strategy which will be use to
reduce inventory and also delivering time to enhance customer's responsibility. This will be
done through removing storage process which leads to cost reduction and creating new
opportunities. This paper deals with the multi period planning of a crossdocking distribution
network where multi item freights are transported. The problem is formulated as an integer
linear programming model and solved using GAMS software in different sizes. Experimental
results demonstrate the ability of the proposed algorithms achieving remarkable results.
Keywords: Supply Chain, Multi Period Planning, Physical Distribution, Crossdock network.
1 Introduction
In today's global competitive environment, reduce maintenance costs and increase service
levels at all stages of the supply chain with the aim of increasing responsiveness to customers
is essential. In general, each supply chain is composed of three main stages namely,
procurement, production and distribution, in which the phase distribution due to direct contact
with customers is very important. The movement of goods process in the supply chain
distribution process is called physical distribution process that encompasses the output of
products from suppliers to customers. Flow of goods in these sectors may be transmitted
through the networks of distribution centers to stores or directly to customers. Planning and
management of the flow of goods in such a network has a direct impact on the cost of supply
chain and customer satisfaction. Crossdocks are a new option in the physical logistics of
goods that have been able to simultaneously cut costs and reduce delivery time, reduce the
cost transferring goods and provide customers satisfaction. This study seeks to provide a
programming model for implementing effective distribution crossdocks across the supply
chain. Scientists have a special interest in introducing, implementing and evaluating the
performance of crossdocks in recent years.
In this paper, a multi-period distribution planning problem in a supply network including
multiple crossdocks is presented as an integer linear programming model and solved through
GAMS software. The contents of this article are organized this way: In the next section the
related literatures will be reviewed briefly. Then the problem is introduced and the
mathematical model will be presented. The experimental results will be illustrated in section 4
and finally, summing up the results of the study and some directions for future research are
stated in section 5.
2 Literature Review
Agustina et al. (2010) reviewed the mathematical models presented in the literature of the
planned crossdocks and divided them according to their desired level decisions into three
categories: strategic, tactical and operational. Some issues such as scheduling, assignment of
trucks to docks, routing of vehicles and assignment of products are at the operational level. In
tactical level the crossdocks layout design problem and in strategic-level the supply network
design problem include crossdocks has been studied. Belle et al. (2012) also provided
guidelines for successful implementation strategies. They also feature the difference of the
variety of crossdocks with a brief statement of them. Further in this paper the studies on
crossdocks are divided and briefly reviewed.
Jayaraman & Ross (2003) studied the design of production systems, logistics, post and
transfer and pointed the crossdocks have been involved in the supply chain environment.
Their problem includes the various product groups, a central site, several distribution centers
and crossdocks and retails. Ross & Jayaramanand (2008) continues to evaluate new
innovative ways of positioning the crossdock centers across the network of supply chain.
Sung & Song (2003) analyzed the crossdocks location through a network of supply chain and
associated service vehicles on routes between suppliers and cross docks or routes through the
crossdocks and customers. Mousavi and Tavakkoli Moghaddam (2013) determined
simultaneously the position of the crossdocks and routing of vehicles in a distribution
network, mixed integer programming model in the form of modeling and used an innovative
method of two-step to solve it.
Lim et al. (2005) investigated on the distribution of the products through a network of
crossdocks across the state that sent and received in a pre-specified time intervals can be
done. Optimal scheduling in the transport network and minimum delivery delay at distribution
centers are both considered. Miao et al. (2010) introduced the scheduling of distributed
applications on a network of suppliers and customers to serve a specified time interval with
delay possibility. Chen et al. (2006) deal with a network of cross docks model based on
supply and demand forecasts to minimize the total operating costs of distribution. Lee et al.
(2006) have created their own hybrid models in their articles on the issue of the scheduling
and routing of vehicles in a distribution network consisting of crossdocks. Liao et al. (2010)
reviewed the number of vehicles required and the best scheduling and route of delivery
vehicles in the network consist of crossdocks and proposed a heuristic solution method based
on tabu search algorithm to solve it. Musa et al. (2010) introduced the problem of determining
operational vehicles based on minimizing the total costs of transportation and crossdock
network and solved it with an ant colony algorithm. Marjani et al. (2012) have introduced the
scheduling problem in distributed crossdocks network through multi-commodity shipments,
soft time windows and transaction between the crossdocks. Dondo and Cerda (2013) provided
a solution to the problem of routing vehicles through a network that includes a crossdock with
unlimited potential in a finite time horizon. Lindsey et al. (2013) also investigated on
comparing the use of crossdocks or directly sending in a distribution network. This paper
follows the Marjani et al. (2012) model and checks the planned distribution network that
includes multi- crossdocks across several time periods. The feature of multi-periods of the
problem, which have not been studied so far, is effective in determining the best distribution
for long-term time horizons. While the necessity of survival the minimum in the crossdocks is
one of the inherent characteristics of crossdocks, previous studies were not included in the
mathematical model that can be reviewed and applied with multi-period model.
3 Problem Definition
The physical distribution system is a multi-stage distribution network that includes multisupplier, multi- distribution centers and multi-retailer or stores. In this network distribution
centers all use the crossdocks strategy. Therefore possibly they don't hold inventory in the
stores and try to move it fast to the stores. However, it is possible to maintain a limited
inventory. Distribution network includes multiple goods and any shipments received from
suppliers or sent to retailers can include multiple goods. It is assumed that a 3PL is the owner
of all crossdocks network or rented all of them and hence looks to manage fabric an entire
network with the aim of minimizing the total cost of crossdocks. Each delivery and every
pickup must be occurs in a specified time interval. In fact, delay is not permitted. Possible
relationship between cross dock of inventory in the distribution network to compensate for the
inadequacy of some of the products is another assumption which aims to expand the solution
space and facilities to achieve feasible solutions defined and already mentioned about it in
literature.
The objective of this problem is to specify the best assignment of crossdocks to both suppliers
and customers and also the best scheduling of vehicles at each crossdock to minimize the total
transportation and operational costs. With these definitions, the following integer
programming model is formulated to describe the considered problem.
3.1 Indices
: Index of deliveries from suppliers;
: Index of pickups to customers;
: Index of Crossdocks;
: Index of products;
: index of Time period;
3.2 Parameters
: Amount of product in pickup
: Amount of product in delivery
: Transportation cost from delivery to crossdock
: Transportation cost from crossdock to pickup
: Transportation cost from crossdock to crossdock
: Starting time of pickup
: Ending time of pickup
: Starting time of delivery
: Ending time of delivery
: Capacity of crossdock
: Handling cost per unit product per time unit at crossdock
: Initial Inventory of product at crossdock
: Volume of product
3.3 Variables
: 1 if delivery is bound for crossdock at time , 0 otherwise
: 1 if pickup goes to crossdock at time , 0 otherwise
: Amount of product at crossdock at time
: 1 if there is a shipment from crossdock to crossdock at time
: Amount of product in shipment from crossdock to crossdock
at time
3.4 Model
Minimize
(1)
Subject to:
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(12)
Objective function (1) minimizes the total operational and material handing cost including the
inventory-handling cost at crossdocks, the transportation cost from suppliers to crossdocks,
the transportation cost from crossdocks to customers, and the transportation cost between
crossdocks. Constraint (2) ensures that each delivery if necessary at most once is fulfilled
within its specified time window. Constraint (3) describes that all pickups must be sent just
within their defined time windows. The capacity constraint of the crossdocks at all times is
restricted by (4). The change of inventory level of each product at each crossdock between
time units is defined by equation (5). Constraint (6) is the relation between two decision
variables and enforces that the amount of products in shipment between two crossdocks is
positive only when the related binary variable is one; M is a big number. Equation (7) sets the
initial inventory of each product at each crossdock. Constraints (8) and (9) represent the nonnegativity of some integer variables and constraints (10)–(12) ensure the binary restriction of
other decision variables.
4 Experimental Results
In this section the results of some numerical experiments carried out to evaluate the
performance of the proposed model is presented. The proposed integer programming model in
coded in GAMS software and solved by using Cplex solver. All experiments are performed
using a computer with an Intel Dual core 2.5 GHz CPU and 2GB of RAM. We generate ten
different instances randomly by varying the number of deliveries, number of pickups, number
of crossdocks, number of crossdocks and the planning horizon length. In each case the
optimal solution of the problem is gained and the running CPU time is reported. Since the
problem is NP-complete the optimal solution will be achievable just for reasonable size
problems. These experiments are summarized in table 1.
Table 1: experimental results
Test
Problem
P1
P2
P3
P4
P5
P6
P7
P8
P9
P10
Problem size
i × j× k×r×t
4 × 8 × 2 × 5 × 40
5 × 10 × 3 × 7 × 70
5 × 15 × 3 × 7 × 50
10 × 15 × 3 × 7 × 70
10 × 20 × 3 × 5 × 50
15 × 30 × 2 × 5 × 60
15 × 40 × 3 × 7 × 80
20 × 35 × 3 × 5 × 80
15 × 45 × 3 × 5 × 60
20 × 50 × 3 × 7 × 70
Optimal
Solution
4010
4090
4160
4170
4210
4270
4420
4320
4460
4490
CPU
Time
3
10
15
95
115
225
346
433
465
534
5 Conclusions
In this paper the multi period distribution planning problem of crossdocking network was
evaluated. The problem is defined in terms of a single objective integer programming model
which seeks to minimize the total cost of the transportation and storage of goods in
crossdocks across the physical distribution network. GAMS software was used to solve the
problem. Introduce and test of heuristic methods that can resolve shorter time to achieve
competitive results and consider planning a reverse logistics network (planning defective,
corrupt or empty containers) can be recommended for future research.
References
Agustina, D., Lee, C. K. M. & Piplani R. (2010). A review: Mathematical models for
crossdocking planning. International Journal of Engineering Business Management, 2(2),
pp.47-54.
Belle, J. V., Valckenaers, P. & Cattrysse D. (2012). Crossdocking: State of the art. Omega,40,
pp. 827-846. http://dx.doi.org/10.1016/j.omega.2012.01.005
Chen, P., Guo, Y., Lim, A. & Rodrigues, B. (2006). Multiple crossdocks with inventory and time
windows. Computers & Operations Research, 33, pp. 43–63.
http://dx.doi.org/10.1016/j.cor.2004.06.002
Dondo, R. & Cerdá, J. (2013). A sweep-heuristic based formulation for the vehicle routing
problem with cross-docking. Computers and Chemical Engineering,48, pp. 293–311.
http://dx.doi.org/10.1016/j.compchemeng.2012.09.016
Jayaraman, V. & Ross, A. (2003). A simulated annealing methodology to distribution network
design and management. European Journal of Operational Research, 144(3), pp. 629645. http://dx.doi.org/10.1016/S0377-2217(02)00153-4
Lee, Y. H., Jung, J. W. & Lee, K. M. (2006). Vehicle routing scheduling for cross-docking in the
supply chain. Computers & Industrial Engineering, 51, pp. 247-256.
http://dx.doi.org/10.1016/j.cie.2006.02.006
Liao, C.J., Lin, Y. & Shi, S.C. (2010). Vehicle routing with cross-docking in the supply chain.
Expert Systems with Applications, 37, pp. 6868–6873.
http://dx.doi.org/10.1016/j.eswa.2010.03.035
Lim, A., Miao, Z., Rodrigues, B. & Xu, Z. (2005). Transshipment through Crossdocks with
Inventory and Time Windows. Wiley Periodicals, Inc., pp. 724-733.
http://dx.doi.org/1002/nav.20113
Lindsey, K., Erera, A. L. & Savelsbergh, M. (2013). A pickup and delivery problem using
crossdocks and truckload lane rates. Europian Journal of Transportation Logistics, 2, pp.
5–27. http://dx.doi.org/10.1007/s13676-012-0013-x
Marjani, M. R., Moattar, S. M. & Karimi, B. (2011). Bi-objective heuristics for multi-item
freights distribution planning problem in crossdocking networks. International Journal
of Advanced Manufacturing Technology, 58, pp. 1201-1216.
http://dx.doi.org/10.1007/s00170-011-3444-x
Miao, Z., Yang, F., Fu, K. & Xu, D. (2010). Transshipment service through crossdocks with
both soft and hard time windows. Annals of operations research, 192, pp. 21-47.
http://dx.doi.org/10.1007/s10479-010-0780-4
Mousavi, S. M. & Tavakkoli-Moghaddam, R. (2013). A hybrid simulated annealing algorithm
for location and routing scheduling problems with cross-docking in the supply chain.
Journal of Manufacturing Systems, 32, pp. 335– 347.
http://dx.doi.org/10.1016/j.jmsy.2012.12.002
Musa, R., Arnaout, J. P. & Jung, H. (2010). Ant colony optimization algorithm to solve for the
transportation problem of cross-docking network. Computers & Industrial Engineering,
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Engineering, 55(1), pp. 64-79. http://dx.doi.org/10.1016/j.cie.2007.12.001
Sung, C. S. & Song, S. H. (2003). Integrated service network design for a cross-docking supply
chain network. The Journal of the Operational research Society, 54, pp.1283-1295.
http://dx.doi.org/10.1057/palgrave.jors.2601645
The popularity of CMM IT project management
standards in the context of the condition of informatics
branch in Poland between 2007 and 2014
Michał Baran,a Piotr Stalińskib
a
b
Jagiellonian University, Krakow, POLAND
Wyzsza Szkola Biznesu – National-Louis University, Nowy Sacz, POLAND
Abstract. The paper is designed to discuss the dynamics of growing popularity of the set of
standards applicable to the management of informatics projects, the set in question being
referred to as the CMM. The latter is a device the objective of which is to guarantee a high
quality level of the software that is produced. The implementation of the CMM, when
confirmed by the auditors, became a certificate that is being availed of in the market
competition. In view of the fact that in case of public contracts some countries bluntly require
the confirming that the CMM is being applied, the global enterprises in informatics branch
have to assume adaptation activities in this respect. This tendency gradually reaches also the
cooperating parties and sub-contractors of the largest corporations. As a result, in such
countries like Poland (where the outsourcing services in programming are rendered) we can
observe the degree of convergence between local and global standards. While relying on the
data published in the text, we may find that the situation of the IT branch in Poland is strongly
conditioned by the global developments. Nevertheless it has also its own specificity. The
objective of the paper is to outline the general framework within which there function the
enterprises affiliated with the analysed sector in Poland. The image thus arrived at may be
confronted with the phenomenon of global and local changes in the dynamics developing in
the interest in the CMM standard. This would allow to make an assessment of the degree of
the aforementioned convergence and make the analysis of the possible differences in this
respect. The paper exploited the data derived from the Warsaw Stock Exchange (the data
characterizing the most significant players at the local market) and the resources available at
the data bases of the Google Trends internet portal. In the text there may be found numerous
illustrations and other empirical data which, in a clear way, successively demonstrate the
problems under investigation and emphasize the observations emerging from their analysis.
The structure of the paper assumes the use of the drift toward the exploitation of the synthetic
data whose purpose is to trace out a broad perspective within which the question raised in the
title may be explored. The latter may be explored within the broader research program
planned for the future. Such approach would guarantee the discovery of the most essential
phenomena that are detectable only when a large scale research is made.
Keywords: project management, IT enterprises, CMM standards.
1 Introduction and background
The Polish enterprises of information technology branch, like similar subjects located all over
the world, go through their period of dynamic development resulting from the fairly rapid
development of information processing technology (Jiang, 2011). Despite the fact that around
2007 there come to the open a considerable crisis of global economy with its results
potentially felt in each branch of industry, the sector with which our analysis is concerned
quickly tided over it (Davies, 2010). One should be aware that the Polish information
technology firms are becoming, to ever larger extent, involved in the global play of supply
and demand for services rendered by their foreign competitors, thereby contending with them
for both customers as well as the best employees (Erez, Kleinbeck and Thierry, 2008). That
requires that they be alert at all times in order to catch the current technological trends, to
reach optimization of the applied organizational devices, to promote the further building up of
their potential (Wielogórka, 2012), and they must do this in the turbulent environment that
generates a series of threats but provides also for developmental chances (Marinov and
Marinova, 2013). While relying on the indices that inform on the condition of particular
subjects, the present paper is designed to examine the developmental tempo of the most
important representatives of the branch. Likewise, it is designed to confront the thus obtained
image with the dynamics of popularization of the phenomenon of the CMM (Capability
Maturity Model for Software) standards, this being one of the crucial organizational solutions
of recent years in the IT sector. The construing of the competitive, although flexible,
organizational frames for the conducting of economics activities becomes the key to achieve
success in the rapidly changing environment (Hausman, 2011). The comparing of the
condition of the Polish leading IT enterprises with that of their global competitors and the
analogous comparing of the symptoms of behavior detectable in the two groups, as made with
the study of how they demonstrate the potential interest in the indicated field of organizational
knowledge, is what will allow to make a preliminary diagnosis of the local players
(DiMaggio, 2009).
The choosing of the factor such as the interest in the CMM standards as demonstrated by
the milieu of enterprises involved in going through with their remarkable IT projects, and
doing this in order to assess their maturity is justified by the specific field in which this
instrument of managing projects is being applied (Jalote, 2000). In case of IT branch the
CMM performs the function similar to that which is performed by the ISO norms in case of
the industrial sectors (Land, 2005). The CMM standards, when fulfilled, secure the top level
of quality of software as well as of services that are rendered. While applying these standards,
we take into consideration the conditioning bound with that particular type of economic
activity. The role that the CMM plays is confirmed by the requirement of having the CMM
certificates by the one who assumes the obligations to perform the works commissioned by
the NASA or the Department of Defence of the USA. Despite the fact that the analysed
standards in fact came to being in the United States, they soon became globally famous and
many large corporations all over the world began to get interested in them. This process
constantly continues because the successive new subjects consider the possibility of
implementing the set of these norms. In brief we may say that the CMM standards are equal
to the fulfilling of the requirements determined for one of the five levels (Clerc, 2004): initial
level (which consists in the chaotic activities), repeatable level (which consists in the
registering of how the project proceeds and in repeating the successful modes of proceeding),
defined level (which consists in the activities that follow the previously created procedures),
managed level (which consists in performing the action within the outlay of the process and in
regulating the latter according to the indications of the system of measures), optimizing level
(which consists in the taking of the drift toward the improvement of the monitored
process).The successive levels are accompanied by the sets of objectives to be achieved and
the practices corresponding to them, the practices serving to achieve the objectives. Such
construction, which takes into consideration the classification of activities into some areas
ensures large flexibility and allows for the fragmentarily introduced implementation of the
described standards, this being a significant argument whenever the taking of the decision on
applying the CMM comes into play.
2 methodology
The paper examines the developmental dynamics of the most significant Polish IT enterprises
and their present conditions. The paper does it through the analysis of the most fundamental
data (from the perspective of their turnover and their net profit) that characterize the group of
joint stock companies that are present at the Warsaw Stock Exchange. What was selected
were only these firms which in the investigated period uninterruptedly could be found in the
WIG-INFO index. The focusing on the aforementioned companies guarantees the access to
the complete set of reliable and verified information, and allows to examine the companies
that are stabile and enjoy a well-established position on the market. The period of time
accepted for the examination allows to investigate the changes that followed between the
moment the economic crisis of the recent time came into the open and the present. This
provides for the opening of the large perspective from which the examined phenomena may
be observed. Likewise, it provides for the chance of grasping the potential relationships and
differences between the specificity of activities of the Polish IT enterprises and the specificity
of activities of the enterprises functioning elsewhere, these relationships and differences being
up to now left unnoticed by the research. In this case the source of information on the
processes occurring in the global environment, and consequently the basis for making the
potential comparisons will be the largest – in its class – NASDAQ Stock Exchange. The
image made available in the above demonstrated manner will be subsequently confronted
with the data that describe the local and global interest in the set of CMM standards. The
assessment of the latter's popularity is based on the analysis of statistic that illustrate the
number of recorded searches for the discussed term in the Google service (since this is the
most popular provider of this kind of services). From the point of view of information science
specialists the internet is their natural working environment. They exploit it to find the
information they need. Therefore it may be assumed that also in this case those that were
interested resorted to the aforementioned device. The construction of the illustrations
contained in the text is based on the relationships defined in the Google service in the
following way (https://support.google.com/trends/answer/4355164?hl): “The numbers on the
graph reflect how many searches have been done for a particular term, relative to the total
number of searches done on Google over time. They don't represent absolute search volume
numbers, because the data is normalized and presented on a scale from 0-100. Each point on
the graph is divided by the highest point, or 100. When we don't have enough data, 0 is
shown.”
3 results
In the tables placed beneath there may be found the comparisions of the turnovers and net
profits obtained in the enterprises whose activities provided the source of data that are
indispensable for the making of the present analysis. The investigated group was made up of
sixteen stock exchange companies of information science branch (the companies fulfilling the
criteria defined in the description of the applied methodology). The investigated group
included (in accordance with the alphabetical order): Arcus (ARC), Asseco Poland (ASS P),
Asseco South (ASS S), ATM (ATM), CD Projekt (CDP), CI Games (CGI), ComArch
(COMAR), Comp (COMP), Elzab (ELZ), LSI (LSI), Macrologic (MAC), PC Guard (PCG),
Qumak (QUM), Simple (SIM), Sygnity (SYG), Wasko (WAS).
Table 1. The turnover of selected enterprises registered between 2007 and 2013.
ARC
ASS P
ASS S
ATM
CDP
CIG
COMAR
COMP
ELZ
LSI
MAC
PCG
QUM
SIM
SYG
WAS
SUM
2007
105341
1282399
0
260066
100206
18294
581048
180754
66432
12589
43083
19680
208848
13734
1201932
400512
4494918
2008
131835
2786580
339166
267448
47585
33394
700965
317236
68441
15371
51436
22648
253741
16353
995669
406553
6454421
2009
119487
3050252
436654
286462
1272
29600
729403
240731
66926
18577
54416
14855
293448
17549
563229
244058
6166919
2010
198498
3237700
450336
401779
50446
86071
761361
259917
64297
20540
52631
15151
329141
23027
514568
294417
6759880
2011
160382
4960000
461867
177828
136210
81718
785653
429018
77137
22794
57440
33298
384394
27303
566021
272575
8633638
2012
184816
5529100
462454
74569
164040
41206
883876
390782
72343
25420
53709
519567
482579
30347
870602
288326
10073736
2013
299238
5898100
471692
76989
142172
107290
939229
527987
111089
30505
52725
1481190
539547
37642
480899
374366
11570660
While comparing the turnovers reported – during the successive seven years – by each of
the companies from the group of those selected ones within the information science branch, it
was possible to make some interesting observations. In the first year of the discussed period
ten companies obtained the result that was the lowest one of all results reported during seven
years. However the turnover of one firm was the best of this firms all turnovers during the
investigated period. in 2008 fourteen companies improved their situation obtaining increased
turnover. However two firms announced their fall in this respect. It may be interesting to find
that at that time one company showed the turnover that was the highest one among those
obtained by it during the discussed seven year period. In 2009 there was observed the increase
in turnover in case of eight companies while other eight reported the decrease. Three firms
reported the turnover that was the lowest one among all turnovers obtained by them in the
discussed time. In 2010 thirteen companies reported increase in their turnovers while three
reported the decrease. In case of one company the result was the highest one among all results
ever obtained in the period under investigation. However one firm reported the lowest
turnover ever obtained. 2011 witnessed the improvement of the situation in case of twelve
firms, one of them obtaining the turnover at the maximum level ever obtained in the
investigated period. Four firms obtained deteriorated results. In 2012 eleven companies
increased their turnover while five other reported decrease. In case of one firm the obtained
result was found to be the highest, and in case of the other one the result was the lowest ever
obtained in the discussed seven year period. In 2013 thirteen companies reported the turnover
increase while three other experienced its fall. It is worthy of note that in case of eleven
companies the result they obtained was the highest while in case of one company – the lowest
among those ever obtained in the discussed seven years. At the end of the discussed time the
scale of activity in case of three companies was smaller when compared with the first year of
the period under investigation. While analysing the summed up turnover of the entire
investigated group during the seven successive years, it is possible to point to the fall only in
2009. Apart from the aforementioned fall in this one year there was reported constant
dynamic growth.
Table 2. The net profit of selected enterprises registered between 2007 and 2013.
ARC
ASS P
ASS S
ATM
CDP
CIG
COMAR
COMP
ELZ
LSI
MAC
PCG
QUM
SIM
SYG
WAS
SUM
2007
7681
160913
-727
21068
-22533
3388
42770
23888
7214
1504
5959
-319
8391
485
-65615
29872
223939
2008
4640
321578
16189
9832
1119
3233
199126
17029
-208
-2901
5717
-2641
14122
425
-1484
13841
599617
2009
1026
373365
38276
9828
-2325
-13563
32306
20231
4371
811
7260
-220
14310
910
-104512
982
383056
2010
1162
414300
43647
20438
-3451
26893
43717
25427
1039
1447
4030
1177
13231
1900
-50420
7369
551906
2011
-6206
397100
54764
17497
23565
16923
36257
28772
2232
1140
5684
4170
13268
2618
8077
16333
622194
2012
1685
370600
49626
11795
28125
-19794
40660
-11763
2956
1126
5506
4953
10389
2541
-11623
8590
495372
2013
2366
393900
35949
11640
14900
29713
25557
30611
12924
2402
5930
10139
7295
4501
10230
6780
604837
By analysing the net profits obtained between 2007 and 2013 by each company of the
investigated group we may broaden our observations referring to the activities of Polish
companies of information science branch. In 2007 three companies reported the arrival at the
maximum net profit out of the profits ever obtained in the discussed seven years, three other
companies reported the net profit at the lowest level. Also in that year there were as many as
four firms that reported negative return. In 2008 six companies increased their gain while ten
other reported the decrease. Four firms reported the gain at the minimum level ever obtained
in the discussed period while one firm reported the result at the maximum level. Four firms
reported negative return. 2009 witnessed the improvement of net profit in nine companies. In
three of them these profits reached the maximum level. Seven companies reported fall, in two
cases this meant the arrival at the level that was the lowest one in the entire period of
investigated seven years. Four companies reported negative return. In 2010 twelve companies
earned more while four companies earned less than in the previous year. One company
reported net income at the highest while another one at the lowest level within the
investigated period. In addition two firms reported the increase in net profits (in one case the
result was at the maximum level) while six companies reported the fall in net profits (in case
of one company this was the lowest level ever obtained). One company occasioned loss. In
2012 five companies improved their net profits while eleven earned less than in the previous
year. This picture may be supplemented by the information that two companies reported the
highest while one company the lowest results ever obtained in the investigated time. Three
companies reported negative return. In 2013 the increase was reported by ten companies (in
case of as many as seven of them the reported result was the highest ever obtained). The
worsening was reported in case of six companies, two of them obtaining the net profit at the
minimum level. However all enterprises reached plus result.
While comparing the net profits obtained by all companies at the beginning and at the end
of the investigated period, we may notice that six of them found themselves in the condition
that was worse then the condition they were in at the beginning. The net profits obtained in
each of the seven years by each of the examined companies were added and made up seven
amounts. While analysing thus obtained sums, it was possible to indicate two turning points:
one in 2009 and the other in 2012. Each of them was connected with the deep fall in the net
profit used to be obtained. This situation shows that the level of net profit obtained in the
information science branch is very unstable and it is difficult to make a spectacular
sustainable progress that would be reflected in the profitability resulting from this kind of
activity.
Fig. 1. The graph of the NASDAQ index between 2007 and 2013 (upper part of the picture)
and the graph of the WIG-INFO index between 2007 and 2013 (lower part of the picture).
The comparison of diagrams that illustrate the Stock Exchange quotations of the
companies of information science branch in Poland (WIG-INFO) and in the United States
(NASDAQ) shows their inter-connections. Among the resemblances that are noticeable, one
may classify the fact that they are in line as regards the crucial moments such as the beginning
of 2009 or the second part of 2011. The impetuosity, amplitude and the nature of changes
characteristic of these periods show a far-reaching concordance demonstrated by the two
illustrations. The market reacted in a similar way to the key occurrences that affected the
branch. On the other hand in case of the long-term trend arising from the confidence of
investors the differences become visible. Unlike the rising line illustrating the NASDAQ
index, the line taken by WIG-INFO is reflective of stagnation since it runs round the
horizontal line. The above observations may confirm a large number of relationships
connecting the two markets and reflected in the receptivity of all enterprises (irrespective of
where they are geographically located) to the same economic conditioning. None the less the
Warsaw Stock Exchange is found to be the place that gives lower guarantee of reliability of
activities to the firms quoted in it. In this way the Warsaw Stock Exchange impedes their
access to the capital, thereby restraining their competitiveness.
Fig. 2. The graph of the global popularity based on the query about CMM in the Google data
base between 2007 and 2013 (upper part of the picture) and the graph of the query about
CMM from the territory of Poland between 2007 and 2013 (lower part of the picture).
The image of interest in the knowledge about the CMM standards which emerges by
examining the phenomena that may reflect such interest (they assume the shape of questions
put to the Google data base) creates the possibility of making some suitable observations.
When viewed from the global perspective, the run of the diagram is considerably more
aligned. While monotonously falling, it drives at the stabilization at a certain level. The line
that shows an analogous process but this time is seen from the perspective of questions
arriving exclusively from the territory of Poland, is characterized by the decidedly irregular
shape. However also in its case its run oscillates round the main trend univocally resembling
the tendency observed at the neighbouring diagram. In both cases it is possible to put forth the
thesis that after the initial enthusiasm characteristic of the period of interest in the novelty, the
issue has become the subject on which there focused the attention of specialist milieu, the
milieu of those who in their every day business avail themselves of this kind of devices. From
the perspective of the subject of the present discussion the most valuable observation is the
one that may be boiled down to emphasizing the concordance of the shape of the line and its
time-subjected run as found on both diagrams. The concordance becomes visible when the
irregularities of fluctuations are eliminated and when, in both cases, the major trend is left.
4 discussion and conclusions
The analysis that has been made allowed to broaden the available knowledge on the maturity
of large enterprises of information science branch. What was confirmed was the thesis about
the strong relationship that the companies under investigation maintain with the global
market. The quotations of these companies at the Stock Exchange are subjected to the
conditioning of the same type as that which is of significance for the functioning of the world
leaders in this branch. What was characteristic from that point of view was particularly the
beginning of 2009 and the end of 2011. The general perception of the potential of Polish
economy is decisive of the worse competitive position of the corporations that come from the
Polish area (Zachorowska and Wójcik-Mazur, 2011). On the other hand the market of
information science services is to a considerably lower degree dependent on the
administrative boundaries separating the states. The analysis – when broadened by the data
that characterize the results obtained by the Polish enterprises – produces the much more
univocal image of the situation. The diagram of the summed up turnovers shows a distinct
curve in 2009. It may be assumed that this is the effect of the global economic crisis coming
to the open. However later the turnovers systematically grow, thereby proving the
development of the scale of activities at the pace resembling that of the changes of the
NASDAQ index. On the other hand when the proportion of the summed net profits comes
into play, we deal with the two moments of distinct whirls: that detectable at the end of 2009
and that detectable at the end of 2012. It is important that the location of these
disadvantageous phenomena occurring in time allows to search for their relationship with the
impetuous local falls in the Stock Exchange quotations occurring exactly at the moments that
were mentioned earlier (the beginning of 2009 and the end of 2011). While searching for the
additional index testifying to the receptivity of the Polish information science enterprises to
the globally appearing tendencies, the present paper resorted to the analysis of frequency of
questions – put to the Google data base – on one of the advanced organizational device
applied within the framework of management of information science projects. The popularity
of knowledge referring to the CMM standards was filtered by applying the geographical
criterion. The global questions – irrespective of their source – were compared with those
derived from the territory of Poland. In view of the lesser number of local questions, the thus
clipped set of data is characterized by the greater amplitude of accidental aberrations.
However both illustrations demonstrate substantial concordance. In view of the identical
development – in terms of its location in time – of the basic trend observable in both cases,
such relationship produces an additional argument that speaks for the acknowledgment that
the large Polish enterprises – when viewed from the perspective of organizational devices that
they apply – find themselves at a similar developmental level as that obtained by their global
competitors. Despite the fact that in the present discussion there was selected only one of the
symptoms that might testify to the existence of the analysed relationship, it seems that it
provides a good example illustrative of its occurrence. The research will hopefully be
continued and will allow to arrive at a deeper insight into the nature and the real causes of the
specific conditioning that tells us both of similarity as well as of distinctiveness of the
investigated group of enterprises.
References
Clerc V., Niessink F. (2004). IT Service CMM: A Pocket Guide. Van Haren Publishing
Davies, H. (2010). The Financial Crisis: Who is to Blame. Cambridge: Polity Press.
DiMaggio, P. (Ed.). (2009). The Twenty-First-Century Firm: Changing Economic Organization
in International Perspective. Princeton University Press.
Erez, M., Kleinbeck, U., Thierry, H. (Eds.). (2008). Work Motivation in the Context of a
Globalizing Economy. Lawrence Erlbaum Associates.
Hausman, K. (2011). Sustainable Enterprise Architecture. CRC Press.
Jalote P. (2000). CMM in Practice: Processes for Executing Software Projects at Infosys.
Addison-Wesley Professional
Jiang, L. (Ed.). (2011). Advences in intelligent and soft computing. Melbourne: Springer.
Land S.K., (2005). Jumpstart CMM/CMMI Software Process Improvement: Using IEEE
Software Engineering Standards. University of Michigan
Li, Z. (2013). Study on the Consensus Salary System for Modern Enterprises. Wuhan: Springer.
Marinov, M., Marinova, S. (Eds.). (2013). Emerging Economies and Firms in the Global Crisis.
Palgrave Macmillan.
Wielogórka, D. (2012). Value Management Company in Turbulent Environment. Praha:
Publish House Education and Science.
Zachorowska, A., Wójcik-Mazur A. (2011). Bank in Modern Financial System. Częstochowa:
Wyd.P.Cz.
Michał Baran is an assistant professor at the Jagiellonian University in Krakow, Poland. He
received his MS degree in management from the Economics University in Krakow in 1997,
and his PhD degree also in management from Jagiellonian University in 2003. He is the
author of more than 40 journal papers and book chapters. His current research interests
include information management and knowledge systems.
Piotr Staliński is an assistant professor at the Wyzsza Szkola Biznesu – National-Louis
University in Nowy Sacz, Poland. He received his MS degree in informatics from Jagiellonian
University in 1987, and his PhD degree in management from Cleveland State University in
1998. He is the author of numerous journal papers and book chapters. His current research
interests include operational research and logistic.
The influence of the degree of tensile strain to the
ultimate strength and mode of failure of seismic walls
with low-reinforced end-sections
Theodoros A. Chrysanidisa
a
A.U.Th. – Aristotle University of Thessaloniki, 54124, Thessaloniki, GREECE
[email protected]
Abstract. It is considered logical to be expected that walls designed either with increased
ductility requirements according to the Greek Concrete Code 2000 or designed to be in a high
ductility category according to EC8: 2004, NZS 3101: 2006 and other modern international
codes, present extensive tensile deformations, especially in the plastic hinge region of their
base. Large tensile deformations are expected depending on the geometric characteristics and
the level of ductility design of walls. Due to the cycling nature of loading, these tensile
deformations can cause lateral instability of seismic walls depending on the size of tensile
deformations. In the framework of the current work, it is experimentally investigated one of
the most crucial parameters affecting the stability of structural walls, which is the degree of
tensile strain of the longitudinal reinforcement of the extreme edges of load-bearing RC walls.
The present paper tries to investigate the influence of the degree of tensile strain to the
ultimate strength and the modes of failure of test specimens using 5 test specimens reinforced
with the same longitudinal reinforcement ratio (1.79%) but strained to different degrees of
elongation.
Keywords: tensile strain, seismic walls, reinforcement, stability.
1 Introduction
Walls designed with high ductility requirements following the provisions of modern
international Codes (Eurocode 8, 2004, NZS 3101, 2006, Greek Concrete Code, 2006) present
extensive tensile deformations, especially in the plastic hinge region of their base. According
to Chai and Elayer (1999), tensile strains up to 30‰ are expected at the walls of the ground
floor according to their geometrical characteristics and the ductility class according to which
were designed. The phenomenon of the lateral buckling of reinforced concrete walls depends
largely on the size of the tensile strains occurring in the end regions of the walls during the
first semi cycle of loading and not so much on the size of the bending compression imposed
during the reversal of loading according to Paulay and Priestley (1993). This work is a small
part of an extensive work that took place at the Laboratory of Reinforced Concrete and
Masonry Structures of the School of Engineering of the Aristotle University of Thessaloniki
on the phenomenon of out-of-plane buckling and on the factors which affect it. Results for
test specimens reinforced with different longitudinal reinforcement ratios than the ones shown
in the current work have been presented in previous publications.
2 EXPERIMENTAL RESEARCH
2.1 Test specimen characteristics
The test specimens were constructed using construction scale 1:3. The dimensions of the
specimens are equal to 7.5x15x90 cm. The reinforcement of specimens consists of 4 bars of 8
mm diameter. The total number of specimens is equal to 5. First, each specimen was stressed
under uniaxial tensile loading to a specific and default elongation degree and then was
stressed under concentric compressive loading. Differentiation of specimens lies in varying
degrees of elongation imposed on each one. The characteristics of the specimens are shown
collectively in Table 1, while Fig. 1 shows the front view of specimens both for tensile and
compressive loading.
Table 1. Test specimens’ characteristics.
N/Α
Description of
specimens
Dimensions
(cm)
Longitudinal
reinforcement
Transverse
reinforcement
Longitudinal
reinforcement
ratio
(%)
Concrete
cube
resistance
at 28 days
Degree of
elongation
(‰)
(MPa)
1
Υ-4Ø8-179-0-1
15x7.5x90
4Ø8
Ø4.2/3.3cm
1.79
24.89
0.00
2
Υ-4Ø8-179-10-2
15x7.5x90
4Ø8
Ø4.2/3.3cm
1.79
24.89
10.00
3
Υ-4Ø8-179-20-3
15x7.5x90
4Ø8
Ø4.2/3.3cm
1.79
24.89
20.00
4
Υ-4Ø8-179-30-4
15x7.5x90
4Ø8
Ø4.2/3.3cm
1.79
23.33
30.00
5
Υ-4Ø8-179-50-5
15x7.5x90
4Ø8
Ø4.2/3.3cm
1.79
24.89
50.00
Fig. 1. Sketch of front view of specimens for: (a) tension, (b) compression.
Fig. 2. Test setup for application of: (a) Tensile loading, (b) Compressive loading.
2.1 Loading of specimens
The experimental setups used in order to impose to the specimens in the first semi cycle of
loading a uniaxial tensile load and in the second semi cycle of loading a concentric
compressive load are shown in Fig. 2.
3 EXPERIMENTAL RESULTS
Fig. 3 refers to the uniaxial tensile test and shows the variation of elongation of the specimens
in relation to the applied tensile load. It becomes evident, from a simple observation of the
diagram, that the real degrees of elongation differ somewhat from the nominal degrees of
elongation (10‰, 20‰, 30‰ and 50‰). However, in all cases, the differences are minor and
negligible. Fig. 4 refers to the concentric compression test and shows the change of shortening
relative to the applied compressive load this time. It is, clearly, apparent the large drop that
exists in the specimens’ resistance for the cases of elongation degrees equal to 30‰ and 50‰.
Finally, Fig. 5 shows the various failure modes of all specimens after the completion of the
compressive loading.
Elongation Δhε (mm)
0.00
160
6.40
12.80
19.20
Υ-4Ø8-179-0-1
25.60
32.00
Υ-4Ø8-179-10-2
38.40
1.31
Υ-4Ø8-179-20-3
Υ-4Ø8-179-30-4
1.15
120
0.98
100
0.82
80
0.66
60
0.49
40
0.33
20
0.16
0
Ratio P/Py
Load P (kN)
Υ-4Ø8-179-50-5
140
0.00
0
10
20
30
40
50
60
Normalized elongation Δhε/h (‰)
Fig. 3. Diagram of tensile load [P(kN), P/P y] – elongation [Δhε/h(‰), Δhε(mm)].
Υ-4Ø8-179-0-1
Shortening Δhβ (mm)
3.20
6.40
9.60
12.80
16.00
19.20
Υ-4Ø8-179-10-2
22.40
1.93
450
1.74
400
1.55
350
1.35
300
1.16
250
0.97
200
0.77
150
0.58
100
0.39
50
0.19
0
Υ-4Ø8-179-20-3
Υ-4Ø8-179-30-4
Υ-4Ø8-179-50-5
Ratio P/(fc'∙Ag)
Load P (kN)
0.00
500
0.00
0
5
10
15
20
25
30
35
Normalized shortening Δhβ/h (‰)
Fig. 4. Diagram of compressive load [P(kN), P/(fc'∙Ag)] – shortening [Δhβ/h(‰),
Δhβ(mm)].
Fig. 5. Failure modes of specimens after the experiment of compression: (a) Υ-4Ø8179-0-1, (b) Υ-4Ø8-179-10-2, (c) Υ-4Ø8-179-20-3, (d) Υ-4Ø8-179-30-4, (e) Υ4Ø8-179-50-5.
4 ANALYSIS OF RESULTS
The conduct of the experimental research and the evaluation and analysis of the experimental
results generate interesting comments regarding the behavior of the test specimens. These
observations are as follows:
1. The increase of the degree of elongation imposed on the test specimens in the first semi
cycle of loading causes a change in the failure mode of the specimens during the second
semi cycle of loading, where the compressive stress is exerted. Specifically, for degrees
of elongation 0‰, 10‰ and 20‰, the failure of the test specimens comes from an
excess of the compressive strength of their cross section and crash of the compression
zone of the column specimens. For degrees of elongation 30‰ and 50‰, the failure of
Elongation Δhε (mm)
0.00
500
6.40
12.80
19.20
25.60
32.00
38.40
1.16
450
1.05
400
0.93
350
0.81
300
0.70
250
0.58
200
0.47
150
0.35
100
0.23
50
0.12
0
0.00
0
10
20
30
40
50
60
Nominal degree of elongation Δhε/h (‰)
Fig. 6. Diagram of maximum failure load [P u(kN), Pu/Pu,0‰] – elongation [Δhε/h(‰),
Δhε(mm)].
Ratio Pu/Pu,o‰
3.
Failure load Pu (kN)
2.
the specimens is due to their buckling around the weak axis, i.e. the axis perpendicular to
their thickness. This observation is illustrated by a simple study of Fig. 5.
For elongation degrees 30‰ and 50‰, the increase in the degree of elongation imposed
on the test specimens in the first semi cycle of loading causes a reduction in maximum
failure load (specimen strength) during the second semi cycle of loading where the
compressive stress is exerted. Specifically, for elongation degree 30‰, critical failure
load of the specimen is equal to 26% of the failure load of the corresponding "virgin"
specimen (Figs. 6, 7). Regarding the degree of elongation 50‰, the critical failure load
of the specimen is equal to 21% of the failure load of the corresponding "virgin"
specimen (Figs. 6, 7). It is shown, namely, that the increase of the degree of elongation
significantly affects the resistance of the test specimens against lateral instability, since
there may be a reduction in specimen resistance of the order of 75-80% compared to the
specimen which has not undergone any form of tensile stress ("virgin" specimen).
For elongation degrees 10‰ and 20‰, the increase in the degree of elongation imposed
on the test specimens in the first semi cycle of loading does not cause any significant
differentiation in the value of the maximum failure load during the second semi cycle of
loading, where the compressive stress is exerted. Specifically, for elongation degree
10‰, critical failure load of the specimen is equal to 95% of the failure load of the
corresponding "virgin" specimen (Figs. 6, 7). Regarding the degree of elongation 20‰,
the critical failure load of the specimen is equal to 99% of the failure load of the
corresponding "virgin" specimen (Figs. 6, 7). Note that for these degrees of elongation,
closure of cracks is performed leading to the contribution of concrete strength to the
specimens’ strength. It is emphasized that generous efforts were made in order to
provide, as much as possible, the same concrete quality between different specimens by
concreting all specimens together using concrete from the same mixer.
Longitudinal reinforcement
4Ø8
4Ø8
4Ø8
4Ø8
4Ø8
1.20
100%
95%
99%
430
0.80
344
0.60
258
0.40
172
26%
Failure load Pu (kN)
Ratio Pu/Pu,o‰
1.00
516
21%
0.20
86
0.00
0
0
10
20
30
50
Nominal degree of elongation Δhε/h (‰)
Fig. 7. Column diagram of failure load [Pu/Pu,0‰, Pu(kN)] – elongation and type of
longitudinal reinforcement [Δhε/h(‰)].
5 CONCLUSIONS
The following conclusions have been derived from the aforementioned experimental research:
1. The imposed elongation degree in the first semi cycle of the tensile loading has a
catalytic influence, after a certain value, in the behaviour, in the failure mode, and in the
maximum failure load during the second semi cycle of the compressive loading.
2. Generally, the phenomenon of transverse instability is affected drastically by the
imposed degree of elongation.
3. General conclusion of this study is that the transverse instability of the RC walls is a
complex phenomenon, which depends not only on the ground floor height (as implied by
the vast majority of modern international codes) but on other mechanical parameters,
too, such as the degree of elongation.
References
(2004). EN 1998-1, Eurocode 8: Design of structures for earthquake resistance – Part 1:
General rules, seismic actions and rules for buildings. European Committee for
Standardization: Brussels, Belgium.
(2006). Ε.Κ.Ω.Σ. 2000: Greek Concrete Code. Ο.Α.Σ.Π. / Σ.Π.Μ.Ε.: Athens, Greece.
(2006). NZS 3101, Concrete structures standard: Part 1 – The design of concrete structures.
Standards New Zealand: Wellington, New Zealand.
Chai Y. H., Elayer DT. (1999) Lateral stability of reinforced concrete columns under axial
reversed cyclic tension and compression. ACI Structural Journal, 96(5), 780-789.
Paulay T, Priestley MJN. (1993). Stability of ductile structural walls. ACI Structural Journal,
90(4), 385-392.
Does degree of elongation affect displacements of
structural walls?
Theodoros A. Chrysanidisa, Ioannis A. Tegosb
a
A.U.Th. – Aristotle University of Thessaloniki, 54124, Thessaloniki, GREECE
[email protected]
b
A.U.Th. – Aristotle University of Thessaloniki, 54124, Thessaloniki, GREECE
[email protected]
Abstract. The past few years, it has become explicit that failure due to transverse instability is
difficult to be observed in actual structures after the event of seismic excitation, even if it is
certain that it exists as phenomenon and can even lead to general collapse of structures.
Consequently, because of the big importance of transverse instability and the role that plays in
the seismic behavior and safety of constructions, a sedulous study is required about the
mechanism of occurrence of this phenomenon and the factors that lead to its growth. The
present work is experimental and consists of 5 test specimens of scale 1:3 simulating the
boundary edges of structural walls. These specimens were reinforced with the same medium
high longitudinal reinforcement ratio (3.19%). The degree of elongation applied was different
for each specimen. The present paper tries to investigate the influence of the degree of
elongation to the displacements and the modes of failure of test specimens.
Keywords: elongation degree, structural walls, transverse instability, displacements.
1 Introduction
The utilization of a number of sufficient walls is usually considered a good practice by
designers when forming the structural system of buildings. This conclusion is due to the fact
that buildings with a large number of structural walls have demonstrated exceptional
behaviour against seismic action, even if these walls had not been reinforced according to the
modern perceptions (Wallace and Moehle, 1992). Structural walls designed to be in a high
ductility category according to modern international codes such as EC8 (2004) and NZS 3101
(2006) or designed with increased ductility requirements according to Ε.Κ.Ω.Σ. 2000 (Greek
Concrete Code, 2000), are expected to present extensive tensile deformations, especially in
the plastic hinge region of their base. According to Chai and Elayer (1999), tensile
deformations until 30‰ are expected at the walls of the bottom storey height depending on
their geometric characteristics and the level of ductility design of the walls. These tensile
deformations, depending on their size, can cause out-of-plane buckling of walls. Prominent
researchers, like Paulay (1986), propose the use of flanges or enlarged boundary elements in
the extreme regions of walls providing protection to the bending compression regions against
transverse instability. Moreover, these elements are easier to be confined. New Zealand
Concrete Code (NZS 3101, 2006) and other modern international codes propose the
construction of such elements. The phenomenon of lateral buckling of RC walls depends
basically on the size of tensile deformations which are imposed at the extreme regions of
walls at the first semi-cycle of seismic loading and not so much on the size of flexural
compression which is imposed at the reversal of seismic loading, according to Paulay and
Priestley (1993). The present work on the phenomenon of out-of-plane buckling constitutes a
small part of an extensive research program that took place at the Laboratory of Reinforced
Concrete and Masonry Structures of the School of Engineering of Aristotle University of
Thessaloniki.
2 EXPERIMENTAL RESEARCH
2.1 Test specimen characteristics
The test specimens were constructed using the scale 1:3 as a scale of construction. The
dimensions of specimens are equal to 7.5x15x90 cm. The reinforcement of specimens consists
of 4 bars of 8 mm diameter and 2 bars of 10 mm diameter. The total number of specimens is
equal to 5. Each specimen was submitted first in tensile loading of uniaxial type up to a
preselected degree of elongation and then was strained under concentric compressive loading.
The differentiation of specimens lies in varying degrees of elongation imposed on each one of
them. Fig. 1 presents their front view both for tensile and compressive loading, while all
specimen characteristics are brought together in Table 1.
Table 1. Test specimens’ characteristics.
N/Α
Description of
specimens
Dimensions
(cm)
Longitudinal
reinforcement
Transverse
reinforcement
Longitudinal
reinforcement
ratio
(%)
1
2
3
4
5
Υ-4Ø8+2Ø10-319-0-1
Υ-4Ø8+2Ø10-319-10-2
Υ-4Ø8+2Ø10-319-20-3
Υ-4Ø8+2Ø10-319-30-4
Υ-4Ø8+2Ø10-319-50-5
15x7.5x90
15x7.5x90
15x7.5x90
15x7.5x90
15x7.5x90
4Ø8 + 2Ø10
4Ø8 + 2Ø10
4Ø8 + 2Ø10
4Ø8 + 2Ø10
4Ø8 + 2Ø10
Ø4.2/3.3cm
Ø4.2/3.3cm
Ø4.2/3.3cm
Ø4.2/3.3cm
Ø4.2/3.3cm
3.19
3.19
3.19
3.19
3.19
Fig. 1. Sketch of front view of specimens for: (a) tension, (b) compression.
Concrete
cube
resistance
at 28 days
Degree of
elongation
(‰)
(MPa)
22.82
22.82
22.82
22.82
22.82
0.00
10.00
20.00
30.00
50.00
Fig. 2. Test setup for application of: (a) Tensile loading, (b) Compressive loading.
2.1 Loading of specimens
The experimental setups used in order to impose to the specimens a uniaxial tensile load (first
semi cycle) and a concentric compressive load (second semi cycle) are shown in Fig. 2.
3 EXPERIMENTAL RESULTS
Fig. 3 refers to the uniaxial tensile test and shows the variation of elongation of the specimens
in relation to the applied tensile load. It becomes evident, from a simple observation of the
diagram that the real degrees of elongation differ somewhat from the nominal degrees of
elongation (10‰, 20‰, 30‰ and 50‰). However, in all cases, the differences are minor and
negligible. Fig. 4 refers to the concentric compression test and shows the change of transverse
displacement relative to the applied compressive load this time, while Fig. 5 depicts the
residual transverse displacement in relation to the normalized specimen height. Finally, Fig. 6
shows the various failure modes of all specimens after the completion of the compressive
loading.
Elongation Δhε (mm)
0.00
300
6.40
12.80
19.20
25.60
Υ-4Ø8+2Ø10-319-0-1
32.00
Υ-4Ø8+2Ø10-319-10-2
38.40
1.50
Υ-4Ø8+2Ø10-319-20-3
Υ-4Ø8+2Ø10-319-30-4
250
1.25
200
1.00
150
0.75
100
0.50
50
0.25
0
Ratio P/Py
Load P (kN)
Υ-4Ø8+2Ø10-319-50-5
0.00
0
10
20
30
40
50
60
Normalized elongation Δhε/h (‰)
Fig. 3. Diagram of tensile load [P(kN), P/P y] – elongation [Δhε/h(‰), Δhε(mm)].
Υ-4Ø8+2Ø10-319-0-1
Transverse displacement δm (mm)
Υ-4Ø8+2Ø10-319-10-2
-3.75
600
0.00
3.75
7.50
11.25
15.00
18.75
2.57
Υ-4Ø8+2Ø10-319-20-3
Υ-4Ø8+2Ø10-319-30-4
500
2.14
400
1.71
300
1.28
200
0.86
100
0.43
0
-0.0500
0.0000
0.0500
0.1000
0.1500
0.2000
Ratio P/(fc'∙Ag)
Load P (kN)
Υ-4Ø8+2Ø10-319-50-5
0.00
0.2500
Normalized transverse displacement δm/b
Fig. 4. Diagram of compressive load [P(kN), P/(fc’∙Ag)] – transverse displacement at
the midheight of test specimens [δm/b, δm(mm)].
Υ-4Ø8+2Ø10-319-0-1
Normalized residual transverse displacement δ/b
Υ-4Ø8+2Ø10-319-10-2
-0.0667
1.00
0.0000
0.0667
0.1333
0.2000
0.2667
1.00
Υ-4Ø8+2Ø10-319-20-3
Υ-4Ø8+2Ø10-319-30-4
0.90
0.80
0.80
0.70
0.70
0.60
0.60
0.50
0.50
0.40
0.40
0.30
0.30
0.20
0.20
0.10
0.10
0.00
-5.00
0.00
5.00
10.00
15.00
Normalized specimen height z/h
Normalized specimen height z/h
Υ-4Ø8+2Ø10-319-50-5
0.90
0.00
20.00
Residual transverse displacement δ (mm)
Fig. 5. Diagram of normalized specimen height [z/h] – residual transverse
displacement [δ(mm), δ/b].
Fig. 6. Failure modes of specimens after the experiment of compression: (a) Υ4Ø8+2Ø10-319-0-1, (b) Υ-4Ø8+2Ø10-319-10-2, (c) Υ-4Ø8+2Ø10-319-20-3, (d) Υ4Ø8+2Ø10-319-30-4, (e) Υ-4Ø8+2Ø10-319-50-5.
4 ANALYSIS OF RESULTS
The observations from the conduct of the experimental investigation are as follows:
4. The evaluation of maximum residual transverse displacements and failure transverse
displacements (transverse displacements corresponding to the maximum failure load)
indicates that there is a tendency for these types of displacements to be increased by
increasing the degree of elongation. However, this is only a tendency and it is not true
for all degrees of elongation (Figs. 7, 8).
5. Secondly, it is observed that the increase of the degree of elongation imposed on the test
specimens in the first semi cycle of loading causes a change in the failure mode of the
specimens during the second semi cycle of loading, where the compressive stress is
exerted. Specifically, for degrees of elongation 0‰, 10‰ and 20‰, the failure of the
test specimens comes from an excess of the compressive strength of their cross section
and crash of the compression zone of the column specimens. For degrees of elongation
30‰ and 50‰, the failure of the specimens is due to their buckling around the weak
axis, i.e. the axis perpendicular to their thickness. This observation is illustrated by a
simple study of Fig. 6.
6.40
12.80
19.20
25.60
32.00
38.40
3.36
16
2.99
14
2.62
12
2.24
10
1.87
8
1.49
6
1.12
4
0.75
2
0.37
0
Ratio δmax/δmax,o‰
Maximum residual transverse displacement δmax (mm)
Elongation Δhε (mm)
0.00
18
0.00
0
10
20
30
40
50
60
Nominal degree of elongation Δhε/h (‰)
Fig. 7. Diagram of maximum residual transverse displacement [δmax(mm),
δmax/δmax,0‰] – elongation [Δhε/h(‰), Δhε(mm)].
Longitudinal reinforcement
4Ø8+2Ø10
4Ø8+2Ø10
4Ø8+2Ø10
4Ø8+2Ø10
3.50
19
289%
3.00
16
Ratio δmax/δmax,o‰
257%
2.50
13
2.00
11
150%
1.50
8
121%
1.00
100%
5
0.50
3
0.00
0
0
10
20
30
Maximum residual transverse displacement δmax (mm)
4Ø8+2Ø10
50
Nominal degree of elongation Δhε/h (‰)
Fig. 8. Column diagram of maximum residual transverse displacement [δ max/δmax,0‰,
δmax(mm)] – elongation and type of longitudinal reinforcement [Δhε/h(‰)].
5 CONCLUSIONS
Analysis and evaluation of experimental results lead to the following conclusions:
4. As far as transverse displacements (maximum residual transverse displacements and
failure transverse displacements) are concerned, it seems that there is not a clear relation
5.
between degree of elongation and transverse displacements. So, no clear conclusion has
been derived on this matter apart from a general tendency for the transverse
displacements to be increased with an increase of degree of elongation.
The imposed elongation degree in the first semi cycle of the tensile loading has a major
influence, after a certain value, in the behaviour, in the failure mode, and in the
maximum failure load during the second semi cycle of the compressive loading.
References
(2004). EN 1998-1, Eurocode 8: Design of structures for earthquake resistance – Part 1:
General rules, seismic actions and rules for buildings. European Committee for
Standardization: Brussels, Belgium.
(2006). Ε.Κ.Ω.Σ. 2000: Greek Concrete Code. Ο.Α.Σ.Π. / Σ.Π.Μ.Ε.: Athens, Greece.
(2006). NZS 3101, Concrete structures standard: Part 1 – The design of concrete structures.
Standards New Zealand, Wellington, New Zealand.
Chai Y. H., Elayer DT. (1999) Lateral stability of reinforced concrete columns under axial
reversed cyclic tension and compression. ACI Structural Journal, 96(5), 780-789.
Paulay T. (1986). The design of ductile reinforced concrete structural walls for earthquake
resistance. Earthquake Spectra, 2(4), 783-823.
Paulay T, Priestley MJN. (1993). Stability of ductile structural walls. ACI Structural Journal,
90(4), 385-392.
Wallace JW, Moehle JP. (1992). Ductility and detailing requirements of bearing wall
buildings. ASCE Journal of Structural Engineering, 118(6), 1625-1644.
The influence of the diameter of the longitudinal
reinforcement of RC walls to their displacements
against lateral instability
Theodoros A. Chrysanidisa, Ioannis A. Tegosb
a
A.U.Th. – Aristotle University of Thessaloniki, 54124, Thessaloniki, GREECE
[email protected]
b
A.U.Th. – Aristotle University of Thessaloniki, 54124, Thessaloniki, GREECE
[email protected]
Abstract. The possibility of failure because of lateral instability is limited significantly with
the proper choice of an adequate thickness, which is specified by (most) modern seismic
codes as a percentage of the height of the bottom storey. The current work investigates one
parameter that may be affecting the stability of structural walls. This parameter is the diameter
of the longitudinal reinforcement of the boundary edges of load-bearing walls. It contains an
experimental research that tries to investigate the influence of the diameter of longitudinal
reinforcement to the displacements of test specimens. It has to be noted that in order to
examine experimentally the influence of the diameter of longitudinal reinforcement, test
specimens of scale 1:3 simulating the boundary edges of structural walls were used. These
specimens were reinforced with the same or almost the same longitudinal reinforcement ratios
(2.68% - 2.79%) but had a different number of reinforcement bars of varying diameter. The
diameters of bars which were used were equal to 8mm and 10mm. The specimens which were
compared to each other contained (apart from bars of different diameter) a different number
of bars and consequently a different way of placement of these bars at the wall end sections.
Keywords: R/C walls, lateral instability, diameter, longitudinal reinforcement.
1 Introduction
One important aspect of seismic design of buildings with a dual reinforced concrete structural
system is the lateral stability of structural walls (Fig. 1), when they face this danger mainly
due to flexural overstrain. The deep excursion in the yield region of the boundary parts of
bearing walls increases dramatically their flexibility and since at the same time they are liable,
because of the earthquake vibration, to a reversing axial loading (tension – compression), their
lateral stability is at stake.
In the past few years, a concern is observed internationally regarding the seismic mechanical
behavior of reinforced concrete walls, especially against their transverse instability under
extreme seismic loads. This increasing concern is connected directly to the types of damage
that are observed in reinforced concrete structures. It is observed that the relevant
bibliography does not refer and does not include as damage the out-of-plane buckling of
walls. Indeed, for the case of bending type of damage of walls, crash of the compression zone
is referred as a result for the compression zone for this specific type of damage. However, it is
known that bending type of failure can be manifested as buckling of compression zone and
not necessarily with its crash, a fact that leads to the so-called failure of transverse buckling. It
becomes explicit that failure due to transverse instability is difficult to be observed in actual
structures after the event of seismic excitation, even if it is certain that it exists as
phenomenon. Consequently, it is concluded that the phenomenon of transverse buckling at the
compression edges of walls in the plastic hinge region (base of wall) is a no warning (and
consequently very dangerous) phenomenon since it leads to total collapse of the structures and
in particular without leaving proofs that the total collapse and failure emanated from this
specific phenomenon. Moreover, this is also one of the reasons that relevant code provisions
exist in several modern international codes, as is e.g. EC8 (Eurocode 8, 2004), New Zealand
Concrete Code (NZS 3101: 2006). Consequently, because of the big importance of transverse
instability and the role that plays in the seismic behavior and safety of constructions, a
sedulous study is required about the mechanism of occurrence of this phenomenon and the
factors that lead to its growth.
Fig. 1. Out-of-plane buckling of structural wall.
2 EXPERIMENTAL RESEARCH
2.1 Aim of experimental investigation
The main objective of the experimental investigation was to determine the influence of the
diameter of longitudinal reinforcement bars of the end areas of a wall to their displacements
due to lateral buckling.
2.2 Test specimen characteristics
The test specimens were made using the scale 1:3 as construction scale. The dimensions of
the specimens are equal to 7.5x15x90 cm. The reinforcement of the first specimen consists of
6 bars of 8 mm diameter and the reinforcement of the second specimen consists of 4 bars of
10 mm diameter. Thus, the longitudinal reinforcement ratio of the first specimen is equal to
2.68% and the longitudinal reinforcement ratio of the second specimen is equal to 2.79%. It
can be noticed that the two specimens have almost the same longitudinal reinforcement ratio.
The difference is small and can be easily considered as negligible. The total number of
specimens is equal to 2. First, each specimen was stressed under uniaxial tensile loading to a
specific and default elongation degree equal to 30‰ and then was stressed under concentric
compressive loading. Degree of elongation 30‰ was chosen because it has been observed in
actual structures (Chai and Elayer, 1999). Differentiation of specimens lies in varying
diameters of the longitudinal bars of each specimen. The characteristics of the specimens are
shown collectively in Table 1, while Fig. 2 shows the cross section and a front view of
specimens both for tensile and compressive loading.
Table 1. Test specimens’ characteristics.
N/Α
Description of
specimens
Dimensions
(cm)
Longitudinal
reinforcement
Transverse
reinforcement
Longitudinal
reinforcement
ratio
(%)
Concrete
cube
resistance
at 28 days
Degree of
elongation
(‰)
(MPa)
1
Υ-6Ø8-268-30-1
15x7.5x90
6Ø8
Ø4.2/3.3cm
2.68
22.22
30.00
2
Υ-4Ø10-279-30-2
15x7.5x90
4Ø10
Ø4.2/3.3cm
2.79
22.22
30.00
Fig. 2. Column specimen Υ-6Ø8-268-30-1: (a) Front view in tension, (b) Front view
in compression, (c) Cross section, (d) Cross section.
(Reinforcement differs for each specimen. Example shows typical longitudinal
reinforcing bars 6Ø8.
Fig. 3. Test setup for application of: (a) Tensile loading, (b) Compressive loading.
2.1 Loading of specimens
The experimental setups used in order to impose to the specimens in the first semi cycle of
loading a uniaxial tensile load and in the second semi cycle of loading a concentric
compressive load are shown in Fig. 3.
3 EXPERIMENTAL RESULTS
Fig. 4 refers to the uniaxial tensile test and shows the variation of elongation of the specimens
in relation to the applied tensile load. It becomes evident, from a simple observation of the
diagram that the real degrees of elongation differ somewhat from the nominal degree of
elongation (30‰). However, in all cases, the differences are minor and negligible. Fig. 5
refers to the concentric compression test and shows the change of transverse displacement
relative to the applied compressive load this time, while Fig. 6 depicts the residual transverse
displacement in relation to the normalized specimen height. Finally, Fig. 7 shows the various
failure modes of all specimens after the completion of the compression loading.
Υ-6Ø8-268-30-1
Υ-4Ø10-279-30-2
Elongation Δhε (mm)
3.20
6.40
9.60
12.80
16.00
19.20
22.40
25.60
1.47
200
1.18
150
0.88
100
0.59
50
0.29
0
Ratio P/Py
Load P (kN)
0.00
250
0.00
0
5
10
15
20
25
30
35
40
Normalized elongation Δhε/h (‰)
Fig. 4. Diagram of tensile load [P(kN), P/Py] - elongation [Δhε/h(‰), Δhε(mm)].
Υ-6Ø8-268-30-1
Transverse displacement δm (mm)
7.50
15.00
22.50
30.00
37.50
45.00
0.79
180
0.71
160
0.63
140
0.55
120
0.47
100
0.39
80
0.32
60
0.24
40
0.16
20
0.08
0
0.0000
0.1000
0.2000
0.3000
0.4000
0.5000
0.00
0.6000
Normalized transverse displacement δm/b
Fig. 5. Diagram of compressive load [P(kN), P/(fc’∙Ag)] – transverse displacement at
the midheight of test specimens [δm/b, δm(mm)].
Ratio P/(fc'∙Ag)
Load P (kN)
0.00
200
Υ-4Ø10-279-30-2
Υ-6Ø8-268-30-1
Υ-4Ø10-279-30-2
Normalized residual transverse displacement δ/b
0.0667
0.1333
0.2000
0.2667
0.3334
0.4000
0.4667
1.00
0.90
0.90
0.80
0.80
0.70
0.70
0.60
0.60
0.50
0.50
0.40
0.40
0.30
0.30
0.20
0.20
0.10
0.10
0.00
0.00
5.00
10.00
15.00
20.00
25.00
30.00
0.00
35.00
Residual transverse displacement δ (mm)
Fig. 6. Diagram of normalized specimen height [z/h] – residual transverse
displacement [δ(mm), δ/b].
Fig. 7. Failure modes of specimens after the experiment of compression:
(a) Υ-6Ø8-268-30-1, (b) Υ-4Ø10-279-30-2.
4 ANALYSIS OF RESULTS
The observations from the conduct of the experimental investigation are as follows:
Normalized specimen height y/h
Normalized specimen height y/h
0.0000
1.00
6.
First, it is observed that the change of the longitudinal reinforcement diameter does not
change the failure mode of the specimens. Thus, for both diameters failure takes place
due to buckling.
It becomes readily apparent that there is no substantial variation of the maximum failure
load by varying the diameter of longitudinal reinforcement.
The evaluation of maximum residual transverse displacements and failure transverse
displacements (transverse displacements corresponding to the maximum failure load)
indicates that these types of displacements have similar values for the two specimens
compared. However, this is true for these types of diameters, it might not be the same for
other types of diameters.
7.
8.
3.01
3.04
3.06
3.08
3.10
3.13
3.15
1.21
30
1.04
25
0.87
20
0.69
15
0.52
10
0.35
5
0.17
0
2.66
2.68
2.70
2.72
2.74
2.76
2.78
0.00
2.80
Longitudinal reinforcement ratio ρlong (%)
Fig. 8. Diagram of maximum residual transverse displacement [δmax(mm),
δmax/δmax,1.79‰] – longitudinal reinforcement ratio and longitudinal reinforcement
area [ρlong(‰), Along(cm2)].
Ratio δmax/δmax,6Ø8
Maximum residual transverse displacement δmax (mm)
Longitudinal reinforcement area Αlong (cm2)
2.99
35
Longitudinal reinforcement
4Ø10
1.20
35
100%
Ratio δmax/δmax,6Ø8
1.00
100%
29
0.80
23
0.60
17
0.40
12
0.20
6
0.00
0
2.68
Maximum residual transverse displacement δmax (mm)
6Ø8
2.79
Longitudinal reinforcement ratio ρlong (%)
Fig. 9. Column diagram of maximum residual transverse displacement
[δmax/δmax,1.79‰, δmax(mm)] – longitudinal reinforcement ratio and type of
longitudinal reinforcement [ρlong(‰)].
5 CONCLUSIONS
Analysis and evaluation of experimental results lead to the following conclusions:
6. Longitudinal reinforcement diameter does not affect failure mode of specimens and
cannot prevent out-of-plane buckling.
7. Longitudinal reinforcement diameter seems not to affects maximum failure load of test
specimens. More tests on this matter have to be conducted before a final conclusion can
be derived.
8. As far as transverse displacements (maximum residual transverse displacements and
failure transverse displacements) are concerned, it seems that they are not affected by the
variation of longitudinal reinforcement diameters. More experiments need to be
conducted on this matter however before a final conclusion I reached.
References
(2004). EN 1998-1, Eurocode 8: Design of structures for earthquake resistance – Part 1:
General rules, seismic actions and rules for buildings. European Committee for
Standardization: Brussels, Belgium.
(2006). NZS 3101, Concrete structures standard: Part 1 – The design of concrete structures.
Standards New Zealand: Wellington, New Zealand.
Chai Y. H., Elayer DT. (1999) Lateral stability of reinforced concrete columns under axial
reversed cyclic tension and compression. ACI Structural Journal, 96(5), 780-789.
IT based social media impacts on
Indonesian general legislative elections 2014
Leon Andretti Abdillaha
a
Bina Darma University, Computer Science Faculty, Information Systems Study Prorgam,
Palembang 30264, INDONESIA
[email protected]
Abstract. The information technology’s applications in cyberspace (the internet) are currently
dominated by social media. The author investigates and explores the advantages of social
media implementation of any political party in Indonesian general legislative elections 2014.
There are twelve national political parties participating in the election as contestants plus three
local political parties in Aceh. In this researh, auhtor focus on national politial parties only.
The author visited, analyzed, and learnt the social media used by the contestants. Those social
media are : 1) Facebook, 2) Twitter, and 3) YouTube. Author also compares the popularity of
political parties on social media with the results of a real count. Then Author can discuss : 1)
the impact of social media on political parties, 2) social media as a brand of political parties,
3) social media as political presentation, and 4) social media as virtual society. The results of
this study indicate that Facebook is still a social media application that received high attention
by the voters on a campaign of political parties. Indonesian's legislative elections won by
parties that are using social media as part of their campaigns.
Keywords: Social media, political campaigns, Indonesian legislative elections.
1 Introduction
Social media become one of the top internet application recently. These applications grow
exponentially and attract millions concerns from virtual users. Social media are being
discussed and analyze not only by industry and academic, but also involved politicians.
Recently, social media have been used for personal online interaction, academic and
education (Abdillah, 2013; Selwyn, 2009), product promotion (Rahadi & Abdillah, 2013),
knowledge and information sharing (Abdillah, 2014), politics (Abdillah, 2014; Baumgartner
& Morris, 2010), or activities (Boyd & Ellison, 2007). The rapid development of online social
networks has tremendously changed the way of people to communicate with each other (Bi,
Qin, & Huang, 2008). This article covers the topic of social media impacts on involving
citizens in supporting e-democratic activity like general legislative elections or presidential
campaigns.
Indonesia become the third largest democratic country after USA, and India. In Indonesia
there are two steps of general national elections: 1) legislative elections, and 2) presidential
elections. Legislative elections conducted to elect representatives in Senayan, House of
representatives. The representatives come from a variety of political parties. In the 2014
election, there are twelve national political parties and three local political parties from Aceh.
Research discussion in this article focus on : 1) legislative elections, 2) twelve national
political parties, and 3) social media used by the national political parties.
In legislative elections, every political party must prepare and promote candidates for
legislative council. Normally, in the campaign or promotion periods every political party will
disseminate their politicians using various of conventional media, such as: 1) televisions, 2)
news papers, 3) radios, 4) banners, etc.
Along with advances in information technology, political parties in Indonesia have also
adopted social media in political campaigns and activities. This condition occured because of
citizens already friendly with the social media and become bored with conventional
campaigns. Adding new media to old electoral politics will entice new and younger voters to
greater participation (Xenos & Foot, 2008), because there are relationships between Facebook
use and students’ life satisfaction, social trust, civic engagement, and political participation
(Valenzuela, Park, & Kee, 2009). On the other hand, information networks not easily
controlled by the state and coordination tools that are already embedded in trusted networks
of family and friends (Howard & Hussain, 2011). Organizations such as political parties are
trying to keep up with this changing environment (Effing, van Hillegersberg, & Huibers,
2011). Another reason is based on one common characteristic among social media sites is that
they tend to be free and are therefore widely accessible across socioeconomic classes (Joseph,
2012). Educated and well inform people less trust to billboards or banners, but they have more
confidence or rather believe in the words of friends or colleagues in social media (Sugiarto,
2014).
The greatest phenomenon is Barack Obama’s campaign in 2008. The successful use of
social media in the US presidential campaign of Barack Obama (Tumasjan, Sprenger,
Sandner, & Welpe, 2010) has established Twitter, Facebook, MySpace, and other social
media as integral parts of the political campaign toolbox and how they have affected users’
political attitudes and behaviors (Zhang, Johnson, Seltzer, & Bichard, 2010). Another success
story is from Indonesia, Jokowi & Ahok, new Governor and deputy as winners of Jakarta
Governor Election in the 2012s suggest political marketing strategy is an effective key to
success (Ediraras, Rahayu, Natalina, & Widya, 2013).
Table 1. Facebook user distribution based on SocialBakers
No
Country
1
2
3
4
5
USA
India
Brazil
Indonesia
Mexico
Facebook user based on age
The Largest
The Second Largest
Facebook user based on gender
Male
Female
25-34
18-24
46%
54%
18-24
25-34
76%
24%
18-24
25-34
47%
53%
18-24
25-34
59%
41%
18-24
25-34
50%
50%
As of April 2014, Indonesia is the world's fourth position in terms of the number of
facebook users(SocialBakers, 2014) after USA, India, and Brazil.
Young adults (18-24) people dominate Facebook users in Indonesia followed by the users
in the age of 25-34 (table 1).There are 59% male users and 41% female users in Indonesia,
compared to 46% and 54% in USA, 76% and 24% in India, 47% and 53% in Brazil, and 50%
and 50% in Mexico.
In this article, author would like to discuss about successful story in social media based
political campaign in Indonesia. Author extends this article by adding new data from real
count result, add some sections, and add one social media, YouTube. The rest of this paper
will discuss research methods, results and discussions, and conclude with conclusions and the
direction for next study.
Information about political party contestants, national poltical party’s website such as:
Facebook, Twitter, and, YouTube, etc will be discussed in next section.
2 RESEARCH METHODS
This article is a continuation of the previous article analyzes (Abdillah, 2014) conducted by
the author. In this article author add one social media, YouTube, for the observation. Then in
this article author observes the features of political parties’ social media, such as: 1)
Facebook, 2) Twitter, and 3) YouTube. Author explores political parties’ social media to
check their activities. Author also gathers valuable information from KPU for the real count
results (2009 and 2014).
2.1 Indonesian Political Parties for General Legislative Elelctions 2014
On elections in this era of reform involves twelve political parties consisting of eleven
existing political parties and one new, Pnasdem, plus three local political parties in Aceh. In
this article, author will not discuss three others local political parties in Aceh.
1
2
3
4
5
6
7
8
9
10
14
15
Fig. 1. Political Parties’ Facebook Like’s Statistics
2.2 Indonesian Political Parties’s Social Media Accounts
This study only investigate three of the most popular social media at the moment. Table 2
shows the list of all social media accounts for political parties: 1) Facebook Page, 2) Twitter
account, and 3) YouTube address.
Table 2. Polical Parties Social Media Accounts
No
1
2
3
4
5
6
7
8
Political
Party
PNasdem
PKB
PKS
PDIP
PGolkar
PGerindra
PDemokrat
PAN
Facebook Page
Twitter
YouTube
-
@NasDem
-
pkb2pkb
@PKB_News_Online
-
HumasPartaiKeadilanSejahtera
@PKSejahtera
http://www.youtube.com/user/konpress
DPP.PDI.Perjuangan
@PDI_Perjuangan
-
DPPPGolkar
@Golkar2014
-
gerindra
@Gerindra
http://www.youtube.com/user/GerindraTV
pdemokrat
@PDemokrat
http://www.youtube.com/user/demokrattv
amanatnasional
@official_PAN
http://www.youtube.com/user/OfficialDPPPAN
pppdpp
@DPP_PPP
-
hanura.official
DPP-Partai-Bulan-Bintangwwwbulanbintangorg/114716555303039
PKPI.MediaCenter
@hanura_official
-
@DPPBulanBintang
-
@sobatbangyos
-
http://www.youtube.com/user/pan230898
9
10
PPP
PHanura
11
PBB
12
PKPI
2.3 Statistics from Online Media
To enrich the analysis from every social media that involved in political parties, author
gathers information from some of statistical online media, such as SocialBakers. SocialBakers
is an important online statistics tool for researchers who want to find out the social media
condition from every country. SocialBakers works with four major social at the moment: 1)
Facebook, 2) Twitter, 3) YouTube, and 4) Linkedin.
SocialBakers is a user friendly social media analytics platform which provides a leading
global solution that allows brands to measure, compare, and contrast the success of their
social media campaigns with competitive intelligence (SocialBakers, 2014). SocialBakers also
provide eleven clasifications, such as: 1) By Country, 2) Pages, 3) Brands, 4) Media, 5)
Entertainment, 6) Sport, 7) Celebrities, 8) Society, 9) Community, 10) Places, and 11) Apps
& Developers.
3 RESULTS AND DISCUSSIONS
In this section, author would like to show the results from real count by KPU, then followed
by information about political parties’ social media. Author also discusses the impact of social
media.
3.1 Real Count Results
In the last article, author uses quick count results from some survey’s institutions. In this
article author uses real count data from legal institutions, KPU. Table 3 shows the real count
results from the elections 2009 and 2014.
Based on 2014 real counts result, there are new winner in this election : 1) PDIP, 2)
PGolkar, 3) PGerindra, 4) PDemokrat, 5) PKB, 6) PAN, 7) PNasdem, 8) PPP, 9) PKS, 10)
PHanura, 11) PBB, 12) PKPI.
Table 3. Real Count Results in Indonesia General Election 2014
Rank
1
2
3
4
5
6
7
8
9
10
11
12
Political
Party
PDIP
PGolkar
PGerindra
PDemokrat
PKB
PAN
PKS
PNasdem
PPP
PHanura
PBB
PKPI
Elections
2009
14.03%
14.45%
4.46%
20.85%
4.94%
6.01%
7.88%
5.32%
3.77 %
1.79 %
0.90 %
Elections
2014
18.95 %
14.75 %
11.81 %
10.19 %
9.04 %
7.59 %
6.79 %
6.72 %
6.53 %
5.26 %
1.46 %
0.91 %
Change
+ ()
+ ()
+ ()
- ()
+ ()
+ ()
- ()
+ ()
+ ()
+ ()
- ()
+ ()
Among those twelve political parties, only one new political party joins the election of 2014,
PNasdem. Eight political parties get better voices in the election 2014, and three others
political parties get lower voices then the elections of 2009.
The increasing number of voice revenue for 2014 elections won by the party PGerindra
(+7.35%), followed by PDIP (+4.92%) and PKB (+4.1%). Author doesn’t include PNasdem
because this political party just join the election in 2014. PGolkar successfully defended his
party's ranking in 2014 elections as runner up in the election 2009 & 2014. Figure 2 shows
the tabular bar for the real count results of the elections in 2009 and 2014.
Unfortunately, in this election, none of the parties get more votes than 20%, as a
condition to nominate candidates for president himself. So that each party must set stategy
for Formatting a coalition with a number of parties. Author classifies the group of political
parties in the election 2014: 1) three big political parties (PDIP, PGolkar, PGerindra), 2) three
medium political parties (PDemokrat, PKB, PAN), 3) four small political parties (PNasdem,
PKS, PPP, PHanura), and 4) two political parties which threatened not to go to parliament.
25.00%
20.00%
15.00%
10.00%
Elections 2009
5.00%
Elections 2014
PGerindra
PDemokrat
PKB
PAN
PKS
PNasdem
PPP
PHanura
2
3
4
5
6
7
8
9
10 11 12
PKPI
PGolkar
1
PBB
PDIP
0.00%
Fig. 2. Political Parties’ Real Count Results (2009 & 2014)
3.2 Political Parties’ Facebook Page
The first social media analyzed in this article is Facebook. The Facebook connectivity help
the group to build a political party to further back up their main figure in the forecast
Presidential candidacy (Murti, 2013). Table 4 shows the popularity of every political partiy in
general election April 2014.
Table 4. Political Parties’s Facebook Like
No
Political
Party
Like (April,
before real
Count)
Like (May,
after real
count)
Talking
about this
1
2
3
4
5
6
7
8
9
10
11
12
P.Nasdem
PKB
PKS
PDIP
P.Golkar
P.Gerindra
P.Demokrat
PAN
PPP
P.Hanura
PBB
PKPI
6.164 K
40.073 K
319.000 K
4.355 K
2500.000 K
25.075 K
38.228 K
3.388 K
562.000 K
2.198 K
4.410 K
6.333 K
40.552 K
453.559 K
4.394 K
2650.000 K
28.000 K
45.000 K
3.596 K
563.918 K
2.211 K
4.095 K
0. 319 K
1.729 K
273.756 K
0.007 K
326.304 K
1400.000 K
7.3K
0.225 K
0.629 K
0.009K
0.007K
Most
Popular
Age
Group
25-34
25-34
18-24
18-24
18-24
18-24
18-24
25-34
18-24
25-34
25-44
Author found that the popularity of political party in the general election 2014 based on the
Facebook page political parties, there are three parties managed to get "Like" the most. Those
political parties are : 1) PGerindra, 2) PHanura, and 3) PDIP. Among the three most popular
parties, there are PGerindra and PDIP included in the election winners. This research also
confirm that dominanat Facebook’s users that like political parties are young adults (19-24)
followed by adults (25-34).
3000000
2500000
2000000
1500000
Like (April, before real
Count) -
1000000
Like (May, after real
count) -
500000
P.Golkar
P.Gerindra
P.Demokrat
PAN
PPP
4
5
6
7
8
9 10 11 12
PKPI
PDIP
3
PBB
PKS
2
P.Hanura
PKB
0
Fig. 3. Political Parties’ Facebook Like’s Statistics
3.3 Political Parties’ Twitter
Twitter is a microblogging website where users read and write millions of short messages on
a variety of topics every day (Tumasjan, et al., 2010). The analysis suggests that politicians
are attempting to use Twitter for political engagement, though some are more successful in
this than others (Grant, Moon, & Busby Grant, 2010). All of national political parties have
official website (Table 1) and twitter account (Table 2).
Table 5. Political Parties’s Twitter’s Tweets, Following, and Followers
No
1
2
3
4
5
6
7
8
9
10
11
12
Political
Party
P.Nasdem
PKB
PKS
PDIP
P.Golkar
P.Gerindra
P.Demokra
t
PAN
PPP
P.Hanura
PBB
PKPI
Tweets
(April)
17.600 K
2.898 K
18.900 K
21.300 K
9.680 K
47.600 K
4.008 K
6.022 K
4.424 K
1.256 K
0.172 K
2.301 K
Tweets
(May)
19.865 K
2.991 K
19.038 K
23.606 K
0.074 K
48.930 K
4.148 K
6.243 K
4.511 K
1.257 K
0.172 K
2.301 K
Following
(April)
0.669 K
1.704 K
0.275 K
0.658 K
0.493 K
2.160 K
0.870 K
0.605 K
0.076 K
0.030 K
0.014 K
1.376 K
Following
(May)
Followers
(April)
Followers
(May)
0.688 K
1.704 K
0.275 K
0.704 K
0.027 K
3.173 K
0.872 K
20.900 K
4.050 K
105.000 K
58.400 K
2.329 K
143.000 K
22.582 K
4.270 K
109.272 K
64.746 K
0.017 K
149.711 K
18.200 K
19.222 K
0.605 K
0.073 K
0.030 K
0.014 K
1.377 K
4.745 K
2.953 K
1.866 K
0.774 K
1.364 K
5.216 K
3.155 K
1.937 K
0.806 K
1.385 K
Almost twitter accounts from all political parties included the abreviation of their political
party’s name except PKPI which use @sobatbangyos. Table 4 shows political partiy’s twitter
account. Table 5 shows the numbers of tweets, following, and followers from every political
parties. All of political parties have twitter account. In this manuscript, author will analyze
twitter features of every political party based on : 1) Twitters’ tweets, 2) following, and 3)
followers.
60000
50000
40000
30000
20000
Tweets (April)
10000
Tweets (May)
PKS
PDIP
P.Golkar
P.Gerindra
P.Demokrat
PAN
PPP
P.Hanura
2
3
4
5
6
7
8
9
10 11 12
PKPI
PKB
1
PBB
P.Nasdem
0
Fig. 4.a. Political Parties’ Twitters Tweets
Twitter, every user can publish short messages with up to 140 characters, so-called “tweets”
(Tumasjan, et al., 2010), which are visible on a public message board of the website or
through third-party applications. Figure 4.a shows the numbers of tweets of every political
party. PGerindra was the most informative political party with 48,9 K tweets followed by
PDIP (23.6 K) and PNasdem (19.8 K).
3500
3000
2500
2000
1500
1000
500
0
Following (April)
PKS
PDIP
P.Golkar
P.Gerindra
P.Demokrat
PAN
PPP
P.Hanura
2
3
4
5
6
7
8
9
10 11 12
PKPI
PKB
1
PBB
P.Nasdem
Following (May)
Fig. 4.b. Political Parties’ Twitters Following
Figure 4.b shows the numbers of following of every political party. P.Gerindra was the most
kindest political party that has been following 2,16 K others twitter accounts followed by
PKB and PKPI.
160000
140000
120000
100000
80000
60000
Followers (April)
40000
Followers (May)
20000
PKS
PDIP
P.Golkar
P.Gerindra
P.Demokrat
PAN
PPP
P.Hanura
2
3
4
5
6
7
8
9
10 11 12
PKPI
PKB
1
PBB
P.Nasdem
0
Fig. 4.c. Political Parties’ Twitters Followers
Table 4.c shows the number of twitter followers of political parties. Based on these results,
PGerindra occupies the first position, followed by PKS and PDIP. These results also show that
PGerindra followers increase significantly after the announcement of real count result.
3.4 Political Parties’ YouTube
Beside two most popular socia media above, national political patries in Indonesia also use
video-sharing site YouTube for the third alternative for their online campaigns. Table 6 shows
national party’s YouTube account with total subscribers. YouTube as one of video-sharing
websites or free distribution channel provides a low-cost alternative for many political
candidates to use in their campaigns (English, Sweetser, & Ancu, 2011).
Table 6. Political Parties’s YouTube’s Subscribers
No
1
2
3
4
5
6
7
8
9
10
11
12
Political
Party
P.Nasdem
PKB
PKS
PDIP
P.Golkar
P.Gerindra
P.Demokrat
PAN
PPP
P.Hanura
PBB
PKPI
YouTube
http://www.youtube.com/user/konpress
http://www.youtube.com/user/GerindraTV
http://www.youtube.com/user/demokrattv
http://www.youtube.com/user/OfficialDPPPAN
http://www.youtube.com/user/pan230898
-
Subscribers
(April)
5.768 K
5.023 K
0.130 K
0.011 K
0.030 K
Subscribers
(May)
6.078 K
6.108 K
0.152 K
0.012 K
0.030 K
YouTube as one of video-sharing websites or free distribution channel provides a low-cost
alternative for many political candidates to use in their campaigns (English, Sweetser, &
Ancu, 2011). In Obama’s campaign, using YouTube more for media and message than for
mobilization (Nielsen, 2011), but YouTube videos were successful in mobilizing younger
voters like never before (McKinney & Rill, 2009).
The current trend in the use of YouTube as a medium for political campaigns has
penetrated into Indonesia although not as optimal as practiced by Obama. Currently, some
political parties have been used YouTube as political virtual channel and succeed to atract
thousands attention from online users. At least there are four political parties used YouTube,
namely: 1) PGerindra, 2) PKS, 3) PDemokrat, and 4) PAN.
Even PKS succeed to get the highest subscribers in YouTube, unfortunately PKS failed to
get many votes in the general legislative elections 2014. Among the four political parties,
PGerindra not only get a good number of subscribers, but PGerindra also won the third place
based on real count results from KPU.
7,000
6,000
5,000
4,000
3,000
Subscribers (April)
Subscribers (May)
2,000
1,000
P.Demokrat
PAN
P.Nasdem
PKB
PDIP
P.Golkar
PPP
P.Hanura
2
3
4
5
6
7
8
9
10 11 12
PKPI
PKS
1
PBB
P.Gerindra
0
Fig. 5. Political Parties’ YouTube Subscribers
3.5 Social Media as Political Party Brand
The term of brand refers to image and reputation is more or less right (Scammell,
2007). Social media can be used to promote legislative candidates to all prospective voters
easely. Every political party has provided a number of social media for their loyalists as well
as to capture new enthusiasts of the virtual user. In general legislative elections of 2014,
Indonesian poitical parties are still dependent on the reputation of its chairperson or leader
icon. For example, on Jokowi’s political branding in governor election campaign is twitter
social media (Wulan, Suryadi, & Dwi Prasetyo, 2014).
SocialBakers page report that political leaders and political parties get a very high
attention in the social media of Facebook as community. Based on Figure 6, Prabowo and his
political party, PGerindra, managed to occupy the top three social media community page in
Facebook. Other political figures who entered the top ten are: SBY (no.2), BJ Habibie (no.7),
and Muh. Jusuf Kalla (no.8). While the political parties who entered the top ten only
PGerindra (no.3).
3.6 Social Media as Political Presentation
Social media platforms give politicians access to millions of users and offer the capacity to
build a sense of camaraderie and connection with a wide constituency (Crawford, 2009). As
political communication sources, social media are a recent phenomenon (Kushin &
Yamamoto, 2010). Author browsed every political parties in April 2014. Author found that
every political parties has been accupied the political parties’ Facebook page with some
features.
Table 7. Political Parties’s Facebook Page Views
No
PP
Logo
Order
No
1
2
3
4
5
6
7
8
9
10
11
12
P.Nasdem
PKB
PKS
PDIP
P.Golkar
P.Gerindra
P.Demokrat
PAN
PPP
P.Hanura
PBB
PKPI
Persentage











100%






50%
Head
Quote,
Slogan,
TagLine







58.3%








66.67%
Others
Coalition
Soekarno
KPU
Simpatisan
Pemilu.com
41.67%
Website


-
Mayl 2014
Author visited every political parties’ facebook account. Author found that every political
party has different way to present their existness via facebook. Table 8 show the summary of
political parties appereance in facebook.
Table 7 shows the summary of political parties’ facebook pages’ features. In 2014 general
elections, all of political parties (100%) dispaly their logo, half of them (50%) showing the
serial number of his party, 58% display photos political party chairman, 66,67% have
quote/slogan/tagline, and 41.67% showing other things.
Unfortunately many political parties do not displays supporters in their social
media main page. The political parties seemed forget that the supporters are one of
the most important aspects that they should display in their social media main pages.
3.7 Social Media as Political Virtual Society
The potential of social media lies mainly in their support of civil society and the public sphere
(Shirky, 2011). On the other hand, (Tumasjan, et al., 2010) results indicate that people are
finding interesting political information on Twitter which they share with their network of
followers. When they share any link of tweets to their network, then they automatically
create a virtual society for their interest. Social media offer users new channels for political
information (Kushin & Yamamoto, 2010).
Author visited every political parties’ facebook account. Author found that every political
party has different way to present their existness via facebook. Table 7 show the summary of
political parties appereance in facebook.
Fig. 6. The most popular page based on SocialBakers
SocialBekrs reported that per April 2014, the most popular page in Indonesian Facebook was
1) Prabowo Subianto (fig. 1), followed by 2) Susilo Bambang Yudhoyono, and 3) Partai
Gerakan Indonesia Raya.
Fig. 7. The fastest growing Facebook page in Indonesia
Among the most popular Facebook page, there are five fastest growing pages, 1) Prabowo
Subianto, 2) Moeldoko, 3) PDI Perjuangan, 4) Komisi Pemberantasan Korupsi, and 5) Partai
Gerakan Indonesia Raya (Gerindra). It means three of the fastest growing pages are related to
political parties. The fastest person page is Prabowo Subianto, the head of PGerindra, as well
as the presidential candidate of PGerindra. And the fastest political party’s page is PDIP, the
winner of 2014 election.
4 CONCLUSIONS
Based on the facts and discussions from previour sections above, author can conclude the
following summarization related to the condition of social media related to general legislative
elections results in Indonesia as follow:
1) Social media has positive impacts on political parties in Indonesian general election
2014. Social media is affecting political campaigns (Smith, 2011). National political
parties in Indonesia already used some of social media for their political campaigns.
Those social media are : 1) Facebook, 2) Twitter, and 3) YouTube. Facebook like is
the symbols of popularity in Indonesian political athmosphere folowed by Twitter
and YouTube.
2) Social media is effective tool for political cyber campaigns. The power of social
media has triggers transparancy and support e-democracy around the world. Citizens
have ability to choose freely the best legislative candidate to represent them in the
parliament. In Indonesia, PGerindra won the third place in the real count, PGerindra
3)
4)
5)
6)
7)
8)
also become political parties rallied highest voice revenue compared to the previous
election. PGerindra also won in : 1) Facebook’s likes, 2) Twitters’ followers, and 3)
YouTube’ subscribers.
Social media in Indonesian political parties are dominated by young adults (18-24)
followed by adults (25-34) users. This research confirm the engagements of young
adults (Baumgartner & Morris, 2010).
Social media will create a more successful campaign as well as help create a stronger
democracy (Vonderschmitt, 2012). There is no wall for every body to search the best
candidate through online social media.
Social media are the current and future media for political campaigns and reach the
voters and supporters instantly (Abdillah, 2014). Political parties are encourage to
provide more professional social media pages over the internet and reach more
online voters. Political parties’ logos is the most common icon found in political
parties’ social media in Indonesian legislative general elections 2014 (Abdillah,
2014) followed by Quote, Slogan, and TagLine.
Information on Twitter can be aggregated in a meaningful way (Tumasjan, et al.,
2010). Total followers have linear correlation with the voters in real election. In the
case of Indonesia, PGerindra and PDIP success to get many voters. Contra conditions
are faced by PGolkar and PKS. PGolkar used less effort in social media campaigns.
PGolkar still works with traditional media, television, and they success to keep their
loyal audiens. Another contra condition is faced by PKS, even they already force all
of popular social media for political campaigns, the acquisition constituents that they
obtained is lower than it should be.
In Obama’s campaign, YouTube videos were successful in mobilizing younger
voters like never before (McKinney & Rill, 2009). But, in Indonesian legislative
campaigns, YouTube engaged less subcribers in every Indonesian political parties.
For next study, author interested to explore the power of social media in poilitics
combined with blogs as digital democracy (Gil de Zúñiga, Veenstra, Vraga, & Shah,
2010), social media’s events that makes Facebook the most used social network is
being able to create an event (Curran, Morrison, & Mc Cauley, 2012), and related to
presidential campagins.
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Leon A. Abdillah is a senior lecturer at Bina Darma University. He received his S.Kom.
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articles, posters, and reports related to computer science, information technology, or
information systems. He also reviewer/editor for dozens of national and international
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The bitmap index advantages on the data warehouses
El Amin Aoulad Abdelouarit,a Mohamed El Merouanib, Abdellatif
Medouri c
a
UAE— Laboratory modeling and information theory Abdelmalek Essaadi University,
Tétouan, Morocco
[email protected]
b
UAE— Laboratory modeling and information theory Abdelmalek Essaadi University,
Tétouan, Morocco
[email protected]
c
UAE— Laboratory modeling and information theory Abdelmalek Essaadi University,
Tétouan, Morocco
[email protected]
Abstract. The data warehouse designer should consider the effectiveness of the data query
while the selection of relevant indexes and their combination with materialized views, this,
because the data query is the only way to get this information from a data warehouse. The
index selection is considered an NP-complete problem, because of the number of indexes is
exponential in the total attributes in the data warehouse tables. So, the choose of the suitable
index type is considered as the main step to start the data warehouse design. In this paper we
are making a comparison study between the B-tree index as traditional index type, and the
Bitmap index. this comparison are based on three factors : index size, clustering factor and
compression, and we illustrate this with a real experiment.
Keywords: Business Intelligence, Data warehouse.
1 Introduction
Before the data warehouse implementation, some administration tasks that are taken by a data
warehouse administrator needs to be decided, like logical and physical design, management of
storage space and performance tuning.
The most important task is the physical design including data organization and access
improvement. The fast access to this data needs general index to find the information wanted
without reviewing all table data.
As per this need, the index selection task is considered difficult because their number is
exponential in the total number of attributes in the database. So the index plays an important
role in the data warehouses performance. For this reason, we focus on this data warehouse
aspect, which is considered interesting for the designer while editing and query optimization
selection.
The target is to minimize the query execution time, and as in a data warehouse the query uses
indexes to access to the data, we will work on the problem of choosing the type of index when
designing our data warehouse.
It’s also important, that the index compression and size must be checked to optimize the
storage usage.
There are several types of indexes supported by databases such as Bitmap, B-tree, Bitmap
join, range-based bitmap index etc.. In this sense we have chosen two types of index
relevant to this study, the index type: B-tree index and type Bitmap.
2 Bitmap index
2.1 Definition
A bitmap index is a data structure defined in a DBMS used to optimize access to data in
databases. It is a type of indexing is particularly interesting and effective in the context of
selection queries. The index bitmap attribute is encoded in bits, where its low cost in terms
of space occupied. All possible attribute values are considered, the value is present or not in
the table. Each of these values is an array of bits, called bitmap, which contains as many bits
as n-tuples present in the table. Thus, this type of index is very effective when the attributes
have a low number of distinct values. Each bit represents the value of an attribute for a
given tuple. For each bit, there is an encoding presence / absence (1/0), which indicates that
a tuple or not the present value characterized in bitmap.
Table 1: Basic Bitmap
ROWID
C
B0
B1
B2
B3
0
2
0
0
1
0
1
1
0
1
0
0
2
3
0
0
0
1
3
0
1
0
0
0
4
3
0
0
0
1
5
1
0
1
0
0
6
0
1
0
0
0
7
0
1
0
0
0
8
2
0
0
1
0
To illustrate how a bitmap index works, we take an example EE-PP-O'Neil and O'Neil, Table 1
illustrates a basic bitmap index into a table containing 9 records, where the index is created
in the C column with integers ranging from 0 to 3, we say that the cardinality of the column
C is 4, by what there are 4 distinct values [0, 1, 2, 3], where the index bitmap C Contains 4
bitmaps shown as B0, B1, B2 and B3 corresponding value represents. In this example, the
first line where RowID = 0, column C is worth 2, consequently, B2 column bit value "1", while
the other bitmaps are set to "0". Same for the next line, where C = 1 corresponds to the
bitmap B1 is set to 1 and the rest to "0". This process is repeated for the remaining lines.
2.1 Properties
Bitmap indexes have a very interesting property of responding to certain types of requests
without returning the data themselves, thus optimizing the response time, disk storage. This
is possible by counting operations (COUNT) and logical operators (AND, OR, etc.) that act "bit
by bit" on bitmaps.
3 B-TREE INDEX
3.1 Definition
The index B-tree stores the index values and pointers to other index nodes using a recursive
tree structure. The data are easily identified by traces pointers. The highest level of the index
is called the root while the lowest level is called the leaf node or "leaf node". All other levels
between them are called branches or internal nodes. All roots and branches contain entries
that point to the next level of the index. Leaf nodes consist of the index key and pointers
pointing to the physical location of records. We present details of the index B-tree structure.
The B-tree structure is used by the database server to configure the index (Figure 1)
Fig 1: B-tree structure
Root or root is the highest level of the index points to the following levels of nodes branches.
Intermediate nodes or branches contain pointers to the following branches or to the leaf
nodes level.
Node leaves or leaf nodes: the lowest level of the index points to other node leaves.
4 HYPOTHESIS
The conventional wisdom is that bitmap indexes are most appropriate for columns having
low distinct values - such as gender, marital status, and relationship. This assumption is not
entirely accurate, however. In reality, It’s always recommended the use of the bitmap index
for systems in which the data is not updated frequently by many competing systems. In fact,
we will demonstrate here that the bitmap is as effective as B-tree index on a column with
100% unique values to 100% (candidate to be a primary key).
We will compare also index size and compression as important point to be checked.
5 HYPOTHESIS
It’s known that the bitmap index is more efficient than the B-tree one, and this by its low
cardinality columns, in this paper we will focus the advantages given by bitmap index
compared by B-tree one.
The factors that have been considered in this comparison are :
- The index size.
- Clustering factor.
- Compression.
5.1 Index size comparison
Step 1:
In our Data warehouse schema, we created a table named “Employees” with 100000 records
and with a column named employee_id with 100000 distinct values and we added a GRADE
column with 4 distinct values only.
Step 2:
We create now a standard B-Tree index on the GRADE column using this SQL :
SQL> create index employees_grade_i on employees(grade);
Then we check the index size using this query :
SQL> select index_name, index_type, distinct_keys, blevel, leaf_blocks from dba_indexes
where index_name=’EMPLOYEES_GRADE_I’;
And we got this result:
Table 2: B-tree index size checking result in GRADE column
INDEX_NAME
INDEX_TYPE
DISTINCT_K
EYS
BLEVEL
LEAF_
BLOCKS
employees_grade_i
Normal
4
1
176
Step 3: Creating a bitmap index on the same column to compare the size (dropping the btree index created in first step)
SQL> create bitmap index employees_grade_bitmap_ii on employees(grade);
Step 4: In the bitmap index size checking, we use the same query:
SQL> select index_name, index_type, distinct_keys, blevel, leaf_blocks from dba_indexes
where index_name=’EMPLOYEES_GRADE_II’;
Table 3: Bitmap index size checking result in GRADE column
INDEX_NAME
INDEX_TYPE
DISTINCT_K
EYS
BLEVEL
LEAF_
BLOCKS
employees_grade_ii
Bitmap
4
1
10
Note that the index size is reduced from 176 to 10 (while going from B-tree to bitmap index)
Step 5: the bitmap index creation on employee_id column that contains 100000 distinct
values:
SQL> create bitmap index employees_empid_bitmap_i on employees(employee_id).
By checking the index size using the same query, we have this table as result:
Table 4: Bitmap index size checking result in EMPLOYEE_ID column
INDEX_N
AME
INDEX_
TYPE
DISTINCT_K
EYS
BLEVEL
LEAF_
BLOCKS
employee
s_empid_
bitmap_i
Bitmap
100000
1
348
And when trying with B-tree index we have this result:
Table 5: B-Tree index size checking result in EMPLOYEE_ID column
INDEX_NAME
INDEX_T
YPE
DISTINCT_K
EYS
BLEVEL
LEAF_
BLOCKS
employees_e
mpid_btree_i
B-tree
100000
1
222
5.2 Clustering factor checking
For large distinct values B-tree index occupies less size, and for minimal distinct values, the
bitmap index occupies less size.
Clustering factor: considered as the sum of rows orders in a table based on the index values.


If this amount is near the number of blocks, then the table order is well done, and the
index entries in a single leaf block are pointing to rows stored in the same data blocks.
If the value is near the number of rows, then the table is randomly ordered, so is
improbable that the index entries in a single leaf block are pointing to rows stored in the
same data blocks.
Table 6: Clustering factor and blocks used for B-Tree index on GRADE column
INDEX_NAME
CLUSTERING_F
ACTOR
employees_grade
_i
1148
BLOCKS
256
Table 7: Clustering factor and blocks used for Bitmap index on GRADE column
INDEX_NAME
CLUSTERING_F
ACTOR
employees_grade
_ii
20
BLOCKS
16
5.3 Compression advantage:
Is known that bitmap Indexes store a separate bitmap for every distinct value of a column,
so it’s like the storage space would become prohibitive for large tables with a lot of distinct
values. As example, if a table contains 1 million rows with 10,000 distinct values, won’t the
Bitmap Index contain 1,000,000 x 10,000 = 10,000,000,000 bits near 1.2GB. A million-row
table is considered small for a data warehouse, but 1.2GB is very big.
As Oracle uses some clever compression where long sequences of 1s or 0s in the bitmap
consume hardly any space, storage space is not a significant consideration for bitmap
indexes with a large number of distinct values.
With a lot of distinct values, instances of a particular value will be widely spread. This means
long strings of zeros in the bitmap which become highly compressed.
The effect illustration is better shown with an example. First, create a table with:




1 million rows
2 identical columns with 10,000 distinct values
A B-Tree index on one column
A Bitmap Index on the other column
Table 8: Table comp_test creation query
SQL> CREATE TABLE comp_test
2 AS
3 SELECT mod(LEVEL, 10000) AS col1
4 ,
mod(LEVEL, 10000) AS col2
5 FROM
dual
6 CONNECT BY LEVEL <= 1000000;
Table created.
SQL> CREATE INDEX COMP_TEST_col1_ix ON COMP_TEST(col1);
Index created.
SQL> CREATE BITMAP INDEX COMP_TEST_col2_bx ON
COMP_TEST(col2);
Index created.
Now, compare the size of each index.
Table 9: Index size comparison
SQL> SELECT segment_name, sum(bytes)/1024/1024
AS mb
2 FROM
user_segments
3 WHERE segment_name LIKE 'COMP%'
4 GROUP BY segment_name;
SEGMENT_NAME
MB
------------------------------ -------COMP_TEST
15
COMP_TEST_COL2_BX
4
COMP_TEST_COL1_IX
17
Note that the Bitmap Index has been squished down to just 4MB – one-quarter the size of
the B-Tree index! In fact, I ran this same test with 1 million distinct values (ie. One row per
value) and still the bitmap index was only 50% larger than the B-Tree index.
5.3.1Results
The most difficult scenario of bitmaps compression si when it contains strings of zeros that
are interrupted by one or two “ones” in each byte. It won’t compress at all, but if every 8th
row has the same value then there can only be 8 such uncompressible bitmaps for the
column.
In other words:
There is many distinct values means each bitmap will be very compressed because they
contain a lot of zeros.
The bitmaps are not very well compressed then there will not be many of them because
there are only a few distinct values
6 CONCLUSION AND FUTUR WORK
A higher clustering factor has been caused by the optimizer while a full scan to a table using
the B-tree index. In other side, using the bitmap index the clustering factor caused is too low
compared with the first result. Here we deduct the performance by the sum of input/output
required to fetch the result.
Both indexes have a similar target: the return of results as fast as possible. But the choice of
which one to use should depend only on the type of application and data volume, and not
on the level of cardinal.
In other side, the compression cannot be a factor that affects our choice of Bitmap index for
data warehouse optimization strategy; this means that the bitmap has it supremacy on data
warehouse performance
As future work, we will focus our studies on data warehouse schema comparison, especially
it impact on data warehouse performance, and this to have a data warehouse physical
design model for better decision system performance.
References
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International, pp. 72-84.
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YORK, 2nd edition, 2002
W. Inmon (2005) Building the Data Warehouse., John Wiley Sons, fourth edition, 2005
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of a National Data Warehouse. Proceedings of the 5th WSEAS Int. Conf. on Artificial
Intelligence, Knowledge Engineering and Data Bases, Madrid, Spain, February 15-17,
2006 pp. 342-347
R. Strohm, (2007) Oracle Database Concepts 11g,Oracle, Redwood City,CA 94065, 2007
C. Dell aquila and E. Lefons and F. Tangorra(2007) Analytic Use of Bitmap Indices.
Proceedings of the 6th WSEAS International Conference on Artificial Intelligence,
Knowledge Engineering and Data Bases, Corfu Island, Greece, February 16-19, 2007
pp. 159
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EL AMIN A. Abdelouarit, M. El Merouani, A. Medouri (October 2013) Data Warehouse
Tuning: The Supremacy of Bitmap Index, International Journal of Computer
Applications, Volume 79 - Number 7, Published By FCS® (Foundation of Computer
Science, USA),
EL AMIN A. Abdelouarit, M. El Merouani, A. Medouri (September 2013) The impact of
indexes on data warehouse performance, International Journal of Computer Science
Issues, Volume 10 – Issue 5, Number 2, Mahebourg, Republic of Mauritius.
EL AMIN A. Abdelouarit, M. El Merouani, A. Medouri (December 2012) Optimisation des
performances des entrepôts de données via les index, Revue Ivoirienne des Sciences et
Technologie, Numéro 20 décembre 2012, Abidjan (Côte d’Ivoire)
El Amin Aoulad Abdelouarit Is a Datacenter Manager and Ex Database administrator
inTanger Med Port, Morocco, PhD Student doing research in Data warehouse and Data
mining and it application in Port Management.
Mohamed El Merouani is professor of mathematics, with interests in Probability, Statistics,
Stochastic operational research and Data mining, professor of Statistics and Computer
Sciences, Poly disciplinary Faculty of Tétouan, Abdelmalek Essaâdi University, Morocco.
University of Granada, Spain, Ph.D. in Mathematics, 1995.
Abdellatif Medouri is Full professor of physics, with interests in Telecommunications,
Information theory and Databases; professor of Statistics and Computer Sciences, Poly
disciplinary Faculty of Tétouan, Abdelmalek Essaâdi university, Morocco. University of
Granada, Spain, Ph.D. in physics, 1995.
Study and measurement of International
Competitiveness of Republic of Moldova
Ph.D. Corneliu Gutu,a
a
AESM – Academy of Economic Studies of Moldova,
61, Street Mitropolit Banulescu Bodoni, Chisinau, MD 2005, Republic of Moldova
[email protected]
Abstract. The present paper studied the issues of increasing the competitiveness of specific
countries within the context of the post-crisis period. Among the best known and mostly used
models is the one from the World Economic Forum. Furthermore this model helped determine
the competitiveness factors and identify the most important of them. The countries of Eastern
and Central Europe, the same as Republic of Moldova, and the data for 2010-2013 were
chosen for the analysis. On one hand it analyses the econometric dependence of the
competitiveness and the dynamics of macroeconomic factors associated with economic
growth and standards of living, economic structure, the openness and innovativeness of the
economy, as well as the extent and forms of state regulation of the economy, the level of
transparency and efficiency of the state apparatus. Thus the accumulated experience in
enhancing the competitiveness will definitely be useful to other countries, including the
Republic of Moldova, which will go through all the stages of European integration in the
foreseeable future.
Keywords: competitiveness, competitive advantages, competitive disadvantages, the pillars
of competitiveness, European integration, foreign trade.
1 Introduction
In recent years, the notion of "competitiveness" is central to the assessment of the countries'
positions in the world economy. However, the economic research community has not
developed a sufficiently stable view of competitiveness and its determining factors.
The economic science has as an urgent task the identification of the competitiveness level in
individual countries. In the view of several economists the competitiveness of a country is
based on the competitiveness of various industries and/or enterprises. (Porter, 1990). The
competitiveness of a country depends on the competitiveness of enterprises and their
products. (Peura, 1979). This approach encompasses foreign trade indicators, such as exports
to GDP ratio and foreign trade balance to GDP ratio. A similar opinion is shared by the
American scientists D. Dollar and E. Wolf, claiming that a country is competitive when
combining the prosperity in international trade on the basis of high technology and
performance with high incomes and wages. (Dollar, Wolf, 2003).
Some equate competitiveness with the ability to achieve certain overall outcomes, such as a
high standard of living and economic growth. Other definitions focus on the ability to achieve
specific economic outcomes such as job creation, exports, or FDI. Yet other definitions see
competitiveness as defined by specific local conditions such as low wages, stable unit labor
costs, a balanced budget, or a ‘competitive’ exchange rate to support a current account
surplus. These different views of competitiveness have confused the public and scholarly
dialogue, and have obscured the development of an integrated framework to explain causes of
cross-country differences in economic performance. (Delgado, Ketels, 2011, Porter, Stern
2012).
OECD experts define the national competitiveness as the degree to which, under open market
conditions, a country can produce goods and services that meet the test of foreign competition
while simultaneously maintaining and expanding domestic real income. (OECD, 1996).
The competitiveness is defined as the ability of a country to acquire and maintain a market
share in international markets. (Figueroa, 1998). International competitiveness is usually
defined in terms of two levels, namely, the firm-industry level and the national level (Moon
and Peery, 1995, Dollar and Wolf, 1993, Porter 1990). This categorization, however, does not
seem to enclose all the diverse aspects of the concept, especially as it relates to the dynamics
of the concept’s determinant indicators. For example, competitiveness at the firm level clearly
indicates micro level competitiveness, while national level competitiveness reflects the macro
level. (Fidel, 2005).
A country’s international competitiveness is often judged in terms of its ability to maintain a
favorable position in its international (trade) transactions with the rest of the world. This
ranges from having a low-cost export production base to the attraction of large inflow of
foreign capital. A number of studies assert that a country would be losing international
competitiveness if it suffers from such factors as poor research and development (R&D)
record, a growing trade deficit in high-tech products, an ill-trained labour force, and declining
productivity. This would indicate an overall weakness in its ability to effectively compete
with its trading partners. (Fidel, 2005).
In our opinion, the most important contribution to the study of problems of competitiveness of
individual countries was made by the U.S. economist M. Porter - the founder of this field, the
author of the theory of competitive advantage. One of the main provisions of his theory is that
the competitiveness of the national economy is determined by the maintenance of the labour
productivity at a higher level than the competition, through the use of a continuous process of
innovation (Porter, 1993). The author notes that the high competitiveness of the country is not
achieved in all sectors of the economy, but only in a few, where the country has a competitive
advantage.
The competitive advantages at the macroeconomic level represent a high efficiency situation
of a country compared to others. Sustainable competitive advantage is achieved when the
same profit is achieved at lower cost to the economic entity compared to its competitors (cost
advantage), or when there are higher profits compared to those of competitors, on competitive
products (differentiation advantage) (Porter, 1990). The competitive advantage offers greater
value to the consumer (beneficiary) and at the same time generates a higher profit.
Due to the two types of cost and differentiation advantages, a country can hold a leadership
position, whose characteristic is to create a superior value, as a result of using its own
resources (patents, trademarks, know-how, good will, brands, reputation etc.) and the capacity
to use them efficiently within a system of value chains, positioned horizontally, and even
more, vertically.
2 Methods and results of the study
To establish the global competitiveness level of Moldova, within regional and global context,
we chose some comparative benchmarks, including Central and Eastern European countries,
for 2010-2013, considering that they have a degree of representativeness for the purposes of
covering our analysis to determine the size of the gap in competitiveness of the new EU
countries from the Central and Eastern Europe that joined in the years of 2004-2007.
The most authoritative comparisons of countries' competitiveness is the research conducted
by the World Economic Forum (WEF). With the help of global competitiveness rankings, of
this prestigious organization, we can determine the current situation of the country in relation
to other countries, we can identify the strengths and weaknesses in the national economy,
determine the competitive advantages of national economies, evaluate the effectiveness of
economic policy in order to strengthen the position of the global economy.
Since 2005 the World Economic Forum GCI indicator has been used to measure the national
competitiveness for many states. GCI includes a multitude of factors, grouped into 12 pillars
of competitiveness, with average components weighting the above mentioned indicators, each
measuring an aspect of competitiveness. As a national partner of the WEF the author
conducted a qualitative research of the quantitative competitiveness of Moldova during 20092013, the results being published in Global Competitiveness Reports for the corresponding
years. According to the research conducted by the author, the most notable competitive
advantages of Moldova, according to its position within the 148 countries compared by the
World Economic Forum in 2013, were: most significant competitive disadvantage in the
analysed period were recorded on the following indicators.
In 2013, Republic of Moldova modestly occupied the 89 th place out of 148 countries in the
WEF ranking. Nevertheless, the data in Table 1 indicates that the global economic crises had
no appreciable effect on the position of the Republic of Moldova in the WEF ranking, as in
2013 the country has slightly improved its position in comparison with the year of 2010. It
has to be noted that in 2013 Estonia occupies the 32th position, Poland the 42th position, and
Turkey the 44th position. The Neighboring states that have become members of European
Union in 2007, Romania and Bulgaria occupies the 76th position and the 57th position
according to their competitiveness level. The Republic of Moldova has better positions
towards Albania and Serbia, countries that are at stage of association with the European
Union.
Table 1. The Ranks differences of Global Competitiveness Index in 2013-2010
Rank
Rank differences
2013
2012
2011
2010
2013-2011
2013-2010
Estonia
32
34
33
33
-1
2
Poland
42
41
41
39
-1
-3
Turkey
44
43
59
61
15
17
Czech Republic
46
39
38
36
-8
-10
Lithuania
48
45
44
47
-4
-1
Latvia
52
55
64
70
12
18
Bulgaria
57
62
74
71
17
14
Slovenia
62
56
57
45
-5
-17
Hungary
63
60
48
52
-15
-11
Romania
76
78
77
67
1
-9
Slovak Republic
78
71
69
60
-9
-18
R. Moldova
89
87
93
94
4
5
Albania
95
89
78
88
-17
-7
Serbia
101
95
95
95
-6
-6
Source: The Global Competitiveness Reports, 2010-2013
The disadvantages of the Republic of Moldova, as importance and number, are incomparably
higher compared to the competitive advantages. Making note of the fact that in the years of
2010-2013, along with the growth of the number of the competitiveness indicators and of the
countries taken into comparison, the position of the Republic of Moldova, according to the
global competitiveness indicator, has somehow ameliorated, according to the presented study,
we propose the following measures that should guide the attention of policy makers and other
stakeholders: Let’s note that the competitiveness of the Republic of Moldova continues to
deteriorate in the key area of “good market efficiency”. Under this indicator the country ranks
107 out of 148 possible positions, while Romania is on 117 rank and Bulgaria is on 81 rank.
In our opinion, this is largely determined by the inefficiency of the ongoing anti-monopoly
policy and the burden of customs procedures.
As the studies show, the following factors affect the competitiveness in a negative way:
“quality of roads” (148 rank), “state of cluster development” (147 rank), “company spending
on R&D” (142 rank), “judicial independence” (145 rank), “brain drain” (137 rank),
“agricultural policy cost” (138 rank), “quality of scientific research institutions (132 rank),
“availability of scientists and engineers” (131 rank), “extent of market dominance” (133
rank), “efficiency of anti-monopoly” (133 rank), “local supplier quantity” protection (127
rank), and during the past year these figures deteriorated. Furthermore, the Republic of
Moldova was among the outsiders on the following competitiveness pillars: “business
sophistication” (125 rank), “ innovation” (138 rank). All the above mentioned problems stop
the Republic of Moldova from stepping up and using its competitive advantages, such as
relatively low level of: “business impact of malaria” (1 rank), “business cost of terrorism” (10
rank), “imports as a percentage of GDP” (20 rank), “int’l internet bandwidth” (23 rank),
“legal rights index” (28 rank), “general government debt, % GDP” (29 rank), “flexibility of
wage determination” (34 rank), “pay and productivity” (34 rank) “total tax rate” (40
rank),”trade tariffs” (41 rank), and “time required to start a business” (43 rank) .
Figure 3. Interdependence of GDP based on purchasing-power-parity (PPP) per capita in US
dollars and Global competitiveness Index in 2013
Figures 1 and 2 shows the identified interrelationship trends between the reached
competitiveness levels and GDP based on purchasing-power-parity (PPP) per capita in US
dollars for individual EU countries, Japon, Israel and Turkey.
Figure 2. Interdependence of GDP based on purchasing-power-parity (PPP) per capita in US
dollars and Global Competitiveness Index in 2013 and 2012.
The specifics of the state economy of the Central and Eastern Europe states, including the
Republic of Moldova, is that along the sustainable development issues they are closely related
to European or regional integration. Moldova's political vector is oriented to the European
Union, and therefore the country's development in the future will mean development through
integration. Thus, on the one hand, it requires a continuous measurement in dynamic of the
real convergence to EU economic space and, on the other hand, there is the need to develop
the methodology for the assessment of the sustainable competitiveness of the country.
Based on these considerations a new concept for the measuring of the competitiveness is
described below.
The developed methodology focuses on the comparative studies by inclusion of Moldova in a
specific action (plan of reforms in transition, international projects, marketing strategy for EU
integration, regional cooperation, etc.) and taking into consideration the pro-European
aspirations of the Republic of Moldova, within this methodology the comparison with the EU
economic parameters is performed in the first place, is they serve as a benchmark for the
economic and social development of the Republic of Moldova, and “away from the standard”
category is used as a measurement criterion for the sustainable competitiveness and hence the
convergence / divergence of the community structures.
Such an approach defines a new metric of competitiveness, it interposes it in the process of
economic convergence evaluation, and furthermore it is part of the common set of valuesof
the European space: high quality of life, social protections, partnership, cohesion, dialogue,
sustainable growth, appropriate environment, etc. The most popular models in the field (in the
original notation) that have ties with the methodology discussed in this study are presented
below. It has to be mentioned that all of these start from the formula fOWA suggested by R.
Yager (Yager, 1994) at the end of the 80’s, based on the weighted averages wi of the
economic indicators xi:
fOWA (x1, ...xn) =

n
i 1
wi * xi, wi € (0,1],

n
i 1
wi =1,
(1)
using it J. Sachs introduces the concept of Growth Competitiveness Index, later transformed
into Global Competitiveness Index by X. Sala-i-Martin, New Global Competitiveness Index
by M.E. Porter, Sustainable Competitiveness by Advisory Board on Sustainability and
Competitiveness, etc.
Sala-i-Martin Model. X. Sala-i-Martin is the author of the (GCI) ICG – indicator of the
global competitiveness, model which includes both micro and macro level factors of
competitiveness. GCI includes a multitude of factors, grouped into 12 pillars of
competitiveness, with weighted average components of indicators, each measuring an aspect
of competitiveness. The measuring unit is the score.
Scoring is done separately based on three groups of factors: essential, efficiency, innovation,
each group being limited from above as a share of state economic development of the country,
respectively it is mainly based on the production itself, production efficiency or innovation.
For example for Moldova, as a member of the group of states at first stadium development,
these determinants are crucial.
As a result the formula shows:
GCIR.R.M = 0.6*Basic R.M + 0.35*Efficiency R.M + 0.05*Innovation R.M
,
(2)
Basic Efficiency Innovation deals with the numeric value for the weighted average of
indicators of production groups, efficiency and innovation at the level of national economy,
calculated based on the statistical data, resulted from surveys results or derived from the data
of the two previous sources. Literature distinguishes the following groups of key factors for
different stages of economic and social development of countries, namely:
Indicators (factors)
1. Stage where the economy is dominated by production factors. Basic requirements:
institutions, infrastructure, macroeconomic stability, health and primary education
2. Stage where the economy is dominated by efficiency factors. Efficiency enhancers: higher
education and training; labour market and products efficiency, financial market sophistication,
technological readiness, market size
3. Stage dominated by innovation. Innovation and sophistication factors: Business
sophistication, innovation
Porter Model. M.E. Porter introduces the concept of the New Global Competitiveness Index
(New GCI), aiming to create a single integrated index that would replace those of the previous
model. The author hopes to evaluate more adequately the determinants of productivity, a
special emphasis being made on the role of clusters in the economic growth. The
measurement unit is the GDP per capita. Indicators are grouped as follows: economic
performances at the macro, middle and micro level of business, institutional policies, fiscal
and monetary policies, and infrastructure.
Krugman Model. By definition, the economy of an entity can be characterized by a set of
indicators, denoted by the vector x, the vector is determined by a certain structure, which is
not always the desirable one. As a result of implementation of the governmental or regional
economic policies, the economic indicators of the entity change, this will be the vector y,
which already has another structure, often called standard, target vector or standard structure.
Logically, the problem of quantitative assessment of structural changes of the vector x
appears, i.e. this vector components approach those components of the vector y.
The assessment of the convergence process, sector, economic activity or economy overall
here has been based on an analysis or, more generally, on the comparative economic research.
The comparative analysis allows us to perform the modern economic research pretty
thoroughly, very realistically, and the comparative tool has become a strong support of
analysis and forecasting.
The model on the degree of structural convergence proposed by Krugman for an economic
structure j, is calculated by summing the absolute values of the difference between values xji
and x0i, i  1, n , otherwise known as "the sum of distances between the parameters" and given
by
Kj =

n
i 1
│ xji – x0i│,
(3)
Where x0 represents the target vector, having as components standard targets x0i, i  1, n ,
Krugman used this model in many applications, from assessing differences between centre
and periphery and ending with the evaluation of the global demographic disparities between
cities and the deprived areas of the continents. Subsequently, this model was adapted to assess
the convergence of various European countries that have joined the EU. In the decision
making process, often K j is compared to a standard of"1" or 100%, used to consider the
structural homogeneity.
It should be noted that all the models listed here bear a specific character, some referring
exclusively to the competitiveness (Sala-i-Martin, Porter) to compile the ratings, rankings for
the international financial structures, others to the convergence, (Krugman) required to
develop the specifications and roadmaps for the economic integration.
Based on the above considerations we propose a new model for the assessment of the
competitiveness. The above mentioned model fully uses the methodology of comparative
analysis; moreover, it corresponds exactly to the requirements imposed by the new concept of
measuring the sustainable competitiveness. The analysis of the global economic development,
and namely of the causes and consequences of the crisis, shows a number of deviations from
the general principles, even ignoring the objective law, inherent to the development, primarily
from the postulate that starts any evolving economy, small or very large: maximum revenue
with minimum costs at every stage, at every level, etc. A higher profit is only achieved with
lower costs for an entity, and increased revenue and maximum profit is achieved only by
optimizing costs and revenues. Or the permanent increase in spending along with the income,
often in surpassed and in larger volumes, have discredited the idea of profit and
entrepreneurship, taxation became unbearable generating instability, stagnation and distrust.
A simple solution to end the crisis, as well as to improve the general economic situation,
would be the optimization of the development parameters of at all levels and in all fields. The
problem of minimizing the costs (revenue maximizing) is based on economic growth,
particularly minimizing the costs and maximizing the revenue is the assumption of
consolidation of full financial autonomy, and it lies in finding an optimal balance between
taxation and economic stimulus.
Within the above mentioned model the comparison of the indicators is done according to a
standard, which is used to calculate the homogeneity or the distance from the target. The
complete scheme of this model comprises to distinct stages:
First Stage: calculation of the optimal solution xj = xoptim . If this stage is avoided then xj will
not be the optimal one, but calculated in a different way. For the purposes of the above
calculation, furthermore for the calculation of the sustainable competitiveness it is very
important to take into account in the model, directly or indirectly, for instance the impact of
environmental factors, (airspace, water resources, soil resources, soil erosion, variety of
species of animal and vegetable kingdom, moisture regime, torrents danger, the danger of
landslides, etc..) to optimize their influence on the general economic indicators and namely on
the population’s living standards.
Second Stage: weighting of indicators xj; estimation of non-quantifiable indicators and their
weighting; application of the mathematical formula to generalize results and to calculate the
sustainable competitive index.
The model is one of optimization, the objective function min f (x), called the distance from
the standard
0
2
min f(x)= ║ x - x ║ ,
(4)
During the optimization process the indicators of the vector x, or a part of them, will be bound
by linear and nonlinear dependencies gk , which in its general form shows: constraints in form
of equality
gk(x) = 0, k  1, m ,
(5)
is equivalent to the dependencies related to the relationships between different indicators;
the restrictions in the form of inequality are such:
0 ≤ xi ≤ ai , i  1, n ,
(6)
ai here is the high/low limit of the indicator i, and amounts to introducing the variation
intervals range for this phenomenon. From a methodological point of view, this model is
based on the method of the comparison using a standard, research is carried out based on a
systemic approach to business processes, and the optimization is the main support for analysis
and forecasting. From a mathematic point of view, model is a deterministic optimization
model, with nonlinear functions and belongs to a class of oversized models, i.e. the number of
restrictions being greater than the number of unknowns. From an economic point of view,
model enters the so-called class of large problems, a specific feature of economic problems
that automatically turns them into very difficult problems to solve, namely during the
numerical calculations. The model also has a great advantage related to the stability, because
the matrix subjected to the reversal has constant dimensions and relatively small in size, as
well as the complexity of the operations is minimum for the given class of optimization
problems.
Of the many possible mathematical formulas, according to the optimization method chosen,
the model is proposed to use the following formula:
L
SCI
x
l
k*
( 
1
)*
100
%

x
=
,
l
1
2
l
(7)
l0
L
0
0
l0
n0
j
1
l
n
x =(x ,…,x ,…x ) – represents the standard-structure, and x = (x ,…,x ,…x ) the calculated
j
indicators of the structure x , L is the number of indicators, L ≤ n. According to the formula of
the above mentioned comparative studies, the entity with a lower sustainable competitive
index (SCI) will be placed in rating.
Moldova’s place was recalculated, along with other countries, in the top World Economic
Forum (WEF), 2013, using the pattern described for 3 and respectively 12 indicators. The
competitiveness of EU member states was calculated as well according to the above
mentioned formula, based on data from The Global Competitiveness Report 2013, the three
key factors, namely basic requirements, efficiency enhancers and innovation and
sophistication factors. The maximum value of the three indicators for the world economy is
Switzerland served as standard, as Finland (3 rank) is the best placed of the European Union.
It is easy to see that most countries change their place in the competitiveness rating due to the
fact that the methodology developed takes into account the competitiveness index, as well as
the convergence with the EU standard.
The “distance from the standard” category, used to measure the sustainable competitiveness
and the convergence covers a very wide applicability at regional, national and international
level, and does not depend directly on the forecasting horizon; the elements of the developed
model are varied: list of indicators; scoring, GDP per capita; the application conditions are
quite flexible; the result – the optimal parameter respectively at the micro level, mezzo level,
and the macro level; the advantages consist of: unique evaluation concept, measurement unit on choice, optimization, multitude of solutions, minimum subjective factor. Within the GDP
formula, we can easily find the elements of the formulas, calculation schemes, as well as of
the organic links between Krugman, Porter and Sala-i-Martin indicators: directly those of
Krugman „x/xo - 1”, and Porter or Sala-i-Martin’s set of indicators are used in the
optimization process.
It has to be noted here that in principle, the list of economic indicators x of SCI formula may
be any of them, but a qualitative step within the comparative method occurred when Porter
first, then Sala-i-Martin came up with a set of well-thickened, well structured and hierarchical
indicators, especially with a description of links between them, which raised the value of the
method to a new level.
Therefore the proposed model emphasizes the use of this particular set of economic
indicators. In terms of a computer the proposed formula avoids a number of difficulties
specific to the other, by including only the ratio x/xo instead of their actual values, thus
bringing sizes to the same order and homogenizing the numerical calculations. In conclusion,
the value of SCI will concurrently serve as the size of the distance from the standard and as a
sustainable competitiveness index and the ranking will be based on a single indicator – SCI.
Based on the systemic approach, embodied in the unique concept of evaluation of the
economic competitiveness and the convergence, it proposes a new calculation formula where
the parameters related to the convergence appear simultaneously (x, x0, 1), which expresses on
the one hand, the distance of the parameters of development of an entity from the given
standard, on the other hand their optimization - the criteria already meeting the sustainable
competitiveness characteristics. Thus the proposed formula includes, as it is easily seen, the
qualities of the well-known formulas of the models listed above, destined separately for the
competitiveness (Sala-i-Martin, Porter) and convergence (Krugman), including them in a
single evaluation and calculation formula, thus generalizing them.
3 Conclusion
According to the research conducted by the author, the most notable competitive advantages
of Republic of Moldova, according to its position within the 148 countries compared by the
World Economic Forum in 2013, were: most significant competitive disadvantage in the
analysed period were recorded on the following indicators: business sophistication and
innovation.
The disadvantages of the Republic of Moldova, as importance and number, are incomparably
higher compared to the competitive advantages. Making note of the fact that in the years of
2010-2013, along with the growth of the number of the competitiveness indicators and of the
countries taken into comparison, the position of the Republic of Moldova, according to the
global competitiveness indicator, has somehow ameliorated, according to the presented study,
we propose the following measures that should guide the attention of policy makers and other
stakeholders:
- Regular monitoring and analysis of the place of the Republic of Moldova occupies
according to the global competitiveness indicator, as well as the 12 component groups of
indicators (pillars) so that, by their corroboration their priorities, emergency measures, as well
as coherent measures with a strategic character of the government, for the long-term
performance of the national economy, can be based;
- Calculation of the global and partial competitiveness indicators at a regional level (there are
4 development regions in the Republic of Moldova) in order to be able to identify the weakest
performance zones in the regional profile, to establish priorities and act on the causes of
underperformance;
- Making our own calculations of competitiveness indicators and sub-indicators at the national
level, based on the development of an appropriate new model, through the comparison of the
results with the indicators calculated by the World Economic Forum;
- Performing researches and specialised studies regarding the competitiveness metrics and
state in the Republic of Moldova, compared to EU candidate countries in priority areas, such
as: foreign trade, information and communication technologies, sustainable development and
environmental protection, research, development and innovation, education and health,
efficiency of public administration, foreign trade, tourism, etc..
References
Dollar, D., Wolf, E. (2003) The Global Competitive, Journal of International Economics, 2003,
№ 27(3–4), Oxford university press. pp. 199–220.
Dollar, D., Wolff, E.N. (1993) Competitiveness, Convergence, and International Specialisation.
The MIT Press. 227 p.
Delgado, M. and C. Ketels. 2011. “Assessing Country Competitiveness: Case of Spain,” in P.
Cooke, J.L. Curbelo and M.D. Parrilli (eds.) Innovation, Global Change and Territorial
Resilience, Edward Elgar, Cheltenham, forthcoming.
Delgado, M., Ketels, C., Porter, M.E., Stern, S. (2012) The Determinants of National
Competitiveness, NBER Working Paper No. 18249, July 2012
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Organization, American Economic Review, 1990, № 80, pp. 511–528.
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Chang Moon, H., C., Newman S. Peery, Jr. (1995) Competitiveness of product, firm, industry,
and nation in a global business, Competitiveness Review, 5 (1) pp. 37-43.
Ketels, C. 2011. “Latvia Competitiveness Report: Diagnosing Country Competitiveness,”
mimeo, Stockholm School of Economics: Riga.
Krugman, P. R., (1992) Does the New Trade Theory Require a New Trade Policy?, The World
Economy,15, 4, 1992, pp. 423–442.
Krugman, P. (1994) Competitiveness a Dangerous Obsession, Foreign Affairs, 73, 2, 1994, pp.
28–44.
OECD (1996) Industrial competitiveness – Paris.
Porter, M., Delgado, M., Ketels, C., Stern, S. (2008) Moving to a new global competitiveness
index. u: Porter M.and Schwab C. (ur.) The global competitiveness report 2008-2009,
Geneva: World Economic Forum, 43- 63
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Republished with a new introduction 1998
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Corneliu Gutu: is the associate professor at the Academy of Economic Studies of Moldova.
He received BS and MS degrees in economics from the Plekhanov Russian University of
Economics in 1982, and Ph.D. degree in economics from the Plekhanov Russian University of
Economics in 1990. He is the author of more than 35 journal papers and book chapters. His
current research interests include: national competitiveness, macroeconomic environment,
innovation, European integration, foreign trade.
Implementing a Remote Laboratory for
Engineering Education
a
b
c
Yassine Khazri, Ahmed Fahli, Mohammed Moussetad, Abdelatif
d
Khaldouni,
a
Hassan II University Mohammedia-Casablanca, Casablanca, Morocco
[email protected]
b
Hassan I university, Settat, Morocco
[email protected]
c
Hassan II University Mohammedia-Casablanca, Casablanca, Morocco
[email protected]
d
Hassan II University Mohammedia-Casablanca, Casablanca, Morocco
[email protected]
Abstract. Remote laboratory technologies can be considered as a new paradigm for
experimentation for students and researchers. Remote laboratories are a distributed computing
environment which allow a learner to perform experiments by interacting with real devices,
real instruments, and remote mechanisms, through an appropriate platform of
telecommunications. The development of remote laboratories is a promising direction for the
future of engineering education because they provide a means for students to design and
conduct experiments without the need for physical laboratory equipment on site. To achieve
this objective, we first designed an experimental setup and put it online. We then made the
management system for the environment we created. In this paper, we describe our
methodology for creating a remote laboratory. Specifically, we provide details of the
implementation via the web.
Keywords: Remote laboratory, Experience, Engineering education, Software, Tele-TP.
1 INTRODUCTION
The educational system in Morocco is currently undergoing a series of bold changes, in large
part due to the introduction of information and communications technologies to the
classroom. The effects of the introduction of these instructional technologies are particularly
salient in university science courses.
The challenge for academic institutions in Morocco was the redesign of student’s’ classroom
experiences so as to promote both greater student participation and innovative teaching
practices. Given recent growth in enrolment and limited managerial resources, such changes
contributed to a simultaneous increase in educational, technological, and organizational
challenges [1].
The use of information technology and communication now allows students to attend classes
(courses and the work directed in the form of texts, images, video, simulation) via online
distance learning platforms.
While the use of technology to support new instructional paradigms has sustained growth, the
concept of enacting teaching practices at a distance, or “Tele-TP,” is relatively
underdeveloped. "Tele-TP" refers to a distributed computing environment used as a distance
education platform. It is flexible, allowing the student to perform experiments through
interactions with real devices and, real instruments, via remotely operated mechanisms. This
type of educational experience is essential in scientific and technical training. Moreover,
being able to provide these experiences to students remotely meets real needs of both the
students and the universities.
With Tele-TP, the interactions between the students and the remote laboratory are facilitated
by an appropriate communications platform which is equipped with a system dedicated to the
management of a number of software and hardware interfaces [2].
The work presented in this paper offers descriptions of (i) the implementation of a set of
hardware and software used to create a remote laboratory – an environment permitting
physical manipulations via the web and (ii) considerations remote laboratory designers should
take into account when creating one.
2. Remote Laboratory
2.1 Definition
Remote laboratories are flexible, distributed environments which enable a learner to perform
real experiments via the web. The learner carries out the experiment and takes measurements
online, but he or she can recover the real, rather than simulated, experimental results in order
to utilize them.
The remote laboratories connect participants both synchronously and interactively. Each
participant plays a role during his or her interactions with other laboratory participants,
allowing all participants to share in hardware resources and in one another’s expertise. A
remote laboratory can be built according to the following diagram (Fig. 1):
Figure 1: Architecture of Remote Laboratory
2.2. Advantages
There are several advantages to using remote laboratories such as:





Protecting the students while conducting experiments involving health hazards (e.g.,
radioactivity, UV,..), 
Eliminating time and space constraints through affording flexibility, 
Affording the opportunity for conducting an online experiment with real equipment
anytime and anywhere, 





Reducing the cost of lab equipment which is expensive, 
Reducing the cost of maintenance, 
Economizing expenditures. 
Therefore, these advances have made the remote laboratory an effective alternative to classic
laboratories [3,4, 5].
In addition, remote laboratories offer two pedagogical advantages: they provide a wide range
of services which fit the learning profiles of a large number of students and they facilitate
students’ access to practical work [6].
The (fig. 2) shows the liaison between the user and the laboratory.
Figure 2: Connection between the user and the laboratory
3. Scientific approach to creating a remote laboratory
When building a remote laboratory, several considerations must be taken into account [7]:





Architecture of remote laboratories, 

Management of remote laboratories, 

Software Interfaces, 

The material, 
 Computer networks. 

4. Implementing an experiment in physics
4.1. Description of the experience
The purpose of the experiment is to determine the velocity of sound in air by measuring the
time delay between two microphones placed successively at different distances as shown in
Figure 3.
Figure 3: Principle of the experiment
4.2. Adaptation of material
To adapt the experiment so that it can be handled remotely, we needed to make changes to the
hardware. First, we kept the speaker (signal transmitter) and sensor 1 at fixed positions. We
allowed the position of sensor 2 (called a stepper motor) to vary such that its distance from
sensor 1 was between 20 cm and 100 cm.
For measurement and control operations, we used a data acquisition card based
microcontroller family of microcontrollers (PIC16F876). The latter, controlled by 20 MHz
quartz, produced a time base for the measurement intervals and provided the counting
operation, it also provided control of the stepping motor through a power interface. The card
also facilitated asynchronous serial communications with the server in order to receive and
transmit measurements of parameters for the results.
Figure 4: Synoptic the acquisition card
In addition to this card, an IP camera was used to provide real-time viewing experience. The
server and the camera were connected to the Internet through a router switch.
Figure 5: Synoptic the Tele-experience
4.3. Development of the software and electromechanical considerations
The software was hosted on the web server application. The web server application was
developed using Visual C++. It provided communication through TCP\IP sockets with clients.
It received commands and parameters necessary for measurement readings and transmuted the
results. Through another module, it communicated with the capture card. The user interface
allowed control and monitoring of client connections.
Client side, the server application, provided the anticipated result of the experiment. It was
documented in the form of a user’s manual and it provided both theoretical background and
guidance. It was delivered through HTML pages in Internet Explorer. For accuracy of the
movement of sensor2, the motor moves at a pitch of 20 cm.
To control the experiment, the user enters a path from his computer and, he receives the
results as graphs through XML queries.
The implementation described in this paper is the second experiment after that of the
backscattering of α particle [2].
5. Conclusion:
In this paper, we showed how to put a real experiment remotely via the Web using appropriate
techniques. We also discussed the advantages of remote laboratories.
It should be noted that these laboratories featuring real, remote, manipulations are innovative
phenomena in scientific and technical education. They augment, rather than replace, the
traditional pedagogies and instructional experiences.
Reference:
[1]
Najib Elkamoun, Mohammed Bousmah, Abdelhak Aqqal et Abdelghafour
Berraissoul.″Conception et réalisation d’un environnement virtuel d'apprentissage collaboratif, orienté métaphore
spatiale, couplé avec un système observateur d’usage ″. e-TI - la revue
électronique des technologies d'information, Numéro 2, 17 avril 2006, http://www.revue-eti.net document. php?id=852.
[2] Abdellah AIT TALEB, Ahmed FAHLI and Mohammed MOUSSETAD ″Mise en Œuvre d’une Télé-Séance de TP de
Physique Nucléaire ‘Rétrodiffusion de Particules α’", Proceedings of 5th International Conference on Sciences of
Electronic, Technologies of Information and Telecommunications,Tunisia,2009.
[3]
B. Alhalabi, M. K. Hamza and A. Abu-El Humos, ″Distance Education: Remote Labs Environment″, ASEE
Middle Atlantic Annual Meet proceedings,Spring 2008.
[4] Y.H. Elawady and A.S. Tolba, ″Analysis, Design and Implementation of a General Framework for Remote Lab″,
International Journal of Computern Applications, Vol. 14 No.1, January 2011.
[5]
S.M. Zvacek, ″Using Remote Labs In Education: Two Little Ducks In Remote Expermintation″, Spain, Bilbao, 2011,
Preface, pp. 12-16.
[6]
D. Karadimasand K. Efstathiou, ″An Integrated Educational Platform Implementing Real, Remote Lab-Experiments for
Electrical Engineering Courses″, Journal of Computers, Vol. 2, No. 2, April 2007.
[7]
F.Bouchaib, H.Salaih-Hassane, ″Pedagogical Engineering Fundamentals to Build Robust Software Components for Online
Laboratories″, Proceedings of 2004 International Conference on Engineering Education and Research, iCEER 2004,Paper
No. 1113, Olomuc, Czech Republic, 2004.
Authors
Principal Author: Yassine Khazri holds a Master from Hassan II University Mohammedia-Casablanca. At present
he is enrolled in 2nd year PhD, Hassan II University Mohammedia-Casablanca.
Co-author: Mohammed Moussetad holds a PhD from Hassan II University Mohammedia-Casablanca. He is
presently a professorof Higher Education, Hassan II University Mohammedia-casablanca.
Ahmed Fahli holds a PhD from Hassan II University Mohammedia-Casablanca. He is
vice President of the Hassan 1 University of Settat.
Presenter: The paper is presented by Yassine KHAZRI
Cybercafés Use Continuance: An Empirical Test of a Research
Model
Abdulwahab L.
Information Technology Department Bayero University, Kano, P.M.B 3011, Kano, Nigeria, West Africa
[email protected]
Abstract. Cybercafés served as the main access point to computer and Internet mostly for people in the developing
world. This avenue for communal access to IT platform indeed has the potential for serving as an effective tool for
bridging the effect of digital divide. Several researches into adoption and use of cybercafés emerged across the globe
but few studies related to its use continuance exist. Empirical study is conducted base on previous researches to test
a modified Bhattachee's model of expectation-confirmation theory with the purpose of exploring the use continuance
of cybercafé from users' perspective in Nigeria. Using cross-sectional survey through random sampling design, the
data collected from the valid 105 respondents was used to test the research model using the structural equation
modeling approach. The results suggested perceive usefulness and habit are the most important factors influencing
cybercafés use continuance in Nigeria. The implication for research and practice of cybercafés implementation is
hereby presented.
Keywords: — Broadband, Digital divide, Expectation confirmation theory, Information systems.
1 Introduction
Information and communication technologies (ICTs) play a unique role as essential resources for socio-economic
advancement in both developed and developing world (Garrido, Sey, Hart & Santana,2012). Particularly against the
backdrop that the global economy is driven by the information age (Garrido et al., 2012). The consequence of this
development resulted in deployments of ICTs, principally the Internets to the extent that no serious nation would
be isolated from accomplishing positive utilization of ICT to its populace. Until recently, utilization of Internet
services had been the preserve of private sector in Nigeria (Adenike & Osunade, 2005). The earlier services offered
was electronic mail (e-mail) using dial up, however, sequel to the achievement recorded in the telecommunication
technology, Internet services flourished to other sectors such that some organization and individual get access.
Principally Internet services are deployed through various means to end users. The notable technology use in the
deployment includes: Very Small Aperture Terminal (VSAT), Digital Subscriber Line (DSL), and Broadband. VSAT
option is mostly used by many organizations and institutions due to its ease of deployment. Internet Service
Providers (ISP) allowed access directly to the Internet backbone through VSATs. Recently some fixed wireless
operators and GSM operators employed the use of fiber optics in the deployment of Internet to end-users. Most
Internet connection backbones are set on VSAT with few Internets broadband services. All major cities in the six
geopolitical zones in Nigeria have been partially covered with Internet accessibility.
The Internet penetration rate in the year 2000 was just 0.06 per 100 inhabitants; this ratio has increased to 28.4
per 100 inhabitants (IWS, 2012). Despite the trend in Internet penetration, limitation emerged as reported by
Garrido et al. (2012) from infrastructural constraints to an individual’s ability to translate access of ICTs into
tangible benefits in light of other environmental constraints. In Oyeyinka and Adeya’s (2004) study of Internet
access in Africa reported that its use is constrained by structural as well as cost factors. The major barriers that
hamper the Internet access in some developing world include low rates of personal computer ownership, and low
income level (Alam et al., 2009). Others reported on high cost of computer hardware and low digital literacy rates
(Haseloff, 2005; Alam et al., 2007; Alam et al., 2009). For the information society to be a global reality, the need to
integrate the un-served and underserved population becomes paramount in justify the need of transforming the
world into an inclusive global village (Fuchs & Horak, 2008). Research has shown that the major constraints to the
accomplishment of ICTs in developing countries like Sub-Saharan Africa (SSA) is basically lack of access (Mayanja,
2002). The most viable solution to this challenge is the provision of shared forms of access to ICTs such as
Telecentres and Cybercafés (Abdulwahab & Zulkhairi, 2012). Cybercafés also refers to as Internet cafe is an avenue
where public access to Internet is provided by entrepreneurs for a fee (Adomi, 2005). Shared access became
inevitable in an attempt to ensure digital inclusion (Fuchs & Horak, 2008; Zulkhairi et al., 2009; Garrido et al., 2012;
Abdulwahab & Zulkhairi, 2012). Compared to other public Internet access arena, Cybercafés play an important role
of widespread Internet access in both urban and rural areas along the developing world (Alam et al., 2009). Thus,
the continuous investment on cybercafé by the entrepreneur along developing world has necessitated the need
for determining the factors that significantly influence its use continuance. Prior research has suggested that longterm viability of an Information Systems (IS) and its eventual success depend largely on its continuous use rather
than its initial acceptance.
2 LITERATURE REVIEW
Continuance as a concept is not absolutely new in IS literature, the concept has been investigated as
implementation and Incorporation and routinization (Kwon & Zmud, 1987; Cooper & Zmud, 1990). Barnes (2011)
suggested the existence of a post-acceptance stage, when IS use is beyond conscious behaviour (i.e. intention) and
becomes part of normal routine activity. Prior IS acceptance researches mostly focused on initial adoption, under
the assumption that IS usage is determined mainly by intention (Davies, 1989; Venkatesh et al., 2000). Though,
these assumption may hold in the case of initial adoption of IS platform yet it may not be as readily applicable to
continued IS usage behaviour (Bhattacherjee, 2001) and Barnes, 2011). Particularly, based on the fact that prior IS
acceptance researches ignores that frequently performed behaviour tends to become habitual and automatic over
sometime (Barnes, 2011).
Reviews of previous researches revealed limited studies regarding the use continuance of Cybercafé in developing
world (Alam et al., 2009). Much of the prior studies focused on cybercafé adoption (Alao & Folorunsho, 2008;
Aladeniyi & Fasae, 2013). Of the few theoretically based studies in this context was that of Fusilier and Durlabhji
(2005) who applied both TAM and TPB to predict intentions to use the Internet as well as self reported usage.
Bjorn, Stein and Fathhul (2005) studies on Internet cafes in Indonesia tested user frequency as main dependent
variable while individual capability, occupation, financial capability and media exposure as the determinant of
frequency of usage. The finding shows that user frequency is statistically associated with the identified
determinant. Of the few related studies that have attempted to examine use continuance in virtual world adapting
Bhattacherjee continuance model is due to (Barnes, 2011). Barnes, (2011), suggested that IS continuance for the
virtual world was driven by perceived usefulness, enjoyment and considerable explanatory power was obtained for
both habit and continuance intention. Understanding use continuance as against initial use or acceptance of
cybercafé as reported by many researches is the purpose of this research. To the best of the author’s knowledge
no study has attempted to explore the use continuance of cybercafés using empirical data. The current study is an
attempt to fill in this gap. Table 1 shows the definition and sources of each construct explored in this study.
Table 1. Definition and sources of each construct explored
Constructs
Sources
Definition
IS
Continuance
Bhattacherjee,
(2001),
Karahanna et al.
(1999)
Habit
Barnes (2011)
Perceived
Usefulness
(Davis et
al.,1989)
Users’ intention to
continue using IS
Platform; totally
continuance covaries
with initial acceptance.
Habit in the context of
IS usage is defined as
the extent to which
people tend to perform
behaviors (use IS)
automatically because of
learning.
Users’ perception of the
expected benefits of
IS use.
Enjoyments
Barnes (2011);
(Vallerand,
1997).
Enjoyments signify
where "a behavior is
performed for itself, in
order to experience
pleasure and satisfaction
inherent in the activity"
Frequency
of use
Barnes (2011),
Bjorn, Stein &
Fathhul (2005)
Frequency of use in
context of IS implies the
degree to which IS
platform is being utilize.
The study adopted a modified expectation-confirmation model Bhattacherjee, (2001) in exploring use continuance
of Cybercafé. Barnes (2011) argue that Information Systems (IS) continuance behaviour occurs after an IS use
becomes unconsciously normal routine activity. Moreover, the unconscious behaviour emanated as a result of
individual's decision to continue using a particular technology (Bhattacherjee, 2001and Barnes 2011). In this study
use continuance and habit represent the main endogenous variable. The following sets of exogenous variables:
perceived usefulness, enjoyment and frequency of prior use is explore in relations to the endogenous variables.
Most variables explored in this model have basis from previous researches (Davis et al., 1989; Karahanna et al.
1999 and Bhattacherjee, 2001); Bjorn et al., 2005 and Barnes, 2011).
P. USEFUL
H
HA1
4
A
HA6
HABIT
FRQ.USE
5
HA
HA3
US. CONT
HA2
ENJOY.
Fig 1 Research model
In Fig.1 the relationship among the endogenous and exogenous variables was examined. The symbol
shows
the indications of this hypothesis based on the research model. A null hypothesis H 0 is returned when there is no
significant influence between the variables in the stated hypothesis Otherwise, the hypothesis remain valid. The
hypothesis is formulated as follows:
HA1: Perceived usefulness is positively influenced by use continuance
HA2: Enjoyment is positively influenced by use continuance
HA3: Habit is positively influenced by use continuance
HA4: Habit is positively influenced by perceived usefulness.
HA5: Habit is positively influenced by enjoyments.
HA6: Habit is positively influenced by frequency of use.
3 Methodology
The current study relies on a positivist epistemology (Myers, 1997). A deductive approach was employed to
understand cybercafé use continuance by testing the research model in an empirical setting. Prior studies on IS
have adopted a positivist epistemology (Wang et al. 2009; Barnes, 2011 and Venkatesh et al., 2011). The unit of
analysis for this study is individual; this is justifiable based on the stated reasons: Firstly, the individual is seen as
the most suitable respondent of this research, being the end users of a cybercafés. There is empirical evidence by
previous researchers that have used individual as their main respondents (Wang & Shih, 2008; Wang et al., 2009;
Loo et al., 2009 and Venkatesh et al., 2011). Simple random sampling was used in selecting the users of cybercafés
from students, civil servants, applicants' and other cybercafés adopters. The questionnaires as shown in appendix
was developed using a 7- point interval scale in measuring the constructs, including endogenous and exogenous
variables. An individual chooses a scale from the ranges of seven scales starting from "strongly disagree" to
"strongly agree". The interval scale was selected because it can measure the degree of the difference in the
preference among the individual (Sekaran, 2006). All the questionnaires used in this study were adapted from
previous researches (Davis et al., 1989; Karahanna et al. 1999; Bhattacherjee, 2001; Bjorn et al., 2005 and Barnes,
2011)
4 DATA COLLECTION
The data collection was conducted in Nigeria for an approximate period of seven months. Three hundred
questionnaires were distributed among the respondents out of which 125 was retrieved representing 42%
response rate. Following the removal of the duplicates and invalid responses a total of 105 questionnaires
remained for conducting the analysis. A test for non-response bias for early and late respondents to the survey
was conducted; the independent samples test reveals that there is no difference between the early and the late
respondents on the basis of age, gender and computer access indicating that no problem of response bias could be
attributed to the data collection. The research model was tested by using structural equation modeling techniques
using AMOS 7.0 Computer software.
4.1 Measurement
All the constructs and scale items used in the study were adopted from previously validated sources and the
measurement items and sources of each is shown in the Table 1.
5 RESULTS
Analyzed result from Table 2 shows the demographic characteristics of the respondents. Almost 82.9% was male
indicating the dominance of male than female in patronization of cybercafe. The ages of the respondent's ranged
from 20 to 61 years with a higher percentage in the ages among 21-30 and 31-40 representing (38.1% and 30.5%)
respectively. The average age of all the respondents was 25years. Majority of the respondents were students
(51.4%). In terms of income, the respondents were unevenly distributed among the groups: 57.1% are lowerincome; 41.9% are middle - income and only 1.0% falls into category of high - income. On the ownership of
personal computer 64.8 % have access to a computer at home and 57.1 % lack Internet access at home. This result
justifies the need of having cybercafés as means of having communal access to computer and Internet.
Table 2. Respondent’s characteristics
Gender
Male
Female
Age
15-20
21-30
31-40
41-50
51-60
61+
Occupation
Student
Civil Servant
Unemployed
Others
Income
Low
Middle
High
Computer
Ownership
Have
Lack
Internet Access
Have
Lack
Cybercafe Usage
Basic Computer
Internet Browsing
Social Network
Others
Frequency
87
18
Percentage
82.9
17.9
22
40
32
8
2
1
21.0
38.1
30.5
7.6
1.9
1.0
54
36
12
3
51.4
34.3
11.4
2.9
60
44
1
57.1
41.9
1.0
68
37
64.8
35.2
45
60
42.9
57.1
13
57
14
21
12.4
54.3
13.3
20.0
5.1 Reliability analysis
Confirmatory factor analysis (CFA) was run on the measurement model. The measurement model was evaluated to
show the internal consistency, convergent and discernments validity. The reliability was measured in terms of
composite reliability (CR) indicating the extent to which an instrument are free from random error, stable across
time and across the various items in the scale (Sekaran & Bougie, 2010). From the measures, Average Variance
Extracted (AVE), Composite Reliability (ρc), and Cronbach's Alpha (CA) was calculated based on previous
researches (Fornell & Larcker, 1981 and Gefen & Straub, 2005). Table 3, shows the psychometric properties of the
measures.
Table 3 .Shows the psychometric properties of the measures
Construct
Perc. Usefulness
Enjoyments
Frequency of Use
Habit
Use Continuous
AVE
0.566
0.508
0.555
0.618
0.498
CR (ρc),
0.796
0.754
0.786
0.866
0.745
CA
0.797
0.748
0.777
0.864
0.753
Composite reliability (CR) ranges from 0.745 to 0.866 (as shown in Table 3), above the recommended threshold of
0.70 (Nunally, 1978 and Yi & Davis, 2003). The CA obtained was above the reliability threshold of 0.7 (Nunally,
1978). Convergent validity was measured in terms of factor loading and average variance extracted (AVE). Previous
researches suggested that convergent validity entails having a factor loading of above 0.70 (Gefen & Straub, 2005
and Chin, 2010). The average variances extracted is used to establish discriminant validity; all constructs have an
AVE of above 0.5 except for use continuance construct with AVE = 0.498. The square root of the extracted (AVE) as
in Table 4, is found to exceed the intercorrelations of the construct with the other constructs in the model (Chin,
2010 and Fornell & Larcker, 1981).
Table 4.Correlations between constructs
(diagonal elements are roots of the ave)
FU
ENJ
HABIT
USE CO.
P. USEF
FU
0.745
-0.283
0.365
0.619
0.719
ENJ
HAB
USE CO.
P.USEF
0.713
-0.266
0.075
0.135
0.786
0.617
0.696
0.706
0.609
0.752
Correlations between constructs (diagonal elements are square roots of the average variance extracted).
5.2 Assessment of measurement
Prior studies have suggested the use of the following indices to confirm the overall measurement model fit (Gefen
& Straub, 2005 and Chin, 2010). The CMIN/DF (i.e. ratio) of the model was 1.431 (Chi-square = 135.986, DF=95).
The value obtained is less than the cut-off criterion of 3 recommended by (Bagozzi & YI, 1988). Further, the next fit
indices for the measurement model exhibits good fit. The adjusted goodness of fit index (AGFI) was 0.816 which
exceeds the recommended value of 0.8 (Chau & HU, 2001). The comparative fit index (CFI) and the Tucker Lewis
Index (TLI) was 0.935 and 0.918 respectively. The values obtained are greater than the 0.9 recommended by
(Bagozzi & YI, 1988). The root mean square error approximation (RMSEA) was 0.064, lower than the recommended
value of 0.08 (Browne & Cudeck, 1993). As shown in Table 5, all the model fits indices were above the
recommended level suggested by previous researches (Bagozzi & YI, 1988; Gefen & Straub, 2005 and Chin, 2010).
Accordingly, the result demonstrated that the measurement model fits with the data collected (Suki & Ramayah,
2010).
Table 5.Goodness of fit (gof) index for the measurement model
Quality-of-fit
measure
X2/df
AGFI
CFI
TLI
RMSEA
Recommended value
≤ 3.00
≥ 0.80
≥ 0.90
≥ 0.90
≤ 0.08
Measurement
model
1.431
0.816
0.935
0.918
0.064
The structural model entails estimating the path coefficients, i.e., the strengths of the relationship between the
endogenous and exogenous variables and determining R- Square (Suki& Ramayah, 2010). The R-square value
denotes the extent of variance explained by exogenous variables. The squared multiple correlations for structural
equations show the model explained 40.5% of the variance in use continuous and 28.3% variance in habit .
ß1
=
P. USEFUL
0.27
4
***
=
ß4
0.3
***
16
ß6= 0.326***
HABIT
FRQ.USE
=
ß5
-0
r2 =
32
.1
ns
ß2 =
ß3 = 0.288***
40.5
%
US. CONT
1ns
0.07
ENJOY.
*** denotes p<0.001; ** denotes p<0.01; * denotes p<0.05 ns denotes Non-significant
Fig. 2 Estimated model
The standardize path coefficient in the hypothesized model as in Fig. 2, shows that perceived usefulness is a
significant determinant of use continuance (β1 = 0.247; t = 3.065; p < .001) while enjoyment is not significant on
use continuous (β2 = 0.071; t=0.71) indicating that enjoyments is not determined by use continuance. Based on
the estimated model, habit is a significant determinant of use continuance (β3 = 0.288; t = 3.219; p < .001).
Further, habit is also a significant determinant of perceived usefulness (β4 = 0.316; t = 2.728; p < .001).
Conversely, with the result obtained by Barnes, (2011), the relationship between habit and enjoyments is found to
have non-significant influence (β5= - 0.132; t = -1.040). The frequency of prior usage behavior is also a significant
determinant of habit (β6 = 0.326; t = 3.372; p < .001).
6 DISCUSSION
The study explored use continuance in the context of cybercafé as an effective means of bridging digital dive in a
developing country. The finding shows that the frequent users of cybercafés are male and younger adult, the
average age of respondents was 25 years old. The finding is consistent with prior research (Alam et al., 2009).
Based on the findings, Cybercafés usage became necessary because substantial number of the respondents lack
computer and Internet facilities at home. This could be attributed to the fact that most of the respondents are lowincome earners, thus owning computers and Internet access might be a challenge. This finding concurs with prior
researches conducted in developing countries (Pieter & Justin 2003; Alam et al., 2009).
Table 6. Results of hypothesis testing
Hypothesis
HA1
HA2
HA3
HA4
HA5
HA6
Perceived usefulness is positively influenced by use continuance
Enjoyment is positively influenced by use continuance
Habit is positively influenced by use continuance
Habit is positively influenced by perceived usefulness
Habit is positively influenced by enjoyments
Habit is positively influenced by frequency of use.
Result
Supported
not support
Supported
Supported
not support
Supported
The results of hypothesis testing as in Table 6, using sample of valid 105 respondents, established has support for
the validity and reliability of all the constructs presented in the model. Moreover, the model is tested by using
Amos software. Among the three determinants of use continuance, perceived usefulness (HA1) and habit (HA3)
were clearly supported in the model. The results obtained was consistent with the findings suggested by Barnes
7
(2011), that use continuance for IS platform was driven by perceived usefulness and habit. Contrary with the
findings by Barnes (2011) enjoyment is not a determinant of use continuance; consequently (HA2) is not supported.
Though, Barnes (2011) suggested that experience reduced the effect of enjoyment on use continuance, showing
that value judgments about enjoyment became less important for more experienced users. Thus more
experienced users had generally less intention to continue using the IS Platform.
The implication of our finding in context of this research shows that enjoyment becomes less important in
cybercafé use continuance possibly, most of the respondents are uncomfortable with service delivery but only
have to patronize the cybercafé being the cheap medium in which computer and Internet can be access. Against
the backdrop that computer ownership is an issue from the result obtained. Consequently enjoyment does not
influence their decision making in terms of cybercafé use continuance. Further, consistent with prior research
Barnes (2011), the extended relationship proposed to explain habitual behaviour (HA4 and HA6) is supported. While
HA5 is not supported, showing habit is not influenced by enjoyments in cybercafé use continuance in context of the
current research.
7 conclusion
Cybercafe certainly served as the main access point to computer and Internet mostly for a fee for people in
developing world. This avenue for communal access to computer and Internet has the potential as an effective tool
for bridging the effect of digital divide. Understanding the use continuance was the goal of this study. An empirical
study was conducted based on prior research to test a modified Bhattacherjee model of expectation-confirmation
theory with the purpose of exploring the use continuance of cybercafés from perspective of users' in Nigeria. The
findings of the research suggested that perceive usefulness and habit are the most important factors influencing
cybercafés use continuance in Nigeria while enjoyment is not a determinant of use continuance. The finding
suggests that enjoyment becomes less important in cybercafé use continuance possibly, most of the respondents
were uncomfortable with service delivery but only have to patronize the IS platform being the cheap medium in
which computer and Internet are access. Despite the laudability of this finding, limitations of this study could be
attributed to the small sample size and the approach used in conducting the research. Increasing the sample size
and applying mixed methods of inductive and deductive approach using a longitudinal survey on these factors
might offer a more in-depth understanding of cybercafés use continuance. Despite the limitations identified, the
findings offer support for the model in explaining habitual behavior in context of cybercafé. Creating favorable
environment surrounding the cybercafé use in terms of Internet speed, access fee and trust would no doubt
influence its use continuance. Comprehensive understandings of this model will access cybercafés owners to
explore the reason for the use continuance among the users in the future and support them to enhance the
cybercafés usage.
Acknowledgments
The Author acknowledges the support of Bayero University Kano for sponsoring the research from the beginning to
the present stage of presenting the research findings in International conference.
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Zulkhairi, M., Nor Iadah, Y , Huda,I , Khairudin,M , & Zahuri,M. (2009). Socio–economic benefits of telecentre
implementation in peninsular Malaysia. 2nd Proceeding of the International Conf. 2009 (pp. 374-376).
Computing & Informatics.
Abdulwahab L. is a Senior Lecturer at Bayero University, Kano, Nigeria. He received his B.Sc. Mathematics,
M.Sc. in Computer Science and PhD in information technology from the Universiti Utara Malaysia 2012. He is the
author of more than 20 journal papers and has co - authored three books. His current research interests include
Information Systems, Internet Technology, ICT4D and Community Informatics. He is a member of several
organizations such as Computer Society of Nigeria, Computer Professional of Nigeria and Telecentre, org, org, org.
A Conceptual Model of the Expectation Confirmation Theory (ECT)
Modification on Cybercafés Use Continuance
Abdulwahab L.
Information Technology Department Bayero University, Kano, P.M.B 3011, Kano, Nigeria, West Africa
[email protected]
Abstract. Prior research has suggested that the price increase in surfacing Internet through cybercafé has
resulting effects on usage. Therefore, in order to draw the support of clients (users) in exploring the issue that
stimulates them for continuous patronage, exploring those factors became vital for the entrepreneur to remain in
business. Understanding the relationship between perceived price and continuance intention based on a modified
Bhattachee's model of expectation-confirmation theory is the goal of this research. This paper is an attempt in
proposing a conceptual model of ECT Modification with perceived price constructs towards cybercafé continuance
intention. The approached adopted is based on literature review on the basis that, the incorporation of perceived
price construct into the ECT model in context of cybercafé is vital in understanding the antecedent factors of
cybercafés continuance intention. Consequently, the proposed model is set forward as the basis for future
empirical study to validate the model in a context of a developing country.
Keywords: — Digital divide, Perceived price, Internet, Information systems, Developing country
.
1 Introduction
The trend of globalization has strengthened the importance of the Internet as a foremost tool of information and
communication technology (ICT), yet access to the Internet is a far away a dream to the majority of people in
developing world most especially the rural inhabitants. The cost of connecting to the internet is still high with most
access is by Cybercafé (Bjorn, Stein & Fathhul, 2005). Internet access requires telecommunication links and
information technologies particularly networks and computer terminals. Prior research revealed that the adoption
of the Internet was hindered by lack of skills on the parts of the users and the high cost of access time (Ani, 2010).
Study by Grace and Lenny (2008) opined that Internet access in Sub-Sahara Africa is largely in the capital cities
through Cybercafés, leaving people in semi urban and remote area at disadvantage position.
A report by Internet World Statistics in 2012 showed the estimated number of Internet users around the globe was
around 2.4 billion. About 48.4 million of the worlds reported Internet users reside in Nigeria. Further, as at June
2012, the Internet penetration rate in the same context was 28.4%. In spite of the stated challenges of affordability
accessibility and low level of e-literacy skills, Nigeria is ranked first among the top ten in the Africa region with
more population and the most Internet users (IWS, 2012). The demand for the Internet has increased compared to
previous years all almost every aspect of the governance, education and the economy have been computerized
and government policies have mandated each sector of the governance must be Information Technology (IT)
driven. The highlighted statistics inferred that Internet is fast becoming an important part of daily life in Nigeria.
Consequently, entrepreneurs, government and NGO’s in Nigeria and other developing countries, roll-out
Cybercafé, Internet kiosk and Community telecentre for people through shared access (Abdulwahab & Zulkhairi,
2012). The purpose of these initiatives is to cushion the effect of the digital divide. Research has shown that
cybercafé served as the foremost medium by which populace is still relying for modes of Internet access and
computer services through shared access (IWS, 2012; Alam et al., 2009).
The emergences of the Café mostly in urban areas to some extent bridge the gap in the provision of access to a
computer and Internet (Alam et al., 2009; Alao & Folorunsho, 2008). The cybercafé are usually run as a commercial
venture, members of the public can have access to the Internet for a fee usually paid per hour (Adomi, 2005).
Generally, bandwidth, quality of services offered and the location determines the price of patronage, always a fee
not less than a dollar is paid. The Cybercafé operations in Nigeria are faced with daunting challenges of inadequacy
of electric power supply usually this has an effect on the wider usage (Adomi, 2005). Even with the proliferation of
Cybercafé in the urban areas that provide public access, the issue of universal access regardless of physical location
and economic status remains unresolved. The cost of establishing a Café and getting reliable Internet service
provider (ISP) and associated demands served as an obstacle in extending the facility to more rural areas.
Moreover, Cybercafés are privately funded and meant for profit making, hence, cannot be considered as
community based IT initiatives (Abdulwahab & Zulkhairi, 2012). Prior research has suggested that the price
increase in surfacing Internet through cybercafé has resulting effects on usage (Adomi, 2005). Therefore, in order
to draw the support of clients (users) in exploring the issue that stimulates them for continuous patronage is
critical for the entrepreneur to remain in business. Understanding the relationship between perceived
price and continuance intention based on a modified, Bhattacherjee model of expectation-confirmation theory is
the goal of this research. The approach adopted in the current paper is against the inductive approach reported by
many researchers (Aladeniyi & Fasae, 2013; Alao & Folorunsho, 2008)
2 LITERATURE REVIEW
Foremost theories like the theory of planned behaviour proposed by Ajzen (1991) and technology acceptance
model Davis (1989) have explored variables that inspire an individual to accept and use a new IS initiative. In the
same perspective, the unified theory of acceptance and use of technology (UTAUT) model was acclaimed to have
depicted a more complete picture of variables that inspire the acceptance of IS initiatives (Abdulwahab & Zulkhairi,
2012 ; Venkatesh et al., 2011 ). Though initial acceptance of an information system is an important step toward
realizing its success, Bhattacherjee (2001) argued that long-term viability of an IS and its eventual success depend
on its continued use rather than initial adoption. Consequently assessing use continuance is a crucial factor in
appraising the IS success (Barnes, 2011; Bhattacherjee 2001). Prior research adopting the expectation confirmation
theory to IS use focuses on the use of information systems for operations, decision-making or other organizational
activities.
The uniqueness of cybercafé as an avenue for surfing the Internet usually for fee differs from other information
system platform in which to some degree users are cognizant of monetary cost associated with usage. And have
made an informed decision prior to usage.
Although the satisfaction as a construct from an expectation confirmation model might play a crucial role in
predicting users’ continuance intentions, it is not known if satisfaction might be the main factor in cybercafé use
continuance. While cybercafés may offer dissimilar services, prior research has shown perceive price has potential
to attract or distract users (Chen et al., 2010).
Price perceived as an important indication in evaluating a user’s decision to continue patronizing cybercafé
(Adomi, 2005). Specifically, users tend to consider the relevant connection between price and their expectations
by comparing it with their previous experiences of cybercafé usage. Relationships linked to price focus on service
quality, performance, and user satisfaction that matches an expectation of price fairness for a service offered
(Chen et al., 2010; Zhu & Fui-Hoon, 2002). If user perception of performance or quality of service exceed his or her
expectations, then their perception of the price would lead to a favourable attitude toward accepting IS platform
and the price would be perceived to be fair because the user’s perception of service exceeds his or her perceived
value (Chen et al.,2010;Zhu & Fui-Hoon, 2002 ).
Chen et. al. (2010) examine role internet self efficacy using the ECT, the finding suggested that the self-efficacy has
no significance on perceived usefulness and continuance intention. Atchariyachanvanich et al. (2006) extended
expectation-confirmation theory by introducing a new factor customer loyalty. The finding suggested that not only
basic factors of satisfaction, confirmation , perceived incentives and perceived usefulness also a new factor,
customer loyalty, is found to significantly influence the online customers ‘intention to revisit the Internet. Fig 1
shows Bhattachee's (2001) model of expectation-confirmation theory
P. USEFUL
H
HA
4
A3
HA5
HA1
SATISF.
CON. INT
2
HA
CONFIRM.
Fig 1 A Post Acceptance Model of IS Continuance
Thus, in order to adapt ECT to a different context (i.e., cybercafé) theoretical extension associated with the cost of
services offered is required. Therefore, this research intends to integrate perceived price construct into the
expectation confirmation theory to enhance the understanding of continuance intention of user in perspective of
cybercafé based on the literature review (Zhu & Fui-Hoon, 2005). The conceptual model is presented in Fig 2
P. USEFUL
H
HA4
3
A
HA5
SATISF.
HA6
2
HA
CONFIRM.
Fig 2
HA1
PECIEV.PRICE
Conceptual Model
CON. INT
The ECT model is adapted to include individual factors (IS continuance, satisfaction, perceived usefulness,
confirmation and perceived price which could influence continuance intention of cybercafé (Bhattacherjee 2001;
Davies, 1989; Luo, Tsou & Shu, 2008). The constructs could be the main influencing factors of cybercafé
continuance intention in Nigeria; theoretically, these claims have not been tested empirically. The factors shown in
the conceptual model are thus defined based on (Bhattacherjee 2001; Davies, 1989; Oliver, 1980 & Liao et al.,
2008). The next section presents operational definitions of the proposed model.
2.1 Satisfaction
Satisfaction is defined as the degree of contentment or displeasure obtained by comparing the performance of a
product or service to its expected level (Chen et al., 2010). Bhattacherjee (2001) suggested that continuance
intention is mainly affected by satisfaction of previous experience in the evaluation of an IS adoption. Satisfaction
is increased by positive emotions and decreased by negative emotions that could be attributed to service failure
(Chen et al., 2010). Prior researches have shown that satisfaction is a determinant of IS continuance intention
(Bhattacherjee 2001). In the context of this study, satisfied users would form a continuance intention, while
dissatisfied users discontinue subsequent use of the cybercafé. Thus, the following hypothesis is proposed:
HA1. Satisfaction has a positive impact on cybercafé continuance intention
2.2 Confirmation
Confirmation is defined as the objective judgment of client on the difference in experience of pre-expectation and
actual experience (Oliver, 1980). ECT forwarded that satisfaction is affected by expectation and disconfirmation
(Chen et al., 2010). Literarily, disconfirmation indicates the gap between expectations and perceived performance.
Bhattacherjee (2001) argued that the confirmation is positively related to satisfaction with IS use because it implies
realization of the expected benefits of IS use, whereas disconfirmation (perceived performance lagging
expectation) indicates failure to achieve expectation. Furthermore, Bhattacherjee (2001) proposed that
confirmation has a positive influence on satisfaction and perceived usefulness. Thus, the following hypotheses are
proposed:
HA2. Confirmation has a positive impact on satisfaction.
HA5. Confirmation has a positive impact on perceive usefulness
2.3 Perceived Usefulness
Perceived Usefulness is the degree in which an individual believes that using a particular IS would enhance
his/her job performance Davies (1989). Usefulness is quantified into three; job performance, productivity and time
saving. Accordingly, using IS enhances job performance, productivity and makes jobs to be accomplished on time
(that is, by reducing the time to carry out a task or providing timely information (Karahanna, Straub & Cherverny,
1999; Davies & Bagozzi, 1989). In the context of this study, the quality and variety of services offered by cybercafés
operators will affect users’ perceived usefulness. Thus the following hypotheses are proposed.
HA3. PU has a positive impact on satisfaction.
HA4. PU has a positive impact on continuance intention
2.4 Perceived Price
Perceived priced is defined as evaluating a client (user) choice to patronize IS platform (Liao et al., 2008).
Particularly users are inclined to judge the relationship between price and their expectations by comparing it with
their past experiences (Liao et al., 2008). Prior studies suggested that client’s perception of price unfairness tends
to lower their patronage intention (Campbell, 1999) Further, Wu and Wang (2005) cited in Liao (2008) suggested
that cost of service (i.e., service fee, access fee, and training fees) by the cybercafé operators has a negative effect
on intention to use. Thus a competitive price of service offered by cybercafés operators has an influence on
continuance intention. Consequently the following hypothesis is proposed.
HA6. PP has a positive impact on continuance intention
3 Methodology
The study is expected to be based on a positivist epistemology (Myers, 1997). A deductive approach shall be used
test the proposed conceptual model of the expectation confirmation theory (ECT) modification on cybercafés use
Continuance in an empirical setting. Prior studies on IS have adopted a positivist epistemology (Wang et al. 2009;
Barnes, 2011 and Venkatesh et al., 2011). The unit of analysis for the study would be individual; this is justifiable
based on the stated reasons: Firstly, the individual is seen as the most suitable respondent of this research, being
the end users of a cybercafés. There is empirical evidence by previous researchers that have used individual as
their main respondents (Wang & Shih, 2008; Wang et al., 2009; Loo et al., 2009 and Venkatesh et al., 2011). Simple
random sampling would be adopted in selecting the users of cybercafés from students, civil servants, applicants'
and other cybercafés adopters. The questionnaires as shown in appendix was developed using a 7- point interval
scale in measuring the constructs, including endogenous and exogenous variables. An individual chooses a scale
from the ranges of seven scales starting from "strongly disagree" to "strongly agree". The interval scale was
selected because it can measure the degree of the difference in the preference among the individual (Sekaran,
2006). All the questionnaires to be used in this study will be adapted from previous researches (Davis et al., 1989;
Karahanna et al. 1999; Bhattacherjee, 2001; Bjorn et al., 2005 and Barnes, 2011).
4 CONCLUSION
Review of the prior literatures on IS continuance, reveals dearth of research that essentially address the issue
of perceiving price incorporation into post acceptance model of IS continuance. This paper under studies the
Bhattacherjee model of expectation-confirmation theory and proposed a modification particularly as it regard to
cost of service and the needs for the incorporation of the perceive price construct in to Bhattachee's model in
context of cybercafés. Perceive price could be a crucial factor when accessing the continuance use of cybercafés.
This paper only proposes a conceptual model for measuring the proposed construct in context of cybercafés. The
research presented is limited being that, the proposed model is only based on literature review. Subsequent
researches should focus on empirical validation of the conceptual model using the survey instruments described in
the appendix.
Acknowledgments
The Author acknowledges the support from Bayero University Kano for sponsoring the research from the
beginning to the present stage of presenting the research in an International conference.
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implementation in peninsular Malaysia. 2nd Proceeding of the International Conf. 2009 (pp. 374-376).
Computing & Informatics.
Abdulwahab L. is a Senior Lecturer at Bayero University, Kano, Nigeria. He received his B.Sc. Mathematics,
M.Sc. in Computer Science and PhD in information technology from the Universiti Utara Malaysia 2012. He is the
author of more than 20 journal papers and has co - authored three books. His current research interests include
Information Systems, Internet Technology, ICT4D and Community Informatics. He is a member of several
organizations such as Computer Society of Nigeria, Computer Professional of Nigeria and Telecentre, org, org, org.
Appendix
The Survey Instruments
PU1
PU2
PU3
PU4
PU5
PU6
CI1
CI2
CI3
Perceived usefulness
Using facilities in Cybercafés is beneficial to me
The advantages of using facilities in cybercafés outweigh the disadvantages
Using facilities in cybercafés will improve my job performance
Using facilities in cybercafés enhances my effectiveness on the job
Using facilities in cybercafé increases my productivity
Overall, using facilities in cybercafés is advantageous
Continuance Intention
I intend using facilities in cybercafés rather than use any alternative technology
My intentions are to continue using facilities in cybercafés rather than use any
alternative technology
My continue use of facilities in Cybercafés largely depend on enabling
CI4
CI5
SAT1
SAT2
SAT3
SAT4
PP1
PP2
PP3
PP4
PP5
COM1
COM2
COM3
environment.
My continue use of facilities in Cybercafés depend on my IT skills
If I could, I would continue utilizing facilities in cybercafés
How do you feel about your overall experience of cybercafé use (Satisfaction)
Satisfaction
Very dissatisfied/Very satisfied
Very displeased/Very pleased
Very frustrated/Very contented
Absolutely terrible/Absolutely delighted
Perceived price
The registration fee (air time) and other fees are adequate to me
The cost of using facilities is adequate
To the best of my understanding, there are no health hazards while using facilities
in cybercafés
Generally, the cost of frequent use of cybercafé is adequate
The registration fee (air time) and other fees are adequate to me
Confirmation
My experience with using Cybercafé was better than my expectation
The services provided by Cybercafés was better than my expectation
Overall, most of my expectations from using Cybercafés were confirmed
‫النظم التشاركية في تقديم الخدمات التعليمية في الوطن العربي‬
‫( بالتطبيق على الخدمات التعليمية التي تقدمها جامعة دنقال بالوالية الشمالية بالسودان)‬
‫جامعة أبو ظبي‪ -‬إعداد‪ :‬د‪ .‬مدثر حسن سالم ع از لدين أستاذ مشارك‬
‫جامعة أبو ظبي‪ -‬و د‪ .‬عاطف عوض أستاذ مشارك‬
‫المقدمة‪ :‬تهدف الورقة إلى تقديم بعض التوصيات الممكنة للمواءمة بين العرض والطلب في الخدمات التعليمية التي‬
‫تقدمها جامعة دنقال بالسودان‪ ،‬وذلك وفق نظم تشاركية‪ ،‬وبالتالي فإن الورقة تستعرض وتستقري بإيجاز ما أمكن‬
‫الحصول عليه من المعلومات المتصلة بالمحور المعني بالجامعة‪ ،‬ومن ثم تقدم رؤيتها‪ .‬وتبقى الورقة خاضعة لكل ما‬
‫قد يرد من آراء بشأن ما تعبر عنه أو ما تدعو إليه من خيارات‪.‬‬
‫المشكلة التي تتناولها الورقة‪ :‬تكمن المشكلة التي تعالجها الورقة في الخلل في جانبي العرض والطلب على‬
‫الخدمات التعليمية التي تقدمها جامعة دنقال‪ ،‬ذلك الخلل الناجم عن عدم المواءمة بين العرض والطلب على‬
‫الخدمات التعليمية‪ ،‬والراجع لعدم وجود أساس تشاركي‪ ،‬حيث يمكن حصر المشكلة في األسئلة التالية‪:‬‬
‫هل تتوفر للجامعة أنظمة تشاركية معنية بالخدمات التعليمية التي تقدمها الجامعة؟ ‪1.‬‬
‫هل يتم دراسة الطلب على الخدمات التعليمية بجامعة دنقال أوالً؟ ‪2.‬‬
‫هل يتم عرض الخدمات التعليمية بجامعة دنقال بناء على ما تم دراسته حول الطلب عليها؟ ‪3.‬‬
‫أهمية الورقة‪ :‬تنبع أهمية الورقة من الدور المتعاظم الذي يمكن أن يلعبه اإلنفاق على التعليم واالستثمار في‬
‫رأس المال البشري‪ ،‬وذلك لن يتأتى إال بالمواءمة بين جانبي العرض والطلب على الخدمات التعليمية‪،‬‬
‫لتجنب هدر للطاقات البشرية والمالية التي تنفق على التعليم‪.‬‬
‫أهداف الورقة‪ :‬ترمي الورقة إلى التعرف على النظم التشاركية والجهات ذات العالقة بالخدمات التعليمية‬
‫المقدمة‪ ،‬ومدى المواءمة في جانبي العرض والطلب على الخدمات التعليمية التي تقدمها جامعة دنقال‪،‬‬
‫ومحاولة تلمس الطريق نحو الموازنة بين الجانبين‪.‬‬
‫فرضية الورقة‪ :‬بنيت الورقة على افتراض أن السعي للمواءمة بين جانبي العرض والطلب على الخدمات‬
‫التعليمية المقدمة من جامعة دنقال ينبغي أن يوجه نحو دراسة الطلب أوالً‪ ،‬ثم عرض الخدمات بناء على‬
‫ذلك‪ ،‬والذي يبنى على أساس تشاركي بين الجهات المعنية بتقديم وتلقي الخدمات التعليمية‪.‬‬
‫المنهج المتبع‪ :‬تستخدم الورقة المنهج الوصفي التحليلي الذي يعمل على تفسير الوضع القائم قيد الدراسة‪،‬‬
‫ثم تحليل البيانات والوصول إلى نتائج وتوصيات يمكن أن تساعد في إيجاد الحلول‪ .‬إضافة إلستخدام منهج‬
‫دراسة الحالة‬
‫أدوات الدراسة‪ :‬تستخدم الورقة الكتب والرسائل الجامعية واألوراق العلمية والتقارير وبيانات المكاتب‬
‫كمصادر ثانوية‪ ،‬إضافة للمالحظة والمقابلة الشخصية كمصادر أولية لجمع البيانات والمعلومات‪ ،‬كلك‬
‫إعتمدت الورقة على البيانات الكمية من الجهات ذات الصلة‪.‬‬
‫تنظيم الدراسة‪ :‬قسمت هذه الورقة الي ثالث بنود رئيسية هي‪:‬‬
‫‪ .1‬اإلطار النظري والدراسات السابقة‪.‬‬
‫‪ .2‬واقع العرض والطلب على الخدمات التعليمية بجامعة دنقال بالوالية الشمالية بالسودان‪.‬‬
‫‪ .3‬النتائج والتوصيات‪.‬‬
‫اإلطار النظري‪:‬‬
‫الطلب على التعليم‪ :‬توضح (السيدة إبراهيم مصطفى وآخرون‪2002،‬م) أن الطلب على الخدمات التعليمية‬
‫يأتي من رغبة األسرة في تحقيق فرص عمل أفضل ألبنائها‪ ،‬حيث تزيد فرص العمالة في القطاع الحديث‪،‬‬
‫نظ اًر لحصوله على مستوى أجر مرتفع نسبياً‪ ،‬وكلما زادت سنوات الدراسة التي يتحصل عليها الفرد كذلك‪-‬‬
‫وخاصة في الدول النامية‪ -‬فإن الشهادة الدراسية تمنح حاملها وضعاً اجتماعياً مرموقاً‪ ،‬ولذلك فإن الرغبة في‬
‫التعليم تأتي مدفوعة بالعنصر المادي والمتمثل في األجر والوظيفة‪ ،‬إضافة للعنصر االجتماعي والمتمثل في‬
‫الوضع االجتماعي ونظرة المجتمع وتقديره للشهادة‪ .‬ولكن عدد السنوات الدراسية التي يرغب الفرد في‬
‫الحصول عليها ليست مفتوحة لرغبته فقط‪ ،‬وانما أيضاً محددة بإمكانياته وتكلفة كل سنة دراسية‪ ،‬سواء كانت‬
‫تكاليف مباشرة مثل الرسوم الدراسية ونفقات الكتب والمواصالت واإلقامة‪ ،‬أو تكاليف غير مباشرة أي تكلفة‬
‫الفرصة البديلة والمتمثلة في األجور الضائعة على المتعلم فيما لو قضى وقته في وظيفة ما بدالً من مواصلة‬
‫الدراسة‪ .‬والطالب أو األسرة عادة ما تعقد مقارنة بين العائد من التعليم‪ -‬الدخل المتوقع الحصول عليه بعد‬
‫التعليم‪ -‬والوضع االجتماعي‪ ،‬وتكلفة هذا التعليم‪ ،‬ومن الناحية االقتصادية البحتة يكون قرار الطالب أو‬
‫األسرة بزيادة عدد سنوات الدراسة رشيداً كلما كان العائد منها أكبر من تكلفتها‪ .‬ويضيف (مدحت القريشي‪،‬‬
‫‪2002‬م) أن الطلب على التعليم يتناسب عكسياً مع مستوى التكاليف الدراسية‪ ،‬أي كلما تزداد التكاليف‬
‫الدراسية يقل الطلب على التعليم‪ ،‬لكنه يتناسب طردياً مع اإليرادات الناجمة عن التعليم‪ ،‬أي كلما ازدادت‬
‫اإليرادات الناجمة عن التعليم يزداد الطلب على التعليم‪ ،‬والعكس صحيح‪.‬‬
‫عرض الخدمة التعليمية‪ :‬يذكر (رمضان محمد مقلد وآخرون‪2002،‬م) أن عرض الخدمات التعليمية عادة ما‬
‫يتحدد في كافة مستوياتها بق اررات سياسية وبمقدار المخصصات المدرجة سنوياً في الميزانية لهذا الغرض‪،‬‬
‫والتي غالباً ما تتحدد هذه المبالغ بالمزاج السياسي السائد‪ ،‬وليس بالعوامل االقتصادية‪ .‬فكلما كان هناك‬
‫ضغطاً شعبياً على الخدمات التعليمية‪ ،‬كلما كان ذلك ضغطاً على الحكومات لتوفير المزيد من هذه‬
‫الخدمات‪ ،‬وبالتالي يمكن القول أن الطلب على التعليم‪ ،‬خاصة في الدول النامية‪ ،‬هو الذي يحدد عرض هذه‬
‫الخدمة إلى حد كبير‪ ،‬ومن ثم فإن دراسة الطلب على الخدمات التعليمية يعتبر مقدمة أساسية لفهم آلية‬
‫المواءمة بين عرض وطلب الخدمات التعليمية‪.‬‬
‫االعتبارات الحاكمة للرغبة في التعليم (الطلب)‪ :‬تعدد (السيدة إبراهيم مصطفى وآخرون‪2002،‬م) خمسة‬
‫اعتبارات أساسية محددة للرغبة في التعليم تتمثل في االختالفات بين مستويات األجور بين الوظائف التي‬
‫تتطلب مؤهالت دراسية‪ ،‬وتلك التي ال تتطلب مؤهالت دراسية‪ ،‬مدى قدرة القطاع الحديث على توفير وتقديم‬
‫الوظائف للمؤهالت بأجور مرتفعة‪ ،‬التكاليف المباشرة للعملية التعليمية‪ ،‬تكلفة الفرصة البديلة للتعليم‪ ،‬والرغبة‬
‫في تحقيق وضع اجتماعي‪.‬‬
‫اإلفراط في اإلنفاق على التعليم‪ :‬يفسر االقتصادي الكبير (مايكل تودارو) أن اإلفراط في اإلنفاق على التعليم‬
‫في الدول النامية حدث نتيجة للفجوة األجرية بين الحاصلين على شهادات وغير الحاصلين على شهادات‪،‬‬
‫التوسع في العمالة بالقطاع الحديث تزيد بمعدل أقل من الزيادة في عدد الخريجين من ذوي الشهادات‬
‫المختلفة‪ ،‬اختيار المؤهالت العليا من أصحاب العمل نظ اًر لوجود فائض عرض في سوق العمل‪ ،‬الحكومات‬
‫تربط األجر بالمؤهل وليس بمتطلبات الوظيفة‪ ،‬انخفاض التكاليف التعليمية‪ ،‬وأن نسبة البطالة مرتفعة بين‬
‫الشباب صغير السن وبالتالي فإن تكلفة الفرصة البديلة للبقاء في المدرسة وااللتحاق بالجامعة تساوي صف اًر‬
‫أو منخفضة جداً‪ .‬إال أن (السيدة إبراهيم مصطفى وآخرون‪2002،‬م) يرون أن أجور غير المتعلمين في‬
‫الدول النامية اآلن أعلى من أجور حاملي الشهادات العليا‪ ،‬كما أن البطالة بين حاملي الشهادات العليا أعلى‬
‫من البطالة بين غير المتعلمين‪ ،‬حيث ظهرت في الفترة األخيرة بطالة المتعلمين‪ .‬ويضيف ( رمضان محمد‬
‫مقلد‪2002،‬م) أن اإلنفاق على التعليم في كثير من الدول النامية اهتم بالكم ولم يهتم بالنوع‪ ،‬كما أوجد‬
‫تخصصات الطلب عليها ضعيف‪ ،‬إضافة لتركيزه على تخصصات منذ البداية كان من األجدى أن تأتي‬
‫الحقاً لتتناغم مع الحراك االقتصادي السائد‪.‬‬
‫سوف المستقبل الجامعات في أن ( ‪ ٠٢٢٢،‬والدهشان ( بدران من كال المهارات المطلوبة للعمل‪ :‬ويرى‬
‫الذاتي‪ ،‬والتقويم الذاتي كيفية التعلم الطالب تعليم ‪ :‬التالية التعليمية األهداف تحقيق أولوياتها أهم من يكون‬
‫‪ ،‬التغيير في التحكم على القدرة الطالب ‪ ،‬واكساب اإلبداع على والقدرة االبتكارية االستقاللية الطالب واكساب‬
‫والقدرة ‪ ،‬عليه يكون أن يريد ما تحديد على القدرة واكسابه التعليم‪ ،‬في االستمرار في الرغبة الطالب واكساب‬
‫كثير ويبدو شخصيته‪ .‬تنمية على‬
‫العرب‪ ،‬أو المحلي المستوى على فقط ليس العالي التعليم مؤسسات من أن ًا‬
‫ومتطلبات احتياجات توفير في مختلفة بمستويات توفق لم الحالي الوقت وفي العالمي على المستوى حتى بل‬
‫المهارات ويضيف (سامي بن عبد اهلل الباحسين‪ )2002 ،‬إن ‪ .‬األساسية والمهارات الكفاءات من العمل سوق‬
‫القابلة المهارات تلك توصف بأنها لخريجيها‪ ،‬إكسابها التعليمية المؤسسات للعمل المطلوب من األساسية‬
‫نظرة وصقل االختصاصية‪ ،‬المهارات المعرفة‪ ،‬واظهار تعميق في تساهم والتي األعمال جميع في لالستخدام‬
‫المهارات ‪ .‬والعشرين الحادي القرن في العمل سوق لتطورات ضرورة التكيف قدرة ورفع العمل تجاه الفرد‬
‫الباحثون حدد وقد المطلوب‪ ،‬بالشكل األعمال تلك نجاح لضمان وذلك والمشتغلين العمل طالبي في األساسية‬
‫وامكانية معهم‪ ،‬التعامل اآلخرين‪ ،‬وحسن مع الشخصية والعالقات االتصال‪ ،‬مهارات بمثل المهارات هذه‬
‫‪.‬أولوياتها حسب وترتيب األمور ‪ ،‬التنظيم خبرة واكتساب وحلها‪ ،‬المشاكل مواجهة‬
‫التعليم الجامعي وسوق العمل‪ :‬يشير (مصطفى متولي‪1301 ,‬هـ ) إلى عدد من المؤشرات على عجز‬
‫الجامعات في تلبية احتياجات القطاع العام من القوى العاملة البشرية في الجانب النوعي للخرجين‪ ،‬منها‪:‬‬
‫‪ .1‬أن المهارات المتوفرة لدى الخريجين ال تتوافق مع طبيعة األعمال التي تقدمها جهات التوظيف في‬
‫القطاعين العام والخاص‪.‬‬
‫‪ .2‬أن مستويات االتصال بين الجامعات وبين جهات التوظيف ليست بالفعالية المطلوبة‪.‬‬
‫‪ .3‬أن خريجي الجامعات بحاجة إلى إعادة تدريب ليتمكنوا من القيام باألعمال المقدمة لهم‪.‬‬
‫ويتفق مع مجموعة من الباحثين في بحوثهم على مجموعة من األسباب التي أدت إلى تزايد معدالت‬
‫البطالة وسط الخريجين‪ ,‬وهذه األسباب تصنف إلى فئتين‪ ,‬على النحو التالي‪:‬‬
‫أسباب لها عالقة بالتعليم الجامعي‪ ،‬وتشمل‪:‬‬
‫‪ .1‬التوسع السريع وغير المخطط في التعليم الجامعي‪.‬‬
‫‪ .2‬انخفاض درجة المواءمة بين مخرجات التعليم الجامعي وبين حاجات سوق العمل من ناحية الكيف‬
‫والكم‬
‫‪ .3‬اعتماد التعليم الجامعي على أساليب غير دقيقة في اختيار مدخالت من الطالب"‪ ,‬وعلى أساليب‬
‫تقليدية في التدريس والتدريب والتقويم‪.‬‬
‫‪ .2‬عدم اعتماد مخططي التعليم الجامعي على رؤية واضحة عن االحتياجات المستقبلية لسوق العمل‬
‫من القوى البشرية‪".‬‬
‫‪ .5‬ضعف برامج التوجيه واإلرشاد األكاديمي والمهني في التعليم الجامعي‪.‬‬
‫أسباب لها عالقة بالبيئة المحيطة بالجامعة‪:‬‬
‫‪ .1‬عوامل اقتصادية‪ ,‬مثل‪ :‬بطء معدالت النمو االقتصادي‪.‬‬
‫‪ .2‬ارتفاع معدالت النمو السكاني وخاصة في فئة الشباب واألطفال‪.‬‬
‫‪ .3‬الزيادة المستمرة في الطلب االجتماعي على التعليم الجامعي‪ ,‬وخاصة النظري منه‪.‬‬
‫‪ .2‬العادات والتقاليد االجتماعية التي تسود في بعض المجتمعات وتقلل من قيمة بعض األعمال والمهن‬
‫فال يقبل بها الخريجون‪.‬‬
‫القصور الذاتي في النظم التعليمية في الدول النامية‪ :‬يذكر ( رمضان محمد مقلد‪2002،‬م) أن مشاكل عدم‬
‫الكفاءة في النظم التعليمية تتمثل في تخلف المحتوى التعليمي للمناهج وانخفاض نوعية التعليم على كافة‬
‫المستويات التعليمية‪ ،‬سوء اإلدارة والقصور التنظيمي‪ ،‬بعد المحتوى العلمي للمناهج عن احتياجات سوق‬
‫العمل وعن واقع الحياة السائد في الدول النامية‪ ،‬عدم ترشيد اإلنفاق على التعليم العالي‪ ،‬تدخل الحكومة‬
‫لتحقيق أغراض سياسية‪ ،‬عدم مراعاة متطلبات وأهداف التعليم الحضري أهداف ومتطلبات التعليم الحضري‬
‫مما يؤدي إلى انفصال التعليم عن واقع البيئة المحلية للمتعلم‪ ،‬التعليم األساسي والثانوي يعد بمثابة إعداد‬
‫لدخول الجامعة فقط دون أن يتعلم الطالب مهنة منتجة‪ ،‬كما أن معظم الجامعات في الدول النامية قد تم‬
‫تصميمها على غرار الجامعات الغربية القديمة‪ ،‬وعلى حين تطورت الجامعات األخيرة‪ ،‬إال أن الجامعات في‬
‫الدول النامية تعاني من الجمود‪ ،‬وأن الدافع التعليمي بالدرجة األولى في الدول النامية هو إشباع رغبة‬
‫اجتماعية لدى األسرة والطالب دون أن يكون هنالك دافع حقيقي لتعلم مهني عالي اإلنتاجية يخدم األهداف‬
‫القومية للبلد‪.‬‬
‫أوضاع الكفاية الخارجية ألنظمة التعليم المعاصرة‪ :‬يبين (أنطوان حبيب رحمة‪1812 ،‬م) أن تقييم الكفاية‬
‫الخارجية ألنظمة التعليم المعاصرة منخفضة‪ ،‬وذلك بسبب انخفاض التوافق بين مؤهالت المتعلمين وحاجات‬
‫التنمية وسوق العمل‪ ،‬اختالل التوازن بين خريجي التعليم العالي من الفنيين وبين خريجي المعاهد المتوسطة‬
‫الذين يعملون مساعدين للفئة األولى‪ ،‬انخفاض مستوى الكفاءة الفنية عند نسبة كبيرة من عدد الخريجين من‬
‫كل مستويات التخصص المختلفة‪ ،‬فيض خريجي التعليم عن حاجة سوق العمل‪ ،‬انخفاض مالئمة مخرجات‬
‫التعليم في الريف لحاجات التنمية‪ ،‬وعدم مالئمة اتجاهات المتعلمين لألعمال التي يحتاجها المجتمع وتنميته‪.‬‬
‫إن أثر انخفاض الكفاية الخارجية لألنظمة التعليمية يتمثل في بطالة المتعلمين وسوء االستخدام‪.‬‬
‫اتجاهات تحسين الكفاية الخارجية ألنظمة التعليم‪ :‬يوضح (أنطوان حبيب رحمة‪1812 ،‬م) أن تحسين‬
‫الكفاية الخارجية لألنظمة التعليمية ينبغي أن يوجه نحو تخطيط التعليم مخرجاته حسب حاجات المجتمع من‬
‫الطاقة العاملة‪ ،‬الربط بين العمل والتعليم في جميع المستويات الدراسية بحيث يمارس الطالب العمل ويؤهل‬
‫لممارسته مستقبالً‪ ،‬التوسع في التعليم الفني وتنويعه‪ ،‬االعتدال في تضييق محتوى اإلعداد المهني‪ ،‬التربية‬
‫للعمل في الريف والعيش فيه‪ ،‬تكوين اتجاهات مالئمة لحاجات العمل والتنمية‪ ،‬إصالح سوق العمل‪ ،‬وتطوير‬
‫إدارة األعمال‪.‬‬
‫الدراسات السابقة‪:‬‬
‫‪ .1‬أعد (مدثر حسن سالم‪2012 ،‬م) ورقة بعنوان‪ :‬البطالة واالستخدام في السودان بالتطبيق على الوالية‬
‫الشمالية(رؤية تنموية) هدفت إلي التعرف علي موقف البطالة واالستخدام للقوي العاملة بالوالية الشمالية‬
‫بالسودان‪ ،‬والعمل علي وضع رؤية تنموية إستراتيجية للموارد البشرية بالوالية‪ .‬حيث خلصت الورقة إلي‬
‫العديد من النتائج والتي تمثلت في ارتفاع معدالت البطالة بالوالية‪ ،‬وسيطرة النشاط الزراعي في الحصول‬
‫علي أعلي معدالت التوظيف للقوي العاملة بالوالية‪ ،‬ووجود خلل نوعي في مؤهالت الكوادر المتعلمة‬
‫المتعطلة عن العمل من حيث مالءمتها لسوق العمل بالوالية‪ .‬وقد أوردت الورقة عدة توصيات تدور حول‬
‫ضرورة اإلسراع بمعالجة الخلل في سوق العمل بالوالية عن طريق معالجة جانب العرض والطلب لتحقيق‬
‫النمو في القطاعات االقتصادية المختلفة بالوالية‪ ،‬والتوسع في البرامج التدريبية المتعددة بما يتالءم‬
‫واحتياجات سوق العمل بالوالية باستخدام التدريب التحويلي للمسارات‪ ،‬إضافة للسعي الحسيس لمعالجة‬
‫الخلل في التعليم بشقيه العام والعالي بالشكل الذي يجعل مخرجاته تتوافق مع واحتياجات سوق العمل‬
‫واالستثمار والتنمية بالوالية الشمالية‪.‬‬
‫‪ .2‬قام محمود وناس (‪ )2002‬بدراسة حول قضايا التعليم العالي والجامعي أشارت إلى معاناة مصر من‬
‫مشكلة البطالة بين خريجي جامعاتها؛ لذلك تبنت برامج التصحيح الهيكلي مما جعل الحكومة تسيطر‬
‫على قطاع التعليم العالي وسمحت بزيادة الرسوم الدراسية وفق مبدأ العرض والطلب‪ .‬وكان من أحد‬
‫توصياتها تغيير النظرة المجانية للخدمات التعليمية‪.‬‬
‫‪ .3‬أما دراسة التركستاني(‪ )2005‬فكان هدفها التعرف على المسئوليات التي تقع على عاتق الجامعات‬
‫لمواءمة مخرجات التعليم العالي مع سوق العمل السعودي‪ .‬وتحديد مسئوليات القطاع الخاص في‬
‫توظيف مخرجات التعليم وتأهيل تلك المخرجات لسوق العمل‪ .‬ومن أهم التوصيات التي قدمتها هذه‬
‫الدراسة ربط الجامعة وبحوثها العلمية بواقع المجتمع ومشكالته التي يعاني منها وأن تتوجه إلى خدمة‬
‫قضايا التنمية‪.‬‬
‫‪ .2‬وقد بحثت دراسة سويلم (‪ )2005‬عن مشكالت المواءمة بين مخرجات التعليم والتدريب المهني‬
‫ومتطلبات سوق العمل الفلسطيني‪ .‬فاستعرض فيها عن المالمح الرئيسة لنظام التعليم وعالقته بسوق‬
‫العمل‪ ،‬ووصف سمات العمالة الفلسطينية في سوق العمل‪ ،‬حيث أكدت هذه الدراسة على مسئوليات و ازرة‬
‫العمل في التنسيق مع القطاع الخاص وتحويل و ازرة العمل إلى مصدر وقاعدة بيانات لمؤسسات التعليم‬
‫العالي‪.‬‬
‫واقع العرض والطلب على الخدمات التعليمية بجامعة دنقال بالوالية الشمالية بالسودان‪:‬‬
‫يبلغ تعداد سكان الوالية الشمالية ‪ 288.025‬نسمة‪ ،‬وهو العدد األقل بين جميع واليات السودان‪،‬‬
‫والمعدل السنوي للنمو السكاني ‪( %2.1‬إذ تبلغ نسبة الرجال ‪ %50.20‬بعدد ‪ 353225‬نسمة‬
‫واإلناث‪ %28.20‬بعدد ‪ 325320‬نسمة من عدد السكان)‪ ،‬كذلك يوضح التركيب العمري للسكان بالوالية‪،‬‬
‫وبحسب نتائج التعداد السكاني الخامس لعام ‪2001‬م‪ ،‬أن (‪ 225121‬نسمة) بنسبة ‪ % 35.02‬من إجمالي‬
‫سكان الوالية أطفال دون الخامسة عشر‪ ،‬وأن (‪ 212521‬نسمة ) بنسبة ‪ %20.21‬من جملة سكان الوالية‬
‫في سن ‪ 38-15‬سنة‪ ،‬وأن (‪ 121323‬نسمة) بنسبة ‪ %22.52‬في سن ‪ 20‬سنة فما فوق(الجهاز المركزي‬
‫لإلحصاء بالوالية الشمالية‪ ،‬مارس ‪2011‬م)‪ ،‬كما إنه يمكن حساب القوى العاملة إذ تبلغ (‪)531.210‬‬
‫شخص عامل‪ .‬أما عن أولويات اإلنفاق لألسرة بالوالية فقد تمثلت في اآلتي‪ :‬األغذية والمشروبات ‪،%51.1‬‬
‫السكن والمياه والكهرباء ‪ ،%12,2‬النقل ‪ ،%2.2‬االتصاالت ‪ ،%3‬الصحة ‪ ،%1.5‬اإلنفاق علي التعليم‬
‫‪ ،%1.2‬نفقات آخري ‪( %12.2‬الجهاز المركزي لإلحصاء بالوالية الشمالية‪2010 ،‬م)‪ .‬كما يبلغ معدل‬
‫البطالة للسكان في الفئة العمرية ‪ 22-15‬سنة إلي مجموع السكان في ذات الفئة العمرية ‪ ،%21.1‬زد على‬
‫ذلك تصنف (بيانات مكتب اإلحصاء بالوالية‪ ،‬يونيو ‪2012‬م) السكان حسب مراحلهم التعليمية‪ ،‬حيث نجد‬
‫أن الذين نالوا تعليم بالخلوة فقط بعدد (‪ ،)5210‬قبل المدرسي بعدد (‪ ،)122210‬األساس بعدد (‪،)82523‬‬
‫متوسط بعدد (‪ ،)8230‬ثانوي بعدد (‪ ،)22122‬دبلوم وسيط بعدد (‪ ،)5203‬بكالريوس بعدد (‪،)23128‬‬
‫دبلوم فوق الجامعي بعدد (‪ ،)220‬ماجستير بعدد (‪ ،)215‬دكتوراه بعدد (‪ )128‬والذين لم يستجيبوا بعدد‬
‫(‪.)50122‬‬
‫يتضح من خالل تلك البيانات أن عدد سكان الوالية بسيط مقارنة بالواليات األخرى‪ ،‬إال أن التركيب‬
‫العمري للسكان يشير إلى أن ‪ %25.21‬هم في سن التعليم الجامعي بمختلف مستوياته أو في سن االنتظار‬
‫للدخول للجامعة‪ ،‬كما أن أولويات إنفاقه ال يجد منها اإلنفاق على التعليم حظه‪ .‬كما يتضح ارتفاع معدل‬
‫البطالة وسط الشريحة في سن التعليم الجامعي وما بعده‪ ،‬األمر الذي قد يعكس عدم مواءمة المخرجات‬
‫التعليمية لسوق العمل حالياً‪ ،‬والذي سيعود بدوره على المدى البعيد بخفض الطلب على التخصصات التي‬
‫يحملونها‪ ،‬وربما يزداد الطلب والعرض على التخصصات األخرى ذات العالقة باحتياجات سوق العمل‬
‫بالوالية‪ .‬كذلك تبين المراحل التعليمية التي تحصل عليها سكان الوالية أن عدد السكان الذين نالوا تعليماً‬
‫جامعياً بمستوياته المختلفة بلغ (‪ ،)30132‬وبما أن عدد السكان في سن التعليم قبل الجامعي يشكلون‬
‫نسبة‪ % 35.02‬تبقى النسبة المكملة ‪ %22.83‬من عدد السكان لمن هم في سن التعليم الجامعي فما فوق‬
‫بعدد (‪ ،)232182‬بذلك تصبح نسبة الذين نالوا تعليماً جامعياً ألي مستوى منهم تشكل حوالي ‪ ،%2‬وهي‬
‫نسبة ضعيفة مقارنة بعدد السكان‪ ،‬والذي إن أحسن عرض خدمات تعليمية وربطها بمجاالت وظيفية مختلفة‬
‫وبمحفزات ألمكن توجيه الطلب على تلك الخدمات التعليمية التي تعرضها جامعة دنقال بالوالية الشمالية‪،‬‬
‫وذلك باستخدام الوسائل المناسبة‪.‬‬
‫يشير (دليل القبول لمؤسسات التعليم العالي لمستوى البكالوريوس والدبلوم التقني للعام‬
‫الجامعي‪2011‬م‪2012-‬م) إلى أن النظام التعليمي للتعليم العالي في السودان يتكون من ثالثين جامعة‬
‫حكومية وما يزيد عن األربعين مؤسسة أهلية للتعليم العالي تعمل على مختلف المستويات وبأساليب متنوعة‪،‬‬
‫وذلك نتيجة لثورة التعليم العالي بالسودان عام ‪1880‬م والتي هدفت إلى توسيع وانشاء مؤسسات تعليمية‬
‫بالبالد الستيعاب الزيادة في أعداد الطالب المقبولين‪ ،‬والعمل على تنمية موارد البالد علمياً واقتصادياً‬
‫واجتماعياً‪...‬الخ‪ ،‬حيث يشير( دليل جامعة دنقال لعام ‪2002‬م) أن جامعة دنقال أنشئت في عام ‪ 1882‬م‬
‫بثالثة كليات لتصبح اآلن خمسة عشر كلية‪.‬‬
‫يوضح (دليل القبول لمؤسسات التعليم العالي لمستوى البكالوريوس والدبلوم التقني للعام‬
‫الجامعي‪2011‬م‪2012-‬م) المعروض من الكليات بتخصصاتها المختلفة‪ ،‬والتي تتمثل في كلية العلوم‬
‫الزراعية – دنقال السليم‪ ،‬كلية اآلداب والدراسات اإلنسانية ‪ -‬كريمة‪ ،‬كلية علوم األرض والتعدين بوادي‬
‫حلفا‪ ،‬كلية الشريعة والقانون ‪ -‬رومي البكري‪ ،‬كلية التربية القسم األدبي ‪ -‬مروي‪ ،‬كلية التربية معلمين‪-‬‬
‫دنقال‪ ،‬كلية الطب والعلوم الصحية ‪ -‬دنقال‪ ،‬كلية االقتصاد والعلوم اإلدارية – دنقال السليم‪ ،‬كلية التربية‬
‫معلمين قسم األحياء‪ -‬دنقال‪ ،‬كلية التقانة والتنمية البشرية علوم الحاسوب‪ -‬دنقال‪ ،‬كلية التقانة والتنمية البشرية‬
‫تقنية المعلومات‪ -‬دنقال‪ ،‬كلية التربية القسم األدبي لغة عربية ودراسات إسالمية– رومي البكري‪ ،‬كلية‬
‫التربية القسم األدبي لغة إنجليزية– رومي البكري‪ ،‬كلية التربية قسم الرياضيات‪ -‬دنقال‪ ،‬وفي هذا العام سيتم‬
‫إنزال العلوم اإلدارية – رومي البكري بدليل القبول‪ .‬إضافة لذلك توجد كلية الدراسات العليا – دنقال‪ .‬إن‬
‫الخدمات التعليمية التي تعرضها جامعة دنقال تركز على الكليات ذات التخصصات النظرية وليست‬
‫التطبيقية‪ ،‬عدا كليات الطب والتعدين والزراعة‪ ،‬ولعل التركيز على الكليات النظرية قد يكون مردة كلفها‬
‫البسيطة مقارنة مع الكلف العالية للكليات التطبيقية‪.‬‬
‫على صعيد متصل في جانب الطلب على الخدمات التعليمية من قبل الطالب الناجحون في امتحان‬
‫الثانوية بالوالية الشمالية‪ ،‬والمتقدمين لاللتحاق بالجامعات السودانية يشير (تحليل القبول للجامعات السودانية‬
‫بوزارة التربية والتعليم بالوالية الشمالية للعام ‪2011‬م) أن عدد الطالب والطلبات الذين جلسوا المتحان‬
‫الشهادة الثانوية بالوالية بلغ عددهم (‪ )8252‬نجح منهم عدد (‪ )2132‬ليتم قبول عدد (‪)3222‬‬
‫بنسبة‪ %21.1‬بالجامعات السودانية المختلفة‪ .‬حيث توزع هؤالء الطالب المقبولين بالجامعات السودانية‬
‫على كليات التربية بعدد (‪ 223‬طالب وطالبة)‪ ،‬اآلداب بعدد (‪ 225‬طالب وطالبة)‪ ،‬االقتصاد بعدد (‪238‬‬
‫طالب وطالبة)‪ ،‬علوم الحاسوب بعدد (‪ 233‬طالب وطالبة)‪ ،‬الهندسة بعدد (‪ 225‬طالب وطالبة) الشريعة‬
‫والقانون بعدد (‪ 222‬طالب وطالبة)‪ ،‬تقنية المعلومات بعدد (‪ 12‬طالب وطالبة)‪ ،‬إدارة األعمال بعدد (‪28‬‬
‫طالب وطالبة)‪ ،‬إعالم بعدد (‪ 21‬طالب وطالبة)‪ ،‬تجاره بعدد (‪ 22‬طالب وطالبة)‪ ،‬مختبرات بعدد (‪55‬‬
‫طالب وطالبة)‪ ،‬دراسات محاسبية بعدد (‪ 21‬طالب وطالبة)‪ ،‬التمريض بعدد (‪ 20‬طالب وطالبة)‪ ،‬الفيزياء‬
‫والرياضيات بعدد (‪ 32‬طالب وطالبة)‪ ،‬الطب بعدد (‪ 33‬طالب وطالبة)‪ ،‬التربية معلمين بعدد (‪ 32‬طالب‬
‫وطالبة)‪ ،‬علوم االتصال بعدد (‪ 20‬طالب وطالبة)‪ ،‬إدارة المحاسبة والبنوك بعدد (‪ 18‬طالب وطالبة)‪ ،‬علم‬
‫النفس بعدد (‪ 11‬طالب وطالبة)‪ ،‬الصيدلة بعدد (‪ 11‬طالب وطالبة)‪ ،‬محاسبة بعدد (‪ 15‬طالب وطالبة)‪،‬‬
‫تسويق ومبيعات بعدد (‪ 15‬طالب وطالبة)‪ ،‬وأخرى يصل المقبولين بها دون هذا العدد األخير بعدد (‪1222‬‬
‫طالب وطالبة)‪ .‬نجد أن الذين قبلوا بالجامعات السودانية من أبناء الوالية الشمالية الناجحون في الشهادة‬
‫السودانية ال يصلون إلى النصف‪ ،‬كما أن بعضهم قبل بكليات ال توجد بجامعة دنقال مثل كليات الهندسة‬
‫واإلعالم والتجارة والصيدلة واالتصاالت والبنوك والتسويق‪.‬‬
‫في سياق متصل توضح اإلحصاءات المتوفرة بأمانة الشئون العلمية بجامعة دنقال عن الطالب‬
‫المسجلين من العام ‪2003‬م وحتى العام ‪2011‬م اآلتي‪:‬‬
‫الجدول (‪ )1‬يوضح إحصاءات الطالب المسجلين بجامعة دنقال من العام‪2003‬م و حتى ‪2011‬م‬
‫الكلية‬
‫‪2011 2010 2008 2001 2002 2002 2005 2002 2003‬‬
‫الطب والعلوم الصحية‬
‫‪232‬‬
‫‪212‬‬
‫‪280‬‬
‫‪321‬‬
‫‪235‬‬
‫‪210‬‬
‫‪525‬‬
‫‪382‬‬
‫‪222‬‬
‫العلوم الزراعية‬
‫‪231‬‬
‫‪320‬‬
‫‪255‬‬
‫‪352‬‬
‫‪322‬‬
‫‪351‬‬
‫‪355‬‬
‫‪382‬‬
‫‪320‬‬
‫علوم األرض و التعدين‬
‫‪102‬‬
‫‪121‬‬
‫‪302‬‬
‫‪328‬‬
‫‪381‬‬
‫‪225‬‬
‫‪258‬‬
‫‪512‬‬
‫‪510‬‬
‫اآلداب والدراسات اإلنسانية‬
‫‪232‬‬
‫‪215‬‬
‫‪521‬‬
‫‪501‬‬
‫‪530‬‬
‫‪530‬‬
‫‪222‬‬
‫‪232‬‬
‫‪222‬‬
‫االقتصاد و العلوم اإلدارية‬
‫‪232‬‬
‫‪232‬‬
‫‪322‬‬
‫‪221‬‬
‫‪522‬‬
‫‪525‬‬
‫‪201‬‬
‫‪233‬‬
‫‪101‬‬
‫الشريعة و القانون‪-‬رومي‬
‫‪300‬‬
‫‪323‬‬
‫‪235‬‬
‫‪222‬‬
‫‪312‬‬
‫‪383‬‬
‫‪200‬‬
‫‪551‬‬
‫‪525‬‬
‫البكري‬
‫التربية أدبي – مروي‬
‫‪205‬‬
‫‪525‬‬
‫‪523‬‬
‫‪523‬‬
‫‪522‬‬
‫‪212‬‬
‫‪251‬‬
‫‪252‬‬
‫‪222‬‬
‫‪112‬‬
‫التربية معلمين‪-‬دنقال‬
‫‪210‬‬
‫‪232‬‬
‫‪323‬‬
‫التربية علمي – أحياء‪-‬‬
‫‪223‬‬
‫‪328‬‬
‫‪328‬‬
‫‪225‬‬
‫‪221‬‬
‫‪35‬‬
‫‪28‬‬
‫‪103‬‬
‫‪132‬‬
‫دنقال‬
‫‪55‬‬
‫التربية أدبي ‪-‬رومي البكري‬
‫التربية علمي–رياضيات‪-‬‬
‫‪121‬‬
‫‪181‬‬
‫‪25‬‬
‫‪22‬‬
‫دنقال‬
‫التقانة – علوم حاسوب‪-‬‬
‫‪122‬‬
‫دنقال –تقنية معلومات‬
‫المصدر‪ :‬أمانة الشؤون العلمية بجامعة دنقال‪3102 ،‬م‬
‫يتضح من الجدول (‪ )1‬أن الطلب ظل في تزايد مستمر من العام األول إلى األخير للمعروض من‬
‫الخدمات التعليمية لجامعة دنقال لجميع كليات الجامعة بتخصصاتها المختلفة (خاصة كلية التعدين بنسبة زيادة‬
‫‪ ،%311‬وكلية التربية معلمين بنسبة ‪ ،%302‬وكلية االقتصاد والعلوم اإلدارية بنسبة زيادة ‪ ،%221‬وكلية‬
‫اآلداب والدراسات اإلنسانية بنسبة زيادة ‪ ،%221‬وكلية الطب بنسبة زيادة‪ )%10‬إال أن كلية العلوم الزراعية‬
‫الوحيدة التي ظل الطلب عليها في تراجع مستمر‪ .‬ولعل زيادة الطلب على كليات التربية يعود إلى التوسع في‬
‫توظيف أعداد مقدرة من المعلمين بالوالية‪ ،‬كما أن الطلب على كلية علوم األرض والتعدين يعود إلى إنتاج‬
‫النفط ومشتقاته بالسودان في مرحلة ما قبل انفصال الجنوب والتحول إلى البحث عن ثروات أخري في باطن‬
‫األرض لتعويض النفط المفقود‪.‬‬
‫على صعيد متصل توضح نسب القبول بالنوع الطلب على الخدمات التعليمية التي تقدمها جامعة‬
‫دنقال‪ ،‬وذلك حسب التالي‪:‬‬
‫الجدول (‪ )2‬يوضح نسب القبول العام لجامعة دنقال من العام‪2003‬م و حتى ‪2011‬م‬
‫الكلية‬
‫النوع‬
‫‪2011 2010 2008 2001 2002 2002 2005 2002 2003‬‬
‫الطب والعلوم‬
‫طالب‬
‫‪12.1 12.1‬‬
‫‪12 12.1 12.1 12.2 12.8 12.1 15.2‬‬
‫الصحية‬
‫العلوم الزراعية‬
‫طالبات ‪11 12.2 12.8 12.3 12.2 12.5‬‬
‫‪11 11.5 12.2‬‬
‫‪50‬‬
‫‪50‬‬
‫‪50‬‬
‫‪50‬‬
‫‪25 25.3‬‬
‫‪22‬‬
‫‪50‬‬
‫طالب‬
‫‪50 52.2‬‬
‫‪50‬‬
‫‪50‬‬
‫طالبات ‪50 58.2‬‬
‫‪50‬‬
‫‪25 58.2‬‬
‫التعدين‬
‫طالب‬
‫اآلداب والدراسات‬
‫طالب‬
‫اإلنسانية‬
‫اإلدارية‬
‫الشريعة و‬
‫القانون‬
‫التربية أدبي –‬
‫مروي‬
‫التربية معلمين‪-‬‬
‫دنقال‬
‫التربية علمي –‬
‫أحياء‬
‫التربية أدبي –‬
‫رومي البكري‬
‫التربية علمي –‬
‫‪21 22.2 22.1 22.3 21.2 21.2 25.2 22.2 22.2‬‬
‫‪23 22.1‬‬
‫طالبات ‪22 23.8‬‬
‫االقتصاد و العلوم طالب‬
‫‪21 22.8 22.8‬‬
‫‪21.8 28.2 21.8 21.3‬‬
‫‪21.2 21.1 20.3 28.3 21.1 22.1 25.3‬‬
‫‪23 22.2 21.2 21.2 20.8‬‬
‫طالبات ‪23 22.3 21.2‬‬
‫طالب‬
‫‪50‬‬
‫‪23.3 22.3 22.1 23.2‬‬
‫‪22 22.2 23.2‬‬
‫‪20 28.1 22.8 22.8‬‬
‫‪22.2 22.2 22.2‬‬
‫‪21.1 21.1 21.2 21.2 21.3‬‬
‫طالبات ‪20 20.2 21.2 22.8 22.1 22.2‬‬
‫‪28.2 21.1 20.2‬‬
‫‪20 28.1 22.2 25.2 23.1‬‬
‫‪28.2 20.2‬‬
‫طالب‬
‫‪22‬‬
‫‪21‬‬
‫طالبات ‪22.2 23.2 23.3 23.1 20.2 28.1 22.2 22.3 22.2‬‬
‫طالب‬
‫‪22‬‬
‫‪20 28.8 28.3 22.2 22.2 22.1‬‬
‫‪21.2 20.2‬‬
‫‪25 22.1‬‬
‫‪22.2 22.1‬‬
‫طالبات ‪22 23.2 21.2 21.2 25.1‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪50‬‬
‫‪50‬‬
‫‪50‬‬
‫طالب‬
‫طالبات ‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪21 21.3 21.1‬‬
‫‪22‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪22‬‬
‫طالبات ‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪21.3 28.2‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫طالب‬
‫طالب‬
‫‪50‬‬
‫‪-‬‬
‫‪28.1‬‬
‫‪50‬‬
‫رياضيات‬
‫التقانة ‪ -‬علوم‬
‫حاسوب وتقنية‬
‫معلومات‬
‫طالبات ‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪21.2‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪23.2‬‬
‫طالبات ‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪25.3‬‬
‫طالب‬
‫المصدر‪ :‬أمانة الشؤون العلمية بجامعة دنقال‪3102 ،‬م‬
‫يتضح من الجدول (‪ )2‬أن المنافسة بين الطلبة والطالبات في االلتحاق بكلياتهم كانت في جميع‬
‫الكليات لصالح الطالبات من خالل علو نسب قبول الطالبات عن الطالب‪ ،‬عدا كلية الشريعة والقانون‪ ،‬والتي‬
‫ظل فيها علو نسب القبول لصالح الطالب وليست الطالبات‪ ،‬كذلك نجد أن نسب القبول بالكليات ظلت ترتفع‬
‫من عام آلخر‪ ،‬لتصبح الزيادة في نسبة القبول لكلية التعدين ‪ ،%2.2‬وكلية التربية معلمون ‪ ،%11.3‬وكلية‬
‫االقتصاد والعلوم اإلدارية ‪ ،%3.2‬وكلية اآلداب والدراسات اإلنسانية بنسبة زيادة ‪ ،%2.1‬وكلية الطب‬
‫‪ ،%1.5‬التربية أدبي مروي ‪ ،%1‬الشريعة والقانون ‪.%2.2‬‬
‫بالنسبة للمصروفات الدراسية المفروضة على الطالب مقابل التعليم لمستوى البكالريوس بجامعة‬
‫دنقال تشير (تقارير أمانة الشئون العلمية‪،‬يوليو‪2012‬م) أن رسوم التسجيل السنوية للطالب المقبولين قبول‬
‫عام (‪100‬ج) والمقبولين قبول خاص (‪150‬ج) إضافة للمصروفات الدراسية السنوية للطالب المقبولين قبول‬
‫عام بواقع (‪250‬ج) لكلية الطب والعلوم الصحية‪500( ،‬ج) لكلية علوم األرض والتعدين‪250( ،‬ج) لكلية‬
‫االقتصاد والعلوم اإلدارية‪200( ،‬ج) لكليات العلوم الزراعية واآلداب والدراسات اإلنسانية والتربية أدبي‬
‫والتربية معلمين‪ ،‬والشريعة والقانون (‪300‬ج)‪ .‬أما المقبولين قبول خاص فمصروفاتهم الدراسية تبلغ في العام‬
‫(‪1000‬ج) لكلية الطب والعلوم الصحية‪1250( ،‬ج) لكليات االقتصاد والتربية معلمين والزراعة والتعدين‬
‫والتقانة‪1000( ،‬ج) لكليات اآلداب والشريعة والتربية أدبي والتربية رومي البكري‪ .‬يالحظ بالنسبة للمصروفات‬
‫الدراسية التي تتلقاها جامعة دنقال مقابل الخدمات التعليمية التي تقدمها أنها تعد األقل بين الجامعات‬
‫إن ذلك يمكن أن يدفع نحو زيادة الطلب على الخدمات السودانية‪ ،‬سواء كانت للقبول العام أو الخاص‪.‬‬
‫التعليمية التي تقدمها جامعة دنقال‪.‬‬
‫بذات الصدد تساهم جامعة دنقال بعرض الخدمات التعليمية على مستوى الدراسات العليا لمستويات‬
‫الدبلوم العالي والماجستير والدكتوراه لجميع التخصصات المعروضة على مستوى البكاالريوس‪ .‬والجدول‬
‫التالي يوضح التخصصات وأعداد الطالب الحاصلين والمسجلين لنيل الدرجات العلمية لها لمختلف‬
‫المستويات بكلية الدراسات العليا‪:‬‬
‫الجدول (‪ )2‬التخصصات وأعداد الطالب الحاصلين والمسجلين لها بكلية الدراسات العليا‬
‫مستوى الدبلوم العالي‬
‫التخصص‬
‫مستوى الدكتوراه‬
‫مستوى الماجستير‬
‫عدد‬
‫عدد‬
‫إدارة األعمال‬
‫‪21‬‬
‫‪22‬‬
‫‪20‬‬
‫المحاسبة‬
‫‪20‬‬
‫‪2‬‬
‫‪22‬‬
‫‪22‬‬
‫اقتصاد‬
‫‪12‬‬
‫‪1‬‬
‫‪11‬‬
‫‪15‬‬
‫‪1‬‬
‫شريعة وقانون‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪12‬‬
‫‪10‬‬
‫‪22‬‬
‫اللغة العربية‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪8‬‬
‫‪2‬‬
‫‪12‬‬
‫‪-‬‬
‫علم االجتماع‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪2‬‬
‫‪8‬‬
‫‪11‬‬
‫‪-‬‬
‫‪-‬‬
‫اآلثار‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪2‬‬
‫‪5‬‬
‫‪12‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫دراسات‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪1‬‬
‫‪10‬‬
‫‪11‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫الحاصلين المسجلين‬
‫المجموع‬
‫عدد‬
‫عدد‬
‫‪21‬‬
‫‪12‬‬
‫‪33‬‬
‫‪12‬‬
‫‪22‬‬
‫‪10‬‬
‫‪23‬‬
‫‪2‬‬
‫‪2‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‬‫‪-‬‬
‫الحاصلين المسجلين‬
‫المجموع‬
‫عدد‬
‫عدد‬
‫‪5‬‬
‫‪5‬‬
‫‪10‬‬
‫‪5‬‬
‫‪15‬‬
‫‪10‬‬
‫الحاصلين المسجلين‬
‫المجموع‬
‫إسالمية‬
‫مكتبات‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫‪2‬‬
‫‪5‬‬
‫‪12‬‬
‫‪-‬‬
‫‪-‬‬
‫‪-‬‬
‫ومعلومات‬
‫أخرى‬
‫‪5‬‬
‫‪2‬‬
‫‪8‬‬
‫‪25‬‬
‫‪21‬‬
‫‪53‬‬
‫‪21‬‬
‫‪31‬‬
‫‪58‬‬
‫المجموع‬
‫‪80‬‬
‫‪31‬‬
‫‪121‬‬
‫‪135‬‬
‫‪111‬‬
‫‪222‬‬
‫‪22‬‬
‫‪22‬‬
‫‪82‬‬
‫المصدر‪ :‬مكتب مسجل كلية الدراسات العليا بجامعة دنقال‪3102 ،‬م‬
‫يتضح من الجدول (‪ )3‬أن الطلب على الدراسات العليا بجامعة دنقال تمثل بعدد(‪ )121‬لمستوى‬
‫الدبلوم العالي‪ ،‬وعدد (‪ ) 222‬لمستوى الماجستير‪ ،‬وعدد(‪ )82‬لمستوى الدكتوراه‪ ،‬ليصبح جملة الطلب بعدد‬
‫(‪ ،)221‬تحصل منهم (‪ )222‬على درجاتهم العلمية‪ ،‬وعدد (‪ )118‬ما زالوا مسجلين لنيل الدرجات‪ .‬كما‬
‫يتضح أن هنالك طلب على تخصصات إدارة األعمال والمحاسبة واالقتصاد على مستوى الدبلوم العالي‪،‬‬
‫وعلى مستوى الماجستير هنالك طلب على تخصصات المحاسبة وادارة األعمال واالقتصاد والشريعة والقانون‬
‫والدراسات اإلسالمية واللغة العربية واآلثار والمكتبات والمعلومات وعلم االجتماع‪ ،‬وعلى مستوى الدكتوراه‬
‫هنالك طلب على تخصصات المحاسبة وادارة األعمال واالقتصاد‪ .‬بالرغم من أن جامعة تعمل على عرض‬
‫خدماتها التعليمية لمستوى الدراسات العليا لجميع التخصصات التي تعرض على مستوى البكالريوس‪ ،‬إال أن‬
‫الطلب يرتكز على تخصصات إدارة األعمال والمحاسبة واالقتصاد‪ ،‬والتي تتبع لكلية االقتصاد والعلوم‬
‫اإلدارية‪ ،‬إضافة لبعض التخصصات على مستوى الماجستير مثل الشريعة والقانون والدراسات اإلسالمية‬
‫واللغة العربية واآلثار وعلم االجتماع والمكتبات والمعلومات‪ .‬ولعل تزايد الطلب على هذه التخصصات مرده‬
‫رغبة منسوبي الخدمة العامة بالوالية الشمالية في الحصول على هذه التخصصات‪.‬‬
‫بالنسبة للمصروفات الدراسة بكلية الدراسات العليا بجامعة دنقال تشير (تقارير مسجل كلية الدراسات‬
‫العليا‪ ،‬يونيو ‪2012‬م) أن رسوم التسجيل موحدة لكل المستويات والفئات بواقع (‪310‬ج) للدرجة‪ .‬أما‬
‫المصروفات الدراسية لمستوى الدبلوم العالي نظري (‪1500‬ج) والتطبيقي (‪2000‬ج)‪ ،‬الماجستير نظري‬
‫(‪3500‬ج) والتطبيقي (‪2000‬ج) والدكتوراه نظري (‪2000‬ج) والتطبيقي (‪2000‬ج)‪ .‬وللمؤسسات تبلغ رسوم‬
‫الماجستير نظري وعملي (‪2000‬ج) و الدكتوراه (‪1000‬ج) كذلك‪ .‬واألجانب (‪1000‬ج) للماجستير‬
‫وللدكتوراه (‪12000‬ج)‪ .‬يالحظ كذلك أن المصروفات الدراسية تعد األقل بين الجامعات السودانية‪.‬‬
‫من زاوية أخرى يالحظ غياب النظم التشاركية للجهات ذات العالقة بتقديم وتلقي الخدمات التعليمية‬
‫التي تقدمها الجامعات في السودان‪ ،‬وجامعة دنقال على وجه التحديد‪ ،‬فو ازرة التعليم العالى والبحث العلمي‬
‫وهي الو ازرة التي تتبع لها الجامعات وفي ظل ثورة التعليم العالي وانتشار الجامعات الوالئية ووجود تقاطعات‬
‫ومصالح محلية ربما يربك الخطط المركزية إن وجدت لمعالجة الخلل في تقديم وتلقي الخدمات التعليمية‪،‬‬
‫كذلك نجد سوق العمل بعيد كل البعد عن المشاركة ولعب دور مهم‪ ،‬حاصة الشق الخاص منه‪ ،‬مع بروز‬
‫القطاع العام كمخدم رئيس للخريجين‪ ،‬زد على ذلك فمجلس أمناء الجامعة‪ ،‬وهو الجهة المخولة للتخطيط‬
‫للجامعة عادة ما يعقد مرة واحدة في العام وقد يغيب ألعوام عن الساحة‪ ،‬كما أن تشكيل عضويته ومكان‬
‫انعقاده بالعاصمة الخرطوم قد يحد من فعاليته‪ ،‬ولعل الموائمة بين العرض والطلب على الخدمات التعليمية‬
‫أبعد ما يكون عن اهتماماته‪ ،‬أما الطالب وأولياء أمورهم وبقية قطاعات المجتمع األخرى فهى مغيبة عن‬
‫المشاركة في األمر‪.‬‬
‫يتضح من ذلك غياب المنهج التشاركي بين قطاعات المجتمع المختلفة ذات المصلحة في تقديم‬
‫وتلقي الخدمات التعليمية بجامعة دنقال‪ ،‬وبتالي يظل الموقف الحاكم هوالنسب التي يتحصل عليها الطالب‬
‫من جهة‪ ،‬ومقدرات الطالب المالية من جهة ثانية‪ ،‬ورغبات الطالب وأولياء أمورهم والمرتبطة بشكل اساس‬
‫بثقافات إجتماعية محددة من جهة ثالثة‪ ،‬هي المحدد للطلب على الخدمات التعليمية التي تقدمها الجامعة‪.‬‬
‫استنتاجات بشأن العرض والطلب على الخدمات التعليمية لجامعة دنقال‪:‬‬
‫‪ .1‬باستقراء الخصائص السكانية إلنسان الوالية يتضح قلة عدد سكان الوالية‪ ،‬وضعف إنفاقهم على‬
‫التعليم‪ ،‬إضافة الرتفاع معدل البطالة وسط الشريحة المستهدفة من هذه الورقة‪.‬‬
‫‪ .2‬بالنسبة للذين تلقوا تعليماً جامعياً فما فوق يتضح قلة العدد‪ ،‬إذ ال تتعدى نسبتهم ‪ %2‬من عدد‬
‫السكان من الشريحة المستهدفة‪.‬‬
‫‪ .3‬يتضح بالنسبة لعرض الخدمات التعليمية التي تقدمها جامعة دنقال للتخصصات المختلفة عبر كلياتها‬
‫العديدة أن أغلب تلك التخصصات نظرية وليست تطبيقية‪ ،‬كما أنها ليست متنوعة بالحجم الذي‬
‫يغطي الطلب على الخدمات التعليمية بالوالية‪.‬‬
‫‪ .2‬في جانب الطلب للناجحون في امتحانات الشهادة السودانية الثانوية على الخدمات التعليمية على‬
‫مستوى التعليم الجامعي (البكالريوس) يتضح زيادة الطلب على كليات التربية واآلداب واالقتصاد‬
‫وعلوم الحاسوب والهندسة والشريعة والقانون وتقنية المعلومات وادارة األعمال واعالم وتجارة‬
‫ومختبرات‪.‬‬
‫‪ .5‬تم قبول طالب وطالبات من أبناء الوالية بالجامعات السودانية األخرى بخالف جامعة دنقال (جامعة‬
‫الوالية) في تخصصات ال توجد بجامعة دنقال‪ ،‬مثل الهندسة واإلعالم والتجارة والصيدلة واالتصاالت‬
‫والبنوك والتسويق‪ ،‬وبأعداد مقدرة‪ ،‬األمر الذي يشكل خصماً على جانب العرض للخدمات التعليمية‬
‫بجامعة دنقال‪.‬‬
‫‪ .2‬هنالك زيادة في الطلب على الخدمات التعليمية بجامعة دنقال‪ ،‬والتي تقدمها كليات علوم األرض‬
‫والتعدين والتربية معلمين واالقتصاد والعلوم اإلدارية واآلداب والدراسات اإلنسانية والعلوم الطبية‪.‬‬
‫‪ .2‬شهد الطلب على الخدمات التعليمية التي تقدمها كلية العلوم الزراعية بجامعة دنقال تراجعاً مستم اًر‪،‬‬
‫واذا إستمر الحال على هذا المنوال ربما ستجفف بعض التخصصات إن لم تكن الكلية ككل‪.‬‬
‫‪ .1‬إن المنافسة بين الطلبة والطالبات في االلتحاق بكلياتهم (الطلب) جاءت لصالح الطالبات‪ ،‬وذلك من‬
‫خالل ارتفاع نسب القبول للطالبات عن الطالب لجميع كليات الجامعة‪ ،‬عدا كلية الشريعة والقانون‪،‬‬
‫والتي ظل الطالب يتفوقون في المنافسة على الطالبات‪.‬‬
‫‪ .8‬هنالك طلب متزايد على تخصصات إدارة األعمال والمحاسبة واالقتصاد‪ ،‬ولمستويات الدبلوم العالي‬
‫والماجستير والدكتوراه بكلية الدراسات العليا بجامعة دنقال‪.‬‬
‫‪.10‬‬
‫بالنسبة للمصروفات الدراسية للقبول العام لمستوى البكالريوس‪ ،‬أو الدراسة على النفقة‬
‫الخاصة والدراسات العليا‪ ،‬نجدها تعد األقل بين جميع الجامعات السودانية األخرى‪ ،‬الذي يمكن أن‬
‫يشكل عامل جذب لزيادة الطلب على الخدمات التعليمية التي تقدمها جامعة دنقال‪ ،‬إال أنه في نفس‬
‫الوقت يظل محدوداً في ظل الخيارات المحدودة للخدمات التعليمية التي يتم عرضها‪.‬‬
‫‪.11‬‬
‫يتضح أنه ال يتم دراسة الطلب على الخدمات التعليمية أول بأول بجامعة دنقال‪ ،‬وبالتالي‬
‫‪.12‬‬
‫يتضح أن هنالك خلل في المواءمة بين العرض والطلب على الخدمات التعليمية التي تقدمها‬
‫التالي ال يتم الربط بين العرض والطلب على تلك الخدمات التعليمية المقدمة‪.‬‬
‫جامعة دنقال‪ ،‬الظاهر من خالل التحاق اعداد كبيرة من الحاصلين على الشهادة السودانية‬
‫بتخصصات أخرى بجامعات أخري‪ ،‬وحتى من خالل اقبال الطالب على كليات بتخصصات معينة‬
‫وعزوف البعض عن اإللتحاق بكليات وتخصصات أخرى‪ ،‬كذلك يتضح هذا الخلل حتي في الطلب‬
‫على تخصصات محددة داخل الكلية الواحدة وعدم الرغبة في تخصصات معينة‪.‬‬
‫‪.13‬‬
‫يتضح غياب المشاركة لقطاعات المجتمع المختلفة في العمل على معالجة الخلل المتواجد‬
‫في عدم المواءمة بين العرض والطلب على الخدمات التعليمية التي تقدمها الجامعة‪.‬‬
‫التوصيات‪ :‬إن التعرض للموائمة بين العرض والطلب على الخدمات التعليمية في سياق هذه الورقة‪ ،‬ينبغي‬
‫أن يصب تجاه جوانب محددة‪ ،‬ومن أهم التوصيات التي يمكن تناولها في هذا المجال هي‪:‬‬
‫‪ .1‬العمل على تغيير الثقافة اإلجتماعية إلنسان الوالية تجاه التعليم‪ ،‬مع ضرورة إعادة صياغة أولويات‬
‫إنفاقه‪ ،‬بالشكل الذي يجعل اإلنفاق على التعليم في أعلى سلم األولويات‪ ،‬على اعتبار أن اإلنسان‬
‫المتعلم يستطيع أن يسهم في أوجه اإلنفاق األخرى بصورة إيجابية‪ ،‬األمر الذي يعلي من أهمية‬
‫االستثمار في التعليم‪.‬‬
‫‪ .2‬على القائمين على أمر التعليم بالوالية السعي من أجل أن ينال جميع سكان الوالية في سن التعليم‬
‫الجامعي بمختلف مستوياته‪ ،‬وكل قادر فاته ركب التعليم الجامعي حظهم من التعليم‪ ،‬وذلك حتى يتم‬
‫تحسين نسبة الذين نالوا تعليماً جامعياً من أبناء الوالية‪.‬‬
‫‪ .3‬ضرورة االستثمار في رأس المال البشري عن طريق التعليم‪ ،‬ولكن حتى حد معين‪ ،‬ألن اإلسراف في‬
‫التعليم سيترتب عليه ضياع في موارد نادرة دون عائد حقيقي‪ ،‬ولذلك فمن يريد الخدمة التعليمية بعد‬
‫مستوى معين يجب أن يدفع كل أو جزء من التكلفة االجتماعية لهذه الخدمة‪ ،‬مع إعطاء دعم‬
‫للمتفوقين والنابغين‪.‬‬
‫‪ .2‬على إدارة جامعة دنقال عند عرض خدماتها التعليمية الموازنة بين التخصصات النظرية والتطبيقية‬
‫على أقل تقدير‪ ،‬إن لم يكن زيادة التخصصات التطبيقية نسبة لزيادة الطلب عليها‪.‬‬
‫‪ .5‬ينبغي إلدارة جامعة دنقال زيادة المعروض من التخصصات‪ ،‬خاصة تلك التي يمكن ضمها لكليات‬
‫قائمة أصالً‪ ،‬مثل ضم تخصصات البنوك والتجارة والتسويق لكلية االقتصاد والعلوم اإلدارية‪ ،‬وذلك‬
‫من أجل زيادة العرض الذي عليه طلب موجود كان يذهب لجامعات أخرى‪.‬‬
‫‪ .2‬ضرورة أن تسعى إدارة جامعة دنقال إلى فتح الكليات التي عليها طلب متزايد مثل الهندسة واإلعالم‬
‫والصيدلة واالتصاالت‪.‬‬
‫‪ .2‬على إدارة جامعة دنقال االلتفات إلى أمر كلية العلوم الزراعية‪ ،‬والسعي إلعادة تشكيل المعروض من‬
‫خدماتها التعليمية وتطويرها‪ ،‬حتى يعود األمر بزيادة الطلب على الخدمات التعليمية التي تعرضها‬
‫كلية العلوم الزراعية‪.‬‬
‫‪ .1‬على إدارة الجامعة المحافظة على الفئات المحددة للرسوم الدراسية‪ ،‬وأن ال بد من الزيادة يجب أن ال‬
‫تصل إلى الرسوم المقررة بالجامعات األخرى‪ ،‬وذلك من أجل خلق هامش يمكن أن يلعب دو اًر في‬
‫زيادة الطلب على الخدمات التعليمية التي تقدمها‪.‬‬
‫‪ .8‬العمل على عدم ربط الوظائف بالشهادات حتى ال يبالغ الشباب في طلب الخدمة التعليمية‪ ،‬بل‬
‫يتعين أن يوضع توصيف لمتطلبات كل وظيفة والمؤهالت التي تتطلبها‪.‬‬
‫‪.10‬‬
‫‪.11‬‬
‫يجب ربط األجور بالوظائف‪ ،‬وليس بالشهادات‪ ،‬حتى يتم ترشيد الخدمة التعليمية‪.‬‬
‫تقديم برامج إرشادية في مراحل المدرسة ليختار الطالب مجال الدراسة الذي يؤهله للعمل‬
‫مباشرة فور إنهائه الدراسة المدرسية‪.‬‬
‫‪.12‬‬
‫أن تعمل الجامعة إلى إعادة هيكلة برامجها والتخصصات التي تطرحها وتعمل على تطوير‬
‫أساليب التدريس الجامعي واالهتمام بتدريب طلبتها أثناء دراستهم واكسابهم المهارات الالزمة للعمل‬
‫أو الوظيفة‪.‬‬
‫‪.13‬‬
‫يجب على المشغلين للخريجين أن يستخدموا معايير موضوعية في اختيار موظفيهم‪.‬‬
‫‪.12‬‬
‫أن تأخذ الجامعة بعين االعتبار االهتمام بالتدريب أثناء الدراسة وتعريف الطلبة بالمؤسسات‬
‫التي يمكن أن تشغلهم من أجل التدريب ليكتسبوا الخبرة من أهل العمل بعد التخرج وفتح المجال‬
‫أمامهم لالطالع على ما يجد في مجال عملهم ومتابعتهم لتحصل الجامعة على التغذية المرتدة‬
‫وتستفيد منها في تطوير برامجها المنهجية والالمنهجية‪.‬‬
‫‪.15‬‬
‫العمل على إكساب طالب الجامعات والكليات المهارات المختلفة التي أثبتت الدراسة‬
‫أهميتها لسوق القطاع الخاص بكافة الطرق والوسائل المختلفة‪ .‬حيث أثبتت الدراسة على سبيل‬
‫المثال أهمية امتالك هؤالء الخريجين للمهارات السلوكية المختلفة من اإلخالص والجدية في العمل‪،‬‬
‫واالنضباط والتقيد بمواعيد ونظم العمل‪ ،‬والتعاون مع الزمالء واطاعة الرؤساء‪ ،‬والقدرة على العمل‬
‫في فريق عمل‪ ،‬والرغبة في التعلم والتطوير‪ ،‬إذ يمكن عن طريق إدخال مقرر يطلق عليه ‪ -‬على‬
‫سبيل المثال ‪ -‬المهارات السلوكية أو السلوك الوظيفي أو أخالقيات العمل‪.‬‬
‫‪.12‬‬
‫العمل على تحقيق أقصى سبل التعاون بين مؤسسات التعليم العالي والقطاع‬
‫الخاص عن طريق عقد لقاءات بصفة دورية بين ممثلين من القطاع الخاص‬
‫على بهدف التعرف وكذلك ‪ ،‬مستمر بشكل التعليم لمخرجات تقييم لعمل وذلك العالي التعليم ومؤسسات‬
‫نظر المختلفة المهارات من المستقبلية االحتياجات‬
‫توظيف في كبيرة من أهمية القطاع هذا يمثله لما ‪ً ،‬ا‬
‫توظيف ضمان شأنه من العمل يتطلبها سوق التي األساسية المهارات الخريجين إكساب أن إذ الخريجين‪،‬‬
‫‪.12‬‬
‫‪.‬اإلنتاج في عالية مستويات تحقيق القدرة على المنظمات هذه إعطاء إلى باإلضافة الخريجين‬
‫العمل على وضع نظام تشاركي لقطاعات المجتمع المختلفة األخري من أجل تقديم وتلقي‬
‫خدمات تعليمية بشكل متوازن يعود بالفائدة على الجميع‪.‬‬
‫لقد توخت هذه الورقة االهتمام ببعض الجوانب الخاصة بالمواءمة بين العرض والطلب على الخدمات‬
‫التعليمية بجامعة دنقال بالوالية الشمالية‪ ،‬وقد اعتمدت الورقة في ذلك على استقراء المعلومات والبيانات التي‬
‫توفرت لمعديها من المصادر المثبتة بقدر الحاجة‪ .‬عسى أن تكون قد وفقت في تقديم إضافة مفيدة‪.‬‬
‫قائمة المصادر والمراجع‪:‬‬
‫الكتب‬
‫‪ .1‬السيدة إبراهيم مصطفى وأحمد رمضان نعمة اهلل والسيد محمد أحمد السريتى‪ ،‬اقتصاديات الموارد والبيئة‪،‬‬
‫الدار الجامعية‪ ،‬اإلسكندرية‪2002 ،‬م‪.‬‬
‫‪ .2‬أنطوان حبيب رحمة‪ ،‬اقتصاديات التعليم‪ ،‬جامعة دمشق‪ ،‬دمشق‪1812 ،‬م‪.‬‬
‫‪ .3‬رمضان محمد مقلد وأحمد رمضان نعمة اهلل وعفاف عبد العزيز عايد‪ ،‬اقتصاديات الموارد والبيئة‪ ،‬الدار‬
‫الجامعية‪ ،‬اإلسكندرية‪2002 ،‬م‪.‬‬
‫‪ .2‬مدحت القريشي‪ ،‬اقتصاديات العمل‪ ،‬دار وائل للنشر‪ ،‬األردن‪2002 ،‬م‪.‬‬
‫‪ .5‬محمود‪ ،‬سعيد طه؛ ناس‪ ،‬السيد محمد‪ ،‬قضايا في التعليم العالي والجامعي‪ .‬دراسات تربوية‪ ،‬مكتبة‬
‫النهضة المصرية‪ ،‬القاهرة‪.2002 ،‬‬
‫‪ .6‬بدران ‪ ،‬شبل والدهشان‪ ،‬جمال‪ ،‬التجديد في التعليم الجامعي‪ ،‬دار قباء‪ ،‬القاهرة‪٠٢٢٢ ،‬‬
‫الدوريات‬
‫‪ .2‬التركستاني‪ ،‬حبيب اهلل محمد عبد الرحيم‪ ،‬المواءمة بين مخرجات التعليم ومتطلبات سوق العمل‪ ،‬ورقة‬
‫مقدمة إلى ورشة عمل طرق تفعيل وثيقة اآلراء لألمير عبد اهلل بن عبد العزيز حول التعليم العالي ‪-18‬‬
‫‪ 21‬ذي الحجة ‪1225‬هـ الموافق ‪ 30‬ينايرـ ‪ 1‬فبراير‪.2005‬‬
‫‪ .1‬سامي بن عبد اهلل الباحسين‪ ،‬المهارات المطلوبة للقطاع الخاص السعودي ودور التعليم العالي في‬
‫توفيرها‪ ،‬مجلة العلوم االقتصادية واإلدارية‪ ،‬المجلد ‪،22‬العدد األول‪ ،،‬الرياض‪ ،‬يونيو ‪.2002‬‬
‫‪ .8‬مدثر حسن سالم‪ ،‬ورقة بعنوان‪ :‬البطالة واالستخدام في السودان بالتطبيق على الوالية الشمالية (رؤية‬
‫تنموية) مجلة الدراسات اإلنسانية‪ ،‬تصدر عن كلية اآلداب والدراسات اإلنسانية بجامعة دنقال‪ ،‬العدد‬
‫الثامن يونيو ‪2012‬م‪.‬‬
‫‪.10‬‬
‫مدثر حسن سالم‪ ،‬ورقة بعنوان‪ :‬العوامل االقتصادية واالجتماعية لألسرة ودورها في تحديد نوعية‬
‫وجودة السكن المطلوب بالوالية الشمالية‪ ،‬قدمت لندوة السكن الصحي االقتصادي المستدام في المدن‬
‫الصغيرة والمتوسطة‪ ،‬التي أقامها المعهد العربي إلنماء المدن التابع لمنظمة المدن العربية‪ ،‬والتي عقدت‬
‫بقاعة المهندس في الفترة من ‪ 13 – 10‬مارس ‪2010‬م بمدينة دنقال‪ ،‬والتي تم نشرها بكتاب األوراق‬
‫العلمية والتجارب‪.‬‬
‫‪.11‬‬
‫مصطفى متولي‪ ,‬قصور التربية العربية عن تحقيق التنمية( دراسات تربوية؛ مجلة كلية التربية‪ ,‬المجلد‬
‫‪ ,5‬الرياض ‪1301‬هـ‬
‫التقارير والدليل‬
‫‪.12‬‬
‫جمهورية السودان‪ ،‬و ازرة التعليم العالي والبحث العلمي‪ ،‬اإلدارة العامة للقبول وتقويم وتوثيق‬
‫الشهادات‪ ،‬دليل القبول لمؤسسات التعليم العالي لمستوى البكالوريوس والدبلوم التقني للعام‬
‫الجامعي‪2011‬م‪2012-‬م‪.‬‬
‫‪.13‬‬
‫إحصاءات الجهاز المركزي لإلحصاء بالوالية الشمالية‪ ،‬دنقال‪ ،‬يناير ‪2008‬م‪.‬‬
‫‪.12‬‬
‫تقارير الجهاز المركزي لإلحصاء بالوالية الشمالية‪ ،‬دنقال‪2010 ،‬م‪.‬‬
‫‪.15‬‬
‫تقارير مجلس التخطيط اإلستراتيجي بالوالية الشمالية‪ ،‬دنقال ‪ ،‬يونيو ‪2012‬م‪.‬‬
‫اإلدارات والمكاتب‬
‫‪.12‬‬
‫بيانات أمانة الشؤون العلمية بجامعة دنقال‪ ،‬يونيو ‪2012‬م‪.‬‬
‫‪.12‬‬
‫بيانات مكتب مسجل كلية الدراسات العليا بجامعة دنقال‪ ،‬يونيو ‪2012‬م‬
‫‪.01‬‬
‫بيانات السكان‪ ،‬تعداد السكان الخامس لعام‪2001‬م‪ ،‬الجهاز المركزي لإلحصاء بالوالية الشمالية‪،،‬‬
‫‪.01‬‬
‫و ازرة التربية والتعليم بالوالية الشمالية‪ ،‬إدارة التعليم الثانوي‪ ،‬تحليل القبول للجامعات السودانية للعام‬
‫دنقال‪2012 ،‬م‪.‬‬
‫‪2011‬م‪.‬‬
‫اإلنترنت‬
‫‪ .20‬سويلم‪ ،‬عبد المجيد‪ .)2005(.‬مشكالت المواءمة بين مخرجات التعليم والتدريب المهني ومتطلبات سوق العمل‬
‫الفلسطيني‪Doc.net .‬‬
‫‪A Proposed Framework for the Design of Incentives Based on the Stock in light of the‬‬
‫‪Impact of Islamic Principles on Governance.‬‬
‫‪Abstract:‬‬
‫‪This researching paper focus on how to formulate an Islamic governance principles and mechanisms in‬‬
‫‪order for designing a Stock_Based_Incentives according to this suggested principles and mechanisms of‬‬
‫‪Islamic governance for "Islamic banks" as one of important sectors in many countries, currently‬‬
‫‪governance model does not consist with Islamic sharia or rules for some mechanisms and principles such‬‬
‫‪as concentrating only on board members, neglecting of human resources , lack of considerations for‬‬
‫‪collective work, in addition for that, this paper also discuss to any extend do the currently implied‬‬
‫‪stocks_based_incentives is in tune with Islamic sharia , I found that there are some matters Incompatible‬‬
‫‪with sharia, incentives derived from stocks care only by the earned amount regardless spent time (or‬‬
‫‪hours) , moreover,it focuses primarily on senior management while sharia urged the justice with all‬‬
‫‪personnel, with retension some of currently implied governance mechanisms…a relevant principles and‬‬
‫‪mechanisms for Islamic governance have been suggested in third section and under it the paper suggested‬‬
‫‪certain steps that might lead to more fairly incentives fashioning.‬‬
‫‪Keywords: Islamic governance principles & mechanisms, Islamic banks, stock options, Personnel‬‬
‫‪rewards, fair stock based incentives.‬‬
‫إطار مقترح لتصميم الحوافز المشتقة من األسهم فى ضوء تأثير المبادىء اإلسالمية على الحوكمة‬
‫نسرين محمد فتحى يوسف‬
‫مدرس مساعد بقسم المحاسبة – كلية التجارة‬
‫باإلسماعيلية ‪ -‬جامعة قناة السويس‬
‫جمهورية مصر العربية‬
‫‪[email protected]‬‬
‫‪+201069500907 mobile:‬‬
‫المستخلص‬
‫تركز ورقة العمل هذه على صياغة مبادىء وآليات للحوكمة اإلسالمية وذلك بغرض المساهمة فى تصميم وتكوين الحوافز المشتقة من‬
‫األسهم طبقا لهذه المبادىء واآلليات المقترح وذلك بالتطبيق على البنوك اإلسالمية والتى تعد أحد القطاعات الهامة فى كثير من الدول‪,‬‬
‫ويعتبر نموذج ا لحوكمة الحالى غير متوافق مع الشريعة أو القواعد اإلسالمية بالنسبة لبعض المبادىء واآلليات الخاصة به ومنها تركيزه‬
‫فقط على أعضاء مجلس اإلدارة‪ ,‬إهماله للعنصر البشرى‪ ,‬وعدم وجود أية اعتبارات متعلقة بالعمل الجماعى‪ ,‬باإلضافة لذلك‪ ,‬تناقش ورقة‬
‫العمل هذه إلى أى مدى تتوافق الحوافز المشتقة من األسهم مع الشريعة اإلسالمية‪ ,‬واتضح وجود أمور عدة يجعلها ال تتوافق مع أحكام‬
‫الشريعة اإلسالمية‪ ,‬حيث تركز الحوافز المشتقة من اإلسهم على تحصيل المبلغ بغض النظر عن الوقت المستنفذ (أو الساعات) ‪ ,‬وكذلك‬
‫تركيزها بالدرجة األولى على اإلدارة العليا بينما تحث الشريعة اإلسالمية على تحقيق العدل بين جميع العاملين أو الموظفين‪ ,‬ومع اإلبقاء‬
‫على بعض من اآلليات الخاصة بالحوكمة الحالية التى يتم تطبيقها‪ ,‬تم اقتراح مجموعة من المبادىء واآلليات المالئمة للحوكمة اإلسالمية‬
‫فى القسم الثالث وفى ضوء ذلك تم اقتراح مجموعة من الخطوات المحددة المتعلقة بكيفية تصيمي الحوافز المشتقة من األسهم‪.‬‬
‫الكلمات المفتاحية‪ :‬مبادىء وآليات الحوكمة اإلسالمية ‪ ,‬البنوك اإلسالمية ‪ ,‬خيارات األسهم ‪ ,‬مكافآت العاملين ‪ ,‬الحوافز العادلة على أساس‬
‫األسهم‪.‬‬
‫اإلطــار ال ـعـام للبـحــث‬
‫‪ ‬أوال‪ :‬مقدمة وطبيعة المشكلة‪:‬‬
‫تسعى الشركات إلى تحسين األداء الخاص بها وذلك على ضوء رغبتها في تعزيز الميزة التنافسية في السوق‬
‫وجذب المزيد من العمالء‪ ,‬وفى سبيل ذلك تولى الشركات أهمية كبيرة للعنصر البشرى بها حيث أنه العامل‬
‫األول في نجاحها وزيادة إنتاجيتها وربحيتها‪ ,‬ويعتبر تحفيز العاملين أحد الوسائل الهامة التي تشجعهم على‬
‫القيام بأعمالهم على الوجه األكمل وتتعدد وسائل تحفيز العاملين طبقا لنوع وطبيعة نشاط وحجم الشركات‬
‫وماغير ذلك من العناصر األخرى ‪ ,‬كما أن طريقة تحصيل الحوافز تختلف‪ ,‬وقد جرت األعراف على‬
‫تحصيل الحوافز بصورة النقدية (أي المرتب مضافا إليه الحوافز النقدية) ويتم تحصيلها بصفة دورية مستمرة‬
‫قد تكون أسبوعية أو شهرية أو بحسب ما هو معمول به في الشركة‪ ,‬وعالوة على ذلك فقد أصبحت معظم‬
‫الشركات في الوقت الحالي تعتمد على ما يسمى بـــ "برنامج المكافآت" والتي تحتوى على نوع آخر من‬
‫الحوافز وهى "الحوافز والمكافآت المشتقة من األسهم" وتعنى حصول المدير والعاملين على جزء من أسهم‬
‫الشركة بسعر محدد بمعنى أن يحصل على حصة في ملكية الشركة بناءا على التغيرات في بعض المقاييس‬
‫طويلة األجل مثل الزيادات في ربح السهم أو اإليرادات أو سعر السهم أو الحصة في السوق‪ ,‬وتتخذ الحوافز‬
‫المشتقة من األسهم عدة أشكاال وصورا مختلفة‪.‬وعلى الجانب اآلخر تحظى حوكمة الشركات باهتمام كبير‬
‫سواء كان ذلك على المستوى المحلى أم الدولي منذ أن شهد العالم سلسلة االنهيارات والفضائح المالية المتتالية‬
‫لكبرى الشركات العمالقة وكان من أهم ا آلثار السيئة التي نتجت عن ذلك هو عدم وجود الثقة لدى المساهمين‬
‫والمستثمرين األمر الذي أدى في النهاية إلى حدوث هبوط في أسعار األسهم‪ ,‬لذلك أصبح يشغل حيزا كبيرا‬
‫من قبل الباحثين والمهتمين‪ ,‬كما أن العديد من المنظمات والهيئات المهنية بدأت االهتمام بوضع القواعد‬
‫واإلرشادات التي تنظم تعامالت الشركات مع كافة الفئات المختلفة‪ ,‬وذلك في ضوء ظاهرة الفصل بين ملكية‬
‫الشركة وإدارتها بما يخدم أهداف أصحاب المصالح ‪ Stakeholders‬بشكل عام وحملة األسهم‬
‫‪ Shareholders‬والمالك ‪ Owners‬بشكل خاص‪ ,‬حيث يجب أن يكون هناك قدر كبير من الشفافية لما‬
‫يحدث داخل الشركة حتى يمكن استرجاع الثقة مرة أخرى من قبل حملة األسهم والمستثمرين‪.‬وترى الباحثة‬
‫أن بعض المبادئ واآلليات الخاصة بالحوكمة قد ال تتماشى مع ما جاء في الشريعة اإلسالمية وذلك ألنها‬
‫تركز فقط على المديرين ومجلس اإلدارة وما غير ذلك حيث يجب أن يسود العدل في الشركات سواء كان‬
‫ش َهدَاء‬
‫س ِط ُ‬
‫للمدرين أو العاملين طبقا لقول هللا تعالى في كتابه الكريم (يَا أَيُّ َها الَّ ِذينَ آ َمنُو ْا ُكونُو ْا قَ َّوا ِمينَ بِا ْلقِ ْ‬
‫شنَآنُ قَ ْو ٍم َعلَ ٰى أَ َّال تَ ْع ِدلُوا) ]المائدة‪ ,[8,‬كما أن أحد اآلليات الخاصة بالحوكمة هي "لجنة‬
‫ِ ِّل َو َال يَ ْج ِر َمنَّ ُك ْم َ‬
‫المكافآت والحوافز" أي تلك اللجنة المنوطة بتصميم ومنح الحوافز بكافة أشكالها وبالتالي تصبح هناك عالقة‬
‫وطيدة بين كال من الحوافز المشتقة من األسهم وبين الحوكمة‪ .‬ومن هنا يجب إعادة النظر في المبادئ‬
‫واآلليات الخاصة بالحوكمة ومدى مالئمتها لما جاء في الشريعة اإلسالمية ومنها يتم تصميم الحوافز المشتقة‬
‫من األسهم في ضوء الحوكمة من المنظور اإلسالمي والتي يجب أن تجسد البعد األخالقي والسلوكي لعملية‬
‫الحوكمة‪.‬كما تهدف الباحثة من خالل هذه الورقة البحثية إلى تصميم تلك الحوافز في أحد القطاعات الخاصة‬
‫الهامة وهى البنوك اإلسالمية والتي بدأت في التزايد واالنتشار في كافة دول العالم‪,‬ومما سبق تتمثل مشكلة‬
‫البحث فيما يلي‪ :‬كيف يتم تصميم الحوافز والمكافآت المعتمدة على األسهم وذلك في ظل تأثير المبادئ‬
‫اإلسالمية على الحوكمة؟‪.‬‬
‫‪ ‬ثانيا‪ :‬أهمية البحث‪:‬‬
‫تتمثل أهمية الورقة البحثية في كال من األهمية العلمية (األكاديمية) ‪ ,‬واألهمية العملية وذلك على النحو التالي‪:‬‬
‫‪ ‬أهمية أكاديمية (علمية)‪ :‬على الرغم من وجود العديد من الدراسات التي تناولت الحوافز المشتقة من‬
‫األسهم إال أنه ال توجد دراسات بعد تتناول الكيفية التي تكون عليها تلك الحوافز وذلك في ظل إعادة صياغة‬
‫مبادئ وآليات الحوكمة طبقا لما يتناسب مع الشريعة اإلسالمية ومتطلباتها‪ ,‬وبالتالي تعتبر هذه الدراسة‬
‫امتدادا للدراسات السابقة في كونها تركز على تصميم الحوافز المعتمدة على األسهم في ظل تأثير الشريعة‬
‫اإلسالمية على الحوكمة‪.‬‬
‫‪ ‬أهمية عملية‪ :‬وتتمثل فيما يلي‪:‬‬
‫‪ -1‬ضرورة معرفة وتقييم كال من نظام الحوافز القائم على األسهم وكذلك مبادئ وآليات الحوكمة من المنظور‬
‫اإلسالمي‪.‬‬
‫‪ -2‬ازدياد أهمية تحفيز العاملين والمديرين وذلك من أجل االرتقاء بمستوى األداء في البنوك اإلسالمية‪.‬‬
‫‪ -3‬أهمية قطاع البنوك اإلسالمية بمصر من حيث كونه يمثل أحد أسس التنمية االقتصادية‪.‬‬
‫‪ -4‬ضرورة اقتراح إطار بهدف إعادة صياغة مبادئ وآليات الحوكمة بما يتماشى مع الدين اإلسالمي الحنيف‬
‫ومنه تصميم وتكوين الحوافز المشتقة من األسهم في ظل هذه المبادئ واآلليات المعاد صياغتها‪.‬‬
‫‪ ‬ثالثا‪ :‬أهداف البحث‪:‬‬
‫يتمثل الهدف الرئيسي للبحث في تصميم وإنشاء برنامج للمكافآت والحوافز المشتقة من األسهم وذلك في ضوء‬
‫التأثير الذي تحدثه الشريعة اإلسالمية على الحوكمة من حيث المبادئ واآلليات‪ ,‬ويتفرع منه األهداف الفرعية‬
‫التالية‪:‬‬
‫‪-1‬‬
‫‪-2‬‬
‫‪-3‬‬
‫‪-4‬‬
‫الوقوف على مدى مساهمة الدراسات السابقة في هذا الصدد‪.‬‬
‫دراسة ومعرفة اإلطار العام للحوافز المشتقة من األسهم من وكذلك التعرض لمبادئ وآليات الحوكمة‪.‬‬
‫معرفة وتقييم مدى مشروعية كال من الحوافز القائمة على األسهم وكذلك مبادئ وآليات الحوكمة‪.‬‬
‫اقتراح إطار من شانه العمل على وضع مبادئ وآليات للحوكمة بما يتناغم ويتناسب مع متطلبات الشريعة‬
‫اإلسالمية‪ ,‬وكذلك لصياغة وتصميم برنامج الحوافز المستندة إلى األسهم في ضوء ما سبق‪.‬‬
‫‪ ‬رابعا‪ :‬خطة البحث‪:‬‬
‫على ضوء رغبة الباحثة في تحقيق الهدف الرئيسي للبحث فقد تم تقسيمه وفقا لما يلي‪:‬‬
‫‬‫‬‫‬‫‬‫‪-‬‬
‫القسم األول‪ :‬اإلطار العام للحوافز المشتقة من األسهم والحوكمة في ضوء الدراسات السابقة‪.‬‬
‫القسم الثاني‪ :‬مدى مشروعية الحوافز المعتمدة على األسهم والحوكمة‪.‬‬
‫القسم الثالث‪ :‬اإلطار المقترح لتصميم الحوافز المشتقة من األسهم من المنظور اإلسالمي للحوكمة‪.‬‬
‫الخاتمة واألبحاث المستقبلية‪.‬‬
‫هوامش البحث‪.‬‬
‫القسم األول‪ :‬اإلطار العام للحوافز المشتقة من األسهم والحوكمة في ضوء الدراسات السابقة‪.‬‬
‫تمهيد‪:‬‬
‫تستمد الحوافز أهميتها في كونها األداة أو الوسيلة الفعالة لجعل العاملين وكذلك المديرين يقومون بمهامهم‬
‫على الوجه األكمل واألمثل وتختلف األشكال التي تتخذها الحوافز التي تستند في تكوينها على األسهم ‪ ,‬كما أن‬
‫قد أصدرت المبادئ واآلليات الخاصة بالحوكمة‪ ,‬وتحاول ‪OECD‬منظمة التعاون اإلقتصادى والتنمية‬
‫الباحثة في هذا القسم دراسة وتحليل الدراسات السابقة ذات الصلة عالوة على دراسة ومعرفة الحوافز المشتقة‬
‫من األسهم وكذلك الحوكمة وذلك من خالل اآلتي‪:‬‬
‫‪ -1‬عرض واستقراء وتحليل الدراسات السابقة‪.‬‬
‫‪ -2‬اإلطار العام لكال من الحوافز المبنية على األسهم والحوكمة‪.‬‬
‫‪ -1‬عرض واستقراء وتحليل الدراسات السابقة‪.‬‬
‫ستتناول الباحثة هنا أبرز الدراسات السابقة ذات الصلة بموضوع البحث والتي تناولت الحوافز‪ ,‬وذلك كما يلي ‪:‬‬
‫الدراسات السابقة التي تناولت الحوافز‪:‬‬
‫‪ :‬استهدفت الدراسة معرفة العوامل التي تطور نظم حوافز المديرين بما يتناسب مع [‪*]1‬دراسة (كيوان‪)0212,‬‬
‫هدف المنشأة والمتمثل في تعظيم قيمة حملة األسهم‪ ,‬وقامت بالتطبيق على عدد (‪ )5‬منشآت من قطاع األعمال‬
‫العام والعاملة بمجال األدوية في مصر‪ ,‬وتوصلت الدراسة إلى وجود عالقة طردية موجبة بين الحوافز التي‬
‫يتقاضاها المديرين وبين القيمة االقتصادية‪ ,‬حيث أن إحساس المديرين بالمشاركة بما يحققونه من النتائج يؤدى‬
‫بهم في النهاية إلى رغبتهم في تعظيم المنافع مما يعود باإليجاب على حملة األسهم والعاملين ‪ ,‬كما توصلت‬
‫الدراسة إلى عدم وجود عالقة بين الدخول النقدية للمديرين( والتي تتمثل فيما يتقاضونه باستثناء الحوافز) وبين‬
‫القيمة االقتصادية المضافة‪ .‬وأوصت الدراسة بضرورة بتطبيق نظام الحوافز على أساس القيمة االقتصادية‬
‫المضافة‪.‬‬
‫‪:‬استهدف البحث دراسة الدور الحوكمى لعقود مكافآت العاملين وفقا ً ألساس [‪*]2‬دراسة (بيومي‪)0210,‬‬
‫خيارات األسهم وأثره على جودة األرباح المحاسبية وأداء المنشأة وإجراء الدراسة العملية إلثبات ذلك‪,‬‬
‫والتعرف على دور المكافآت وفقا ً لخيارات األسهم في تعزيز فعالية نظام الحوكمة‪,‬وتم االستعانة ببيانات عدد‬
‫‪ 8‬شركات مقيدة بالبورصة المصرية من كافة القطاعات المختلفة ومن أهم النتائج التي تم التوصل إليها‬
‫مساهمة نظام المكافآت وفقا ً لخيارات األسهم كأحد اآلليات الداخلية لحوكمة الشركات في تدعيم نظام الحوكمة‬
‫من خالل تحقيق جودة اإلفصاح وتفعيل الدور الرقابي لمجلس اإلدارة باإلضافة إلى تحقيق أهداف الحوكمة‬
‫وتخفيض تكاليف الوكالة‪.‬‬
‫‪ :‬هدفت الدراسة إلى محاولة اكتشاف المحددات المؤدية إلى تحديد [‪*(Dhaouadi, 2012 ]3‬دراسة (‬
‫الحوافز الخاصة بفريق اإلدارة العليا‪ ,‬حيث ركزت على تأثير كال من ‪ :‬مجلس اإلدارة‪ ,‬وكذلك هيكل الملكية‬
‫على شكل والحوافز التي يتم منحها لإلدارة العليا‪ ,‬وتوصلت الدراسة إلى أن المكافآت الخاصة باإلدارة العليا‬
‫ال تتأثر بمدى كفاءة ومستوى اإلدارة األمر الذي يعكس تعارض النتيجة مع نظرية الوكالة والتي تؤيد عكس‬
‫ذلك‪ ,‬وفى الوقت ذاته تتوافق مع نظرية (الهيمنة اإلدارية) والتي تؤكد عدم وجود أية عالقة بين مستوى‬
‫اإلدارة وبين الحوافز حيث أن اإلدارة دائما ما تسعى إلى تحقيق مصالحها وأهدافها مما يؤثر بالسلب على‬
‫الحوافز‪ ,‬وباإلضافة لذلك هناك بعض الخصائص للمنشأة تحدد الحوافز الممنوحة ومن أهم هذه الخصائص‬
‫هي حجم المنشأة ويليها حجم أو مستوى األداء‪.‬‬
‫‪ :‬استهدفت الدراسة معرفة العالقة التي تربط بين كال من الحوافز الخاصة [‪*Sheikh,2012 )]4‬دراسة (‬
‫بمجلس اإلدارة وبين قدرة المنشأة على االبتكار بالتركيز على ربط الحوافز الممنوحة بأنشطة البحوث‬
‫والتطوير وكذلك دراسة عما إذا كانت مصادر الحوافز واختالفها سوف يكون له تأثير أم ال وذلك بالتطبيق‬
‫على عدد من الشركات األمريكية‪ ,‬وتوصلت الدراسة إلى أن الحوافز المبنية على األسهم والتي تكون‬
‫مربوطة بأنشطة البحث والتطوير تزداد فيها قدرة المنشأة على االبتكارات ‪ ,‬وعندما تكون الحوافز ألسهم‬
‫مقيدة بالبورصة فإن ذلك يؤدى إلى زيادة اإلنفاق الخاص بمشروعات البحث والتطوير وزيادة اإلهتمام بها‬
‫وبالتالي تعمل على زيادة االبتكارات‪ ,‬وعلى العكس تماما عندما تكون األسهم غير مقيدة تكون أقل فعالية مما‬
‫يقل االهتمام بمشروعات البحث والتطوير تنخفض النفقات الخاصة بها‪.‬‬
‫‪ :‬هدفت هذه الدراسة إلى معرفة تأثير الحوافز (غير الخطية) _ [‪ *& Gee,2013 Tzioumis )]5‬دراسة (‬
‫أي تلك الحوافز التي تتغير بتغير األداء_ على أداء العاملين عن طريق دراسة حالة لبنك الرهن العقاري في‬
‫أمريكا العقاري في أمريكا لمعرفة أثر الحوافز على أداء قروض الرهن العقاري بالبنك‪ ,‬وتوصلت الدراسة‬
‫إلى وجود عالقة سلبية بين الحوافز غير الخطية وبين تحسين األداء في األجل الطويل‪...‬حيث يعمل البنك‬
‫على قبول عقود الرهون العقارية الهامشية والتي تكون أحيانا غير معبرة عن مصداقية الوضع المالي‬
‫للمقترض مما يؤدى إلى عدم تحسين األداء على المدى الطويل‪.‬وعالوة على ذلك فإن هذه الحوافز تؤدى‬
‫أيضا إلى زيادة التكاليف المحملة على البنك نتيجة هذه الحوافز وكذلك كنتيجة لعدم تأثر األداء على األجل‬
‫الطويل بها‪ ,‬واقترحت الدراسة أن يتم تصميم الحوافز على أساس األداء وعلى أساس تخفيض التكاليف‪.‬‬
‫تكتسب هذه الدراسات أهميتها الكبيرة من كونها تتناول الحوافز وعالقتها باألداء‪ ,‬وتتفق الباحثة مع دراسة‬
‫من حيث عالقة الحوافز باالبتكار والتطوير باإلضافة لعالقة ‪ & Gee,2013 Tzioumis‬و ‪Sheik,2012‬‬
‫الحوافز غير الخطية بتحسين األداء على األجل الطويل‪.‬‬
‫ما يميز الدراسة الحالية عن الدراسات السابقة ‪ :‬سوف تقوم الباحثة وخالفا لما سبق بمحاولة تصميم وإنشاء‬
‫برنامج الحوافز المبنية على األسهم وذلك في ظل تأثير الدين اإلسالمي الحنيف على مبادئ وآليات الحوكمة‬
‫األمر الذي سوف يستدعى إعادة النظر بها وسوف يتم التطبيق على قطاع البنوك اإلسالمية وذلك كونها تمثل‬
‫أحد القطاعات الهامة والتي يجب التركيز على كيفية تحسين األداء بها ليس فقط على مستوى اإلدارة العليا‬
‫ولكن يجب أن يمتد ليشمل جميع العاملين بالبنك ‪ ,‬حيث اتضح مما سبق إمكانية التالعب باألداء وكذلك‬
‫اقتصار معظمها على مستويات اإلدارة العليا وتركز المسئولية بها أيضا على مستوى اإلدارة العليا‪ ,‬وبالتالي‬
‫تعتبر هذه الدراسة امتدادا للدراسات السابقة‪.‬‬
‫‪ -0‬اإلطار العام لكال من الحوافز المبنية على األسهم والحوكمة‪.‬‬
‫‪Stock Based‬انتشرت في اآلونة األخيرة برامج المكافآت التي تستند في األساس إلى األسهم‬
‫ومشتقاتها وذلك في كبرى الشركات على مستوى العالم‪ ,‬وفى تقرير صادر عن منظمة ‪Compensation‬‬
‫(وهى المعنية بتوفير البيانات الخاصة بمكافآت المديرين التنفيذيين للشركات المنتشرة حول ‪EQUILAR‬‬
‫العالم وتوجد في نيويورك بأمريكا) عن سنة ‪ 2112‬فقد أوضحت أن قيمة المكافآت التشجيعية السنوية التي تم‬
‫‪ Oracle‬بلغت أقصاها ‪ 69‬مليون دوالر سنويا وهى تخص شركة ‪CEO‬منحها للمديرين التنفيذيين‬
‫حيث بلغت المكافآت المبنية على األسهم بها قيمة ‪ 38‬مليون دوالر سنويا ‪HTC‬األمريكية تليها شركة‬
‫[‪ ]9‬في المرتبة الخامسة حيث بلغت قيمة المكافآت بها ‪ 33‬مليون دوالر سنويا ‪Viacom‬وأخيرا جاءت شركة‬
‫‪ ,‬وسوف تتناول الباحثة اإلطار العام لكال من المكافآت المبنية على األسهم وكذلك اإلطار العام للحوكمة‬
‫وخصوصا فيما يتعلق بالمبادئ واآلليات الخاصة بها‪,‬وذلك من خالل ما يلي‪:‬‬
‫‪1-0‬‬
‫اإلطار العام للمكافآت والحوافز المشتقة من األسهم‪.‬‬
‫‪ 1-1- 0‬أسباب ظهور المكافآت والحوافز التشجيعية المبنية على األسهم‪.‬‬
‫كان من المتعارف عليه أن يتم تحصيل الحوافز بصورة نقدية مضافة مع المرتب النقدي والتي تعتمد على‬
‫"الربح المحاسبي" باستخدام األرباح قبل حساب الضرائب بهدف استبعاد أثر الضرائب‪ ,‬ومن أهم االنتقادات‬
‫التي وجهت للجوء للربح المحاسبي هي إمكانية التالعب باألرباح األمر الذي يترتب عليه تحقيق المديرين‬
‫مصالحهم الشخصية وليس مصلحة المنشاة ككل عالوة على أنها تتعلق فقط باألجل القصير‪ ,‬ومن أجل ذلك تم‬
‫‪]7[.‬التحول إلى المكافآت التشجيعية التي تعتمد على األسهم بدال من الربح المحاسبي‬
‫‪ 0-1-0‬مفهوم المكافآت المبنية على األسهم‪.‬‬
‫جاء في معيار المحاسبة المصري رقم ‪ 36‬والذي يقابل معيار المحاسبة الدولي رقم ‪ 16‬بأن األسهم يتم منحها‬
‫[‪]8‬أيضا للعاملين كجزء من حزمة المكافآت نظير القيام بأعمالهم ومهامهم ويتم إضافتها على المرتب النقدي‬
‫وهى عبارة عن‪" :‬المعامالت المبنية على أسهم والمسددة في شكل أدوات حقوق الملكية والتي تتلقى فيها‬
‫المنشأة سلعا أو خدمات في مقابل إصدار أدوات حقوق الملكية في المنشأة بما في ذلك األسهم أو خيارات‬
‫‪]6[.‬االكتتاب في األسهم"‬
‫‪ 3-1-2‬أهداف وأهمية المكافآت المبنية على األسهم ومشتقاتها‪.‬‬
‫ترى الباحثة أن هذا النوع من المكافآت يترتب عليه تحسين أداء المنشأة ليس فقط في األجل القصير بل يعمل‬
‫على تحسين األداء بشكل أكثر كفاءة وفعالية على األجل أو المدى الطويل وعندما يتم تحسين ورفع مستوى‬
‫األداء فإن ذلك يؤدى بالمثل إلى زيادة اإلقبال على المنتجات أو الخدمات التي تقدمها المنشأة أو الشركة وذلك‬
‫ناتج عن ارتفاع جودة المنتجات والخدمات بما يتالءم مع متطلبات العمالء والمستهلكين‪.‬‬
‫‪ 4-1-2‬أنواع (أشكال) الحوافز والمكافآت المعتمدة على األسهم‪.‬‬
‫تتعدد وتتنوع األشكال التي تكون عليها الحوافز المشتقة من األسهم وتنحصر في ثمانية أنواع وهى كما‬
‫‪]11[:‬يلي‬
‫‪‬‬
‫‪‬‬
‫‪‬‬
‫‪‬‬
‫‪‬‬
‫‪‬‬
‫‪‬‬
‫‪Restricted Stocks Plan‬‬
‫خطط األسهم المقيدة‬
‫خطط شراء العاملين لألسهم ‪Employee Stocks Purchase Plan‬‬
‫خطط األسهم الوهمية ‪Phantom Stocks Plan‬‬
‫خطط األسهم المؤجلة ‪Deferred Stocks Plan‬‬
‫خطط حوافز األسهم على أساس معادلة ‪Formula Based Stocks Incentives Plan‬‬
‫األسهم القابلة لالسترداد ‪Callable Stocks‬‬
‫عقود المكافآت وفقا لخيارات األسهم ‪Employee Stock Options‬‬
‫‪ ‬خطط المكافآت بمقدار التحسن في قيمة األسهم المخصصة ‪Stock Appreciation Rights‬‬
‫ويوضح الجدول التالي كال منهم بشيء من التفصيل ‪:‬‬
‫جدول رقم (‪ :)1‬األنواع المختلفة للحوافز المشتقة من األسهم‬
‫يسمح هذا النوع للعاملين بامتالك عدد معين من األسهم بسعر محدد يكون عادةً أقل من سعر السوق‬
‫خطط األسهم المقيدة‬
‫وال يحق للعامل التصرف في األسهم إال بعد انقضاء فترة محددة تتراوح ما بين ‪ 3‬أو ‪ 5‬سنوات‪,‬أو‬
‫تحقق شرط محدد مسبقا ً مثل إجمالي المبيعات أو ربحية السهم‪ ,‬كما أنها تكون قابلة لإللغاء إذا ما‬
‫ترك العامل الشركة خالل فترة القيد المفروض على السهم‪.‬‬
‫يمنح العاملين الحق في شراء عدد محدد من أسهم الشركة التي يعمل بها بسعر محدد وغالباً يكون أقل‬
‫خطط شراء العاملين‬
‫من سعر السهم بالسوق بنسبة ‪ , %15‬وعند زيادة سعر الفرق يكون الفرق عبارة عن األرباح التي‬
‫لألسهم‬
‫يجنوها نظير هذه الزيادة‪ ,‬ويتم منح هذا النوع لكافة المستويات اإلدارية‪.‬‬
‫خطط األسهم الوهمية يمنح العامل الحق في الحصول على عدد محدد من أسهم الشركة ويتم تحديد قيمتها على أساس‬
‫القيمة السوقية العادلة في تاريخ المنح ‪ ,‬ويتحدد العائد المستقبلي الذي يحققه العامل على أساس مقدار‬
‫الزيادة في القيمة المبدئية للسهم وذلك بدون الحصول على األسهم ذاتها‪.‬‬
‫خطط األسهم المؤجلة وفقا ً لهذا النوع من الخطط يتم منح العاملين لعدد من األسهم دون مقابل‪,‬وليس للعاملين حق التصويت أو‬
‫الحصول على توزيعات األرباح إال بعد االستالم الفعلي للمكافآت المؤجلة‪ ,‬يمكن قياس قيمتها المؤجلة‬
‫باالعتماد على حجم اإليرادات أو األرباح أو ربطهما بإكمال مشروع‪.‬‬
‫يحصل بموجبها العاملين على أسهم صورية يتحدد قيمة األسهم بواسطة معادلة تقوم على أساس‬
‫خطط حوافز األسهم‬
‫متغيرات محاسبية مستندة إلى المقاييس المالية الخاصة باألداء ومنها نسبة المبيعات واألرباح وما‬
‫على أساس معادلة‬
‫غير ذلك‪.‬‬
‫األسهم القابلة لالسترداد تعيد الشركة شراء األسهم من العاملين بمبالغ نقدية بعد استحقاقها‪ ,‬ويتلقى العامل مبلغ نقدي يتمثل في‬
‫الفرق بين سعر سهم المنشأة في تاريخ المنح و تاريخ التنفيذ سواء كان على سبيل اإللزام (على سبيل‬
‫المثال توقف العامل عن العمل) أو بناءا على رغبة العامل‪ ,‬وذلك كما ورد في المعيار ‪ 36‬فقرة ‪.31‬‬
‫ويعتبر النوع األكثر شيوعا واستخداما وهو عقد بين الشركة والعاملين بموجبه يحق للعامل‬
‫عقود المكافآت وفقا‬
‫ً‬
‫الحصول على عدد محدد من أسهم الشركة سواء مجانا أو بسعر محدد خالل فترة زمنية محددة وال‬
‫لخيارات األسهم‬
‫يحق للعامل بيع العقد أو الحصول على أرباح قبل تنفيذ العقد‪ ,‬ويوجد منها نوعين وهما‪ :‬الخطط‬
‫الثابتة والتي يتم فيها تحديد عدد األسهم الممنوحة وسعر الشراء أو التنفيذ في تاريخ منح مكافآت‬
‫خيارات األسهم أما النوع الثاني فهو الخطط المتغيرة وهى التي ال تحدد فيها الشركة عدد األسهم‬
‫الممنوحة أو سعر التنفيذ في تاريخ منح مكافآت خيارات األسهم حيث تتوقف أي منها على حدوث‬
‫أو تحقق هدف معين في المستقبل ومنها على سبيل المثال تحقيق نمو بمعدل محدد للمبيعات أو‬
‫األرباح أو حصة السهم من األرباح كما جاء في معيار المحاسبة المصري رقم "‪" "36‬المدفوعات‬
‫المبنية على أسهم" بالفقرة ‪ 16‬أن حصول العامل على المكافأة قد يكون مشروطا ً بضرورة تحقيق‬
‫المنشأة لنسبة معينة من األرباح أو زيادة محددة في سعر السهم حتى يتسنى للعامل الحصول على‬
‫هذا النوع من المكافأة‪.‬‬
‫خطط المكافآت بمقدار يقوم هذا النظام بمكافأة العاملين في صورة نقدية بدال من األسهم ويتم تحديد قيمتها عن طريق الفرق‬
‫بين سعر السهم في تاريخ المنح وسعر السهم في تاريخ تنفيذ الخيار‪ ,‬وقد ورد هذا النوع من المكافآت‬
‫التحسن في قيمة‬
‫األسهم المخصصة‬
‫بالمعيار المصري رقم " ‪" " 36‬المدفوعات المبنية على أسهم " تحت مسمى " حقوق ارتفاع قيمة‬
‫األسهم للعاملين "‪.‬‬
‫وبالتالي ومما سبق تم توضيح ومعرفة األنواع والصور المختلفة التي تكون عليها الحوافز والمكافآت التشجيعية‬
‫المستندة إلى األسهم ومشتقاتها وتتناول الباحثة في السطور التالية اإلطار العام أيضا للحوكمة‪.‬‬
‫‪0-0‬اإلطار العام للحوكمة ‪.‬‬
‫يعد مدى التزام الشركة لتطبيق مبادئ وآليات الحوكمة هو بمثابة صمام األمان لتوفير البيئة التي تتمتع بالشفافية‪,‬‬
‫في عام ‪ 2114‬بإصدار المبادئ واآلليات الخاصة بعملية ‪OECD‬ولقد قامت منظمة التعاون االقتصادي والتنمية‬
‫الحوكمة‪ ,‬أما في مصر فقد بدأ اإلهتمام بالحوكمة عام ‪2111‬بمبادرة من وزارة االقتصاد والتجارة الخارجية‬
‫(وزارة التجارة حاليا) بعد أن وجدت أن برنامج اإلصالح اإلقتصادى الذي بدأته مصر منذ أوائل التسعينات ال‬
‫‪ ,‬وسوف يتم من خالل [‪]11‬يكتمل إال بوضع إطار تنظيمي ورقابي يحكم عمل القطاع الخاص في ظل السوق الحر‬
‫النقاط التالية معرفة اإلطار العام المكون للحوكمة‪.‬‬
‫‪ 1-0-0‬مفهوم وأهداف الحوكمة‪.‬‬
‫عام ‪ 2114‬األكثر شموال ‪ OECD‬الصادر عن ‪ Corporate Governance‬يعتبر مفهوم حوكمة الشركات‬
‫وهو‪":‬النظام الذي تستخدمه المنشأة في عملية اإلشراف والرقابة على عملياتها ‪ ,‬كما أنها تمثل النظام الذي يتم‬
‫من خالله توزيع الحقوق والمسئوليات على مختلف األطراف في المنشأة بما في ذلك مجلس اإلدارة والمديرين‬
‫وحملة األسهم وأصحاب المصالح األخرى ‪ ,‬كما أنها تحدد القواعد واإلجراءات الخاصة باتخاذ القرارات التي‬
‫تتعلق بالمنشأة"‪ ,‬أما فيما يتعلق بأهداف الحوكمة فترى الباحثة أن الحوكمة تحقق العديد من األهداف ومنها‬
‫زيادة جودة التقارير المالية المقدمة للمستثمرين والمساهمين‪ ,‬وتفعيل دور مجلس اإلدارة نحو تحسين أداء‬
‫الشركة أو المنشأة‪ ,‬عالوة على زرع الثقة لدى المساهمين‪.‬‬
‫‪ 0-0-0‬كيفية تفعيل نظام الحوكمة وبعض الجهود المبذولة‪.‬‬
‫ترى الباحثة أن التطبيق الجيد والفعال لنظام الحوكمة يستلزم معه وجود أو توافر بعض األسس والعناصر التي‬
‫تؤهل الشركة للقيام بذلك‪ ,‬وفى هذا السياق ترى الباحثة أيضا أن تطبيق الحوكمة في الدول النامية يواجه بعض‬
‫المعوقات وتتمثل أهمها في *عدم وجود مجالس اإلدارة في أغلب الشركات في هذه الدول‬
‫*عدم وجود األعضاء المستقلين في مجلس اإلدارة * تنظر الشركات غالبا في هذه الدول إلى تحقيق مصالحها‬
‫الشخصية بغض النظر عن مصلحة األطراف والفئات األخرى المتعاملة* تتميز غالبية الشركات في الدول‬
‫النامية بعدم إنشاء لجان المراجعة الخاصة بها‪ ,‬ويؤدى جميع ما سبق إلى وجود صعوبة في األخذ بالحوكمة‬
‫ومتطلباتها‪ .‬وفى هذا السياق قام البنك الدولي باألخذ في االعتبار اللوائح والقوانين الخاصة بكل سوق من‬
‫األسواق المالية مما أسفر عنه وجود عدة أنواع من التصنيفات وذلك للتطبيق الجيد للحوكمة وهذه التصنيفات‬
‫ذات نوعين النوع األول التصنيف على مستوى المنشاة والثاني التصنيف على مستوى الدولة وتهدف هذه‬
‫التصنيفات إلى محاولة توحيد الممارسات على المستوى الدولي للحوكمة وتطبيقها بشكل فعال من خالل البنود‬
‫التي تقع تحت التصنيفات والتي يجب على كل شركة ودولة تقييمها للوقوف على أوجه القصور لديها في تطبيق‬
‫‪]12[:‬الحوكمة بشكل عام‪ ,‬وتتمثل فيما يلي‬
‫* التصنيفات على مستوى المنشأة‪ :‬وهى مجلس اإلدارة وأعضاء مجلس اإلدارة ‪ -‬هيكل ملكية اإلدارة ‪ -‬حقوق‬
‫المساهمين وعالقاتهم ‪ -‬حوافز الموظفين التنفيذيين وتعويضاتهم ‪ -‬إجراءات المراجعة‪ -‬إجراءات اإلفصاح عن‬
‫المعلومات ‪ -‬النصوص الخاصة بحوكمة الشركات‪.‬‬
‫* التصنيفات على مستوى الدولة‪ :‬وهى النظرة الشاملة للسوق المالي‪ -‬حماية المساهمين‪ -‬دور أصحاب‬
‫المصالح في الحوكمة ‪ -‬اإلفصاح المالي وغير المالي‪ -‬الجهاز الحاكم‪.‬‬
‫‪ 3-0-0‬مبادئ حوكمة الشركات‪:‬‬
‫تعد المبادئ الخاصة بالحوكمة بمثابة عصب عملية الحوكمة وقد تضافرت الجهود في محاولة لوضعها من‬
‫‪ ,‬والمنظمة الدولية للجان األوراق ‪ ,BIS‬بنك التسوية الدولي ‪,SEC‬بورصة األوراق المالية ‪OECD‬قبل‬
‫هي األكثر قبوال واهتماما ‪ ,‬وتشمل هذه المبادئ ما ‪ ,OECD‬وتعتبر المبادئ الصادرة عن ‪IOSCOP‬المالية‬
‫‪]13[:‬يلي‬
‫*حقوق المساهمين‪ :‬وتتعلق بتأمين نقل وتسجيل أسهمهم‪,‬المشاركة والتصويت في االجتماعات‪,‬الحصول على‬
‫المعلومات في التوقيت المالئم وهذه المعلومات تكمن في التغييرات األساسية التي تحدث في النظام األساسي‬
‫للشركة ومواد تأسيس الشركة‪.‬‬
‫*المعاملة العادلة للمساهمين‪ :‬أي توحيد المعاملة للمساهمين سواء من صغار المساهمين أو األجانب من كل‬
‫الفئات وحفظ حقهم في التصويت في االجتماعات‪ ,‬وكذلك التعويض المالي عند انتهاك حقوقهم‪.‬‬
‫*دور أصحاب المصالح في حوكمة الشركات‪ :‬وتعنى االعتراف بحقوق جميع أصحاب المصالح والمتعاملين‬
‫مع الشركة‪,‬توفير اآلليات التي تمكن أصحاب المصالح في المشاركة في عملية الحوكمة التي تكفل تحسين‬
‫األداء‪,‬وحقهم في الحصول على المعلومات المتصلة بتطبيق الحوكمة ونظام الشركة ‪.‬‬
‫*اإلفصاح والشفافية‪ :‬وتعنى نقل صورة صادقة لما يدور في الشركة من خالل القوائم والتقارير ويجب أن يتم‬
‫اإلفصاح عن جميع المعلومات المتعلقة باألداء المالي والتشغيلي والحوكمة ونتيجة الشركة وماغير ذلك‬
‫بشرط أن يكون في الوقت المناسب‪.‬‬
‫*مسئوليات مجلس اإلدارة‪ :‬وهو يهتم بتحديد المسئوليات الملقاة على عاتق مجلس اإلدارة وقد حدد إطار‬
‫الحوكمة أن هذه المسئوليات تشمل العمل على تحقيق مصالح جميع الفئات وكذلك وضع هيكل محدد لمساءلة‬
‫مجلس اإلدارة عما قام به من الواجبات المخولة إليه‪ ,‬وكذلك العمل على مساءلة مجلس اإلدارة من قبل‬
‫الشركة والمساهمين‪ ,‬كما يجب على مجلس اإلدارة اتخاذ قراراته بشكل سليم مستندا إلى البيانات والمعلومات‬
‫المتوافرة لديه بما يخدم أهداف ومصالح المساهمين والشركة‪,‬وكذلك اللجنة الخاصة بالحوافز والمكافآت كأحد‬
‫مسؤوليات مجلس اإلدارة والمكلفة بتصميم الحوافز بكافة أشكالها وصرفها‪.‬‬
‫‪ 4-0-0‬آليات حوكمة الشركات‪:‬‬
‫يقصد بآليات الحوكمة الطرق والوسائل التي يتم استخدامها لتطبيق مبادئ الحوكمة وهذه اآلليات تتمثل في‬
‫‪]14[:‬اآلتي‬
‫أ‪ -‬آليات داخلية‪ :‬والتي تنصب على ما بداخل الشركة من األنشطة‪ ,‬واإلجراءات المتبعة لتحقيق‬
‫األهداف‪,‬وتشمل كال من ‪:‬‬
‫*مجلس اإلدارة ويشمل‪ :‬يندرج تحت مجلس اإلدارة مسئوليات عديدة تتمثل أهمها في اعتماد استراتيجيات‬
‫الشركة واإلشراف والرقابة على تنفيذها‪,‬وكذلك وضع ضوابط الرقابة الداخلية واإلشراف عليها‪,‬ويتم تصنيف‬
‫مجلس اإلدارة إلى عضو تنفيذي وعضو غير تنفيذي وعضو مستقل‪.‬وتوجد عدة لجان فرعية تنبثق منه وهى‪:‬‬
‫لجنة المراجعة‪ :‬والتي يتم تشكيلها من غير أعضاء مجلس اإلدارة التنفيذيين ويجب أال يقل عددها عن ثالثة ومن‬
‫أهم مهامها دراسة نظام الرقابة الداخلية‪ ,‬واإلشراف على المراجعة الداخلية بالشركة‪.‬‬
‫لجنة الترشيح والمكافآت‪:‬وتتكون من أعضاء مجلس اإلدارة وتتمثل أهم مهامها في التوصية لمجلس اإلدارة‬
‫بالترشيح لعضوية المجلس‪ ,‬وكذلك تحديد جوانب الضعف والقوة في مجلس اإلدارة باإلضافة إلى بعض المهام‬
‫األخرى‪.‬‬
‫واللجان ‪structure‬وعالوة على اللجان السابقة يندرج تحته أيضا البنود التالية‪:‬دور أعضاء المجلس و الهيكلية‬
‫التابعة له ومنها لجنة المراجعة‪*,‬هيكل رأس المال‪* ,‬القانون األساسي و الالئحة الداخلية‪*,‬نظم الرقابة الداخلية‪.‬‬
‫ب‪ -‬آليات خارجية‪ :‬وتتمثل في ممارسات الرقابة من قبل المصالح الخارجيين للشركة والضغوط التي‬
‫تمارسها المنظمات الدولية حول هذا الشأن‪,‬وتشمل كال من اآلتي‪:‬‬
‫*القوانين واللوائح التنظيمية ‪*,‬األسواق وتحتوى على (أسواق رأس المال ‪ ,‬السوق كأحد آليات الرقابة على‬
‫الشركات ‪ ,‬سوق قوة العمل ‪ ,‬سوق منتجات الشركة)‪*,‬الجهات الخارجية لإلشراف والرقابة وخصوصا ً "‬
‫اإلعالم والدعاوى القضائية"‪*,‬الجهات التي تقدم الخدمات المحاسبية والمالية والقانونية بما فيها المراجعة‬
‫وأعضاء مجلس اإلدارة المستقلين‪* ,‬المعلومات التي يوفرها سوق رأس المال وتحليلها مثل التي تقدم من خالل‬
‫‪ , governance analysis.‬ومحللي الحوكمة ‪ , equity‬والملكية ‪credit‬االئتمان‬
‫خالصة القسم األول‪:‬‬
‫تناولت الباحثة في هذا القسم الدراسات السابقة ذات الصلة بالموضوع‪ ,‬وتم التوصل إلى وجود العديد من‬
‫الدراسات التي تناولت الحوافز وعالقتها باألداء‪ .‬بينما توجد ندرة في الدراسات التي تربط بين مبادئ وآليات‬
‫الحوكمة من الفكر اإلسالمي وأثرها على الكيفية التي يتم بها تصميم الحوافز المشتقة من األسهم‪ ,‬كما تناولت‬
‫الباحثة اإلطار العام لكل من الحوافز المشتقة من األسهم وكذلك الحوكمة ‪ ,‬وتم تناول مفهوم وأهداف وأنواع‬
‫الحوافز المبنية على األسهم وقد تمثلت في ثمانية أنواع‪,‬ويعد األكثر استخداما هو خيارات األسهم‪ ,‬كما تم أيضا‬
‫تناول اإلطار العام للحوكمة من حيث المفهوم واألهداف والمبادئ واآلليات‪ ,‬وتتمثل المبادئ في خمس مبادئ‬
‫رئيسية بينما تنقسم اآلليات إلى آليات داخلية وآليات خارجية ويتفرع منهما عدة عناصر‪ ,‬وفى ظل جميع ما سبق‬
‫تنوى الباحثة القيام بتقييم المبادئ واآلليات من وجهة النظر اإلسالمية لمعرفة ما يجب أن تكون عليه‪ ,‬وهو ما‬
‫ستقوم الباحثة بتناوله في القسم الثاني‪.‬‬
‫القسم الثاني‪ :‬مدى مشروعية الحوافز المعتمدة على األسهم والحوكمة‪.‬‬
‫تمهيد‪:‬‬
‫في ظل زيادة القطاع المصرفي اإلسالمي في العالم بصفة عامة وفى مصر بصفة خاصة فقد أصبح من‬
‫الضروري أن يتم التركيز على زيادة تحسين معدالت األداء في هذا القطاع الحيوي والهام‪ ,‬ولن يتأتى ذلك إال‬
‫عندما يتم التركيز على الجانب البشرى في هذا القطاع عن طريق تحفيزه‪ ,‬وعلى الجانب اآلخر يجب عدم‬
‫االكتفاء بذلك فقط بل يجب أن تكون الحوافز المشتقة من األسهم مطابقة لما جاء في أحكام الشريعة اإلسالمية‪,‬‬
‫كما يجب أن ينطبق ذلك أيضا على مبادئ وآليات الحوكمة‪ ,‬وبالتالي سوف يتم تناول ذلك من خالل ما يلي‪:‬‬
‫‪ -1‬تقييم مالئمة الحوافز المشتقة من األسهم ومبادئ وآليات الحوكمة مع الشريعة‪.‬‬
‫‪ -2‬العالقة بين األداء ونظام الحوافز في البنوك في ضوء اإلصدارات المحلية والدولية‪.‬‬
‫‪ -1‬تقييم مالئمة الحوافز المشتقة من األسهم ومبادئ وآليات الحوكمة مع الشريعة‪.‬‬
‫يعد معرفة عما إذا كانت الحوافز والمكافآت الممنوحة المعتمدة على األسهم وكذلك الحوكمة من حيث المبادئ‬
‫واآلليات تتماشى مع ما جاء في التعاليم اإلسالمية أمرا هاما وذلك للوقوف على جدوى األخذ بها بصورتها‬
‫الحالية حيث تمثل التعاليم اإلسالمية األساس الذي يجب الرجوع إليه في جميع جوانب الحياة االقتصادية‬
‫البقرة ]والسياسية واالجتماعية إلى ما غير ذلك حيث يقول هللا تعالى في محكم كتابه (واتقوا هللا ويعلمكم هللا)‬
‫‪ ,‬ولكن قبل البدء في عملية التقييم سوف تتناول الباحثة العالقة بين كال من الحوافز وبين الحوكمة ومن [‪282‬‬
‫ثم يليها التقييم‪.‬‬
‫‪1-1‬عالقة أنظمة الحوافز المشتقة من األسهم بالحوكمة‪.‬‬
‫جاء ذكر لجنة "الحوافز والمكافآت" كأحد المسؤوليات الخاصة بمجلس اإلدارة وذلك في "المبدأ الخامس"‬
‫حيث يجب على مجلس اإلدارة وبناءا على تقارير األداء المتوفرة لديه أن يقوم بتصميم الحوافز وكذلك القيام‬
‫بتحديد المواعيد المحددة لصرفها وذلك طبقا لكل نوع من أنواع الحوافز المشتقة من األسهم والتي تشترط‬
‫تحقيق أهداف معينة (كما تم التعرض لذلك سابقا)‪ ,‬وكذلك جاء ذكر الحوافز من ضمن "اآلليات الداخلية"‬
‫أيضا تحت بند "مجلس اإلدارة"‪ ,‬أي أن مجلس اإلدارة هنا له دور مزدوج من حيث كونه أحد "مبادئ‬
‫الحوكمة" وكذلك كونه أحد "اآلليات الداخلية للحوكمة"‪ ,‬وفى كلتا الحالتين جاء ذكر الحوافز المبنية من‬
‫األسهم حيث تعد أحد المهام المكلف بها مجلس اإلدارة برسمها ووضعها وتصميمها وصرفها بما يتناسب مع‬
‫األهداف المرسومة والمحققة وكذلك مع طبيعة وخصائص الشركة التي يعمل بداخلها‪ .‬وبالتالي ترى الباحثة‬
‫أنه من المفترض أن تؤدى الحوافز إلى تحسين أداء المديرين التنفيذيين وأعضاء المجلس بما في ذلك اللجان‬
‫التابعة له ومن أهمها لجنة المراجعة حيث أنها المسؤولية عن تعيين المراجع الخارجي وكذلك تحديد المهام‬
‫الواجب القيام بها من قبل المراجع الداخلي والرقابة عليه‪ ,‬عالوة على التأكد من جودة سير إجراءات الرقابة‬
‫الداخلية‪.‬‬
‫‪ 0-1‬تقييم مدى مشروعية مبادئ وآليات الحوكمة‪:‬‬
‫ترى الباحثة أن الحوكمة قد جسدتها مبادئ وتعاليم الشريعة اإلسالمية بشكل عام‪ ,‬فالحوكمة ما هي إال‬
‫مجموعة من القواعد والقوانين تهدف إلى االنضباط في العمل وفى التعامالت بواسطة مجموعة من‬
‫األشخاص الذين يتسمون بالفطنة والدراية في األمور اإلدارية‪ ,‬ويتماشى ذلك مع ما جاء في الدين اإلسالمي‬
‫شي ٌد)‬
‫‪ .‬وتعرض الباحثة فيما يلي كيفية عدم [هود‪]78 ,‬الحنيف حيث يقول هللا تعالى ( َأ َليْ َ‬
‫س ِم ْن ُك ْم َر ُجلٌ َر ِ‬
‫تماشى مبادئ وآليات الحوكمة طبقا للنموذج الغربي مع اإلسالم ‪:‬‬
‫*عدم أخذها في االعتبار المسئولية االجتماعية‪ :‬حيث تمثل المسئولية االجتماعية أحد أشكال التالحم بين‬
‫الشركة وبين البيئة الخارجية والمجتمع الذي يحيط بها‪ ,‬ولم يأت ذكرها في المبادئ واآلليات الخاصة بعملية‬
‫الحوكمة‪ ,‬وترى الباحثة أن هذا المفهوم يرسخ العالقات اإلنسانية ومن شأنه زرع الثقة لدى البيئة وأفراد‬
‫المجتمع الذي تعمل به الشركات‪ ,‬إضافة إلى طلب الثواب من هللا تعالى ويعتبر نوعا من شكر هللا على ما أنعم‬
‫به من النعم على الشركات ومراعاة لحق الفقراء والمساكين وكذلك التطوع في األعمال الخيرية وتمويل‬
‫س ِرفُو ْا إِنَّهُ الَ‬
‫المشاريع التي ال تجد ما يكفيها من الموارد المادية‪ ,‬حيث يقول هللا تعالى (و ُكلُو ْا َواش َْربُو ْا َوالَ تُ ْ‬
‫س ِرفِينَ )‬
‫‪[ ,‬سورة إبراهيم‪ , ]7,‬وكذلك يقول هللا في كتابه (لَئِنْ َ‬
‫ش َك ْرتُ ْم َألَ ِزي َدنَّ ُك ْم) [األعراف‪]31 ,‬يُ ِح ُّب ا ْل ُم ْ‬
‫وفيما يتعلق بالمسئولية االجتماعية فقد تطرقت لها التعاليم اإلسالمية‪ ,‬حيث يقول هللا‬
‫اونُوا (‬
‫مما يجسد أهمية التعاون على‬
‫اونُوا َوالتَّ ْق َو ٰى َو َال ا ْلبِر َعلَى َوتَ َع َ‬
‫اإل ْث ِم َعلَى تَ َع َ‬
‫َ‬
‫[المائدة‪]2,‬وا ْل ُعد َْو ِ‬
‫ان) ْ ِ‬
‫الخير دائما‪ ,‬وكذلك قوله تعالى‬
‫ص َدقَاتُ (إِنَّ َما‬
‫ين لِ ْلفُقَ َرا ِء ال َّ‬
‫ب َوفِي قُلُوبُ ُه ْم َوا ْل ُمؤَ لَّفَ ِة َعلَ ْي َها َوا ْل َعا ِملِينَ َوا ْل َم َ‬
‫َ‬
‫يل َوفِي َوا ْل َغا ِر ِمينَ الرقَا ِ‬
‫سب ِ ِ‬
‫سا ِك ِ‬
‫يل َوا ْب ِن َّ‬
‫هللاُ َّ‬
‫‪]91‬ح ِكي ٌم) َعلِي ٌم َو َّ‬
‫والذي يعنى اإلحساس بالفقراء ومساعدتهم [التوبة‪,‬‬
‫ضة ال َّ‬
‫هللاِ ِمنَ فَ ِري َ‬
‫َ‬
‫هللاِ‬
‫سب ِ ِ‬
‫ليس ذلك فحسب بل إن اآلية الكريمة تحضنا على تقديم المساعدة المادية لمن يريدون الدخول في اإلسالم‬
‫أبي ومن غلبتهم ديونهم وما نحو ذلك من األمور التي تزيل الشحناء والبغضاء بين األفراد وبعضهم‪ ,‬وعن‬
‫ثالثة حق على هللا عونهم ‪ :‬الغازي في ‪":‬رضي هللا عنه ‪ -‬أن النبي ‪ -‬صلى هللا عليه وسلم – قال ‪ -‬هريرة‬
‫ف الَّ ِذينَ َال " سبيل هللا ‪ ،‬والمكاتب الذي يريد األداء ‪ ،‬والناكح الذي يريد العفاف‬
‫(و ْليَ ْ‬
‫ستَ ْعفِ ِ‬
‫‪,‬وكذلك قوله تعالى َ‬
‫يَ ِجدُونَ نِ َكاحا َحتَّى يُ ْغنِيَ ُه ُم َّ‬
‫َاب ِم َّما َملَ َكتْ أَ ْي َمانُ ُك ْم فَ َكاتِبُو ُه ْم إِنْ َعلِ ْمتُ ْم فِي ِه ْم‬
‫هللاُ ِمنْ فَ ْ‬
‫ضلِ ِه َوالَّ ِذينَ يَ ْبتَ ُغونَ ا ْل ِكت َ‬
‫ال َّ‬
‫َ‬
‫هللاِ الَّ ِذي آتَا ُك ْم)‬
‫وفى ذلك ترغيب لمساعدة الشباب غير القادر ماديا على‬
‫[النور‪]33,‬خ ْيرا َوآتُو ُه ْم ِمنْ َم ِ‬
‫الزواج مما يؤدى في النهاية إلى تكوين األسر واالستقرار العائلي وتكوين وتقوية العالقات األسرية‪ ,‬إضافة‬
‫ين)‬
‫اضونَ َعلَى طَ َع ِام ا ْل ِم ْ‬
‫الفجر‪] ,‬لما سبق فقد ذكر هللا تعالى في كتابه (كََ الَّ بَل ّال تُ ْك ِر ُمونَ ا ْليَتِي َم َوال ت ََح ُّ‬
‫س ِك ِ‬
‫وأشار بِال َّسبَّاب ِة و ْال ُوسْطى وفرَّج أنا وكافِ ُل ْاليتِ ِيم فِي ْالجن َّ ِة هكذا)) ‪,‬وقال النبي ‪-‬صلى هللا عليه وسلم[‪18-17‬‬
‫رواه البخاري‪ ,‬وفى ذلك تتجلى عظمة هللا ورحمته في الحرص على مشاعر األيتام فقد حثنا على بيْنهُما ش ْيئًا‬
‫رعايته وتوفير ما يحتاجه باإلضافة إلى الترفيه عنه حتى ال يشعر أنه بمعزل عن باقي أفراد المجتمع مما‬
‫يترك أطيب األثر في نفسه‪ .‬كما جاء في اآلية الكريمة (آ ِمنُوا بِ َّ‬
‫ست َْخلَفِينَ فِي ِه‬
‫سولِ ِه َوأَ ْنفِقُوا ِم َّما َج َعلَ ُك ْم ُم ْ‬
‫اِلِ َو َر ُ‬
‫ض ِمنَ أَ ْنشَأ َ ُك ْم ‪ ,‬كما قال أيضا في كتابه العزيز ( ُه َو[الحديد‪]7,‬فَالَّ ِذينَ آ َمنُوا ِم ْن ُك ْم َوأَ ْنفَقُوا لَ ُه ْم أَ ْج ٌر َكبِير)‬
‫ْاألَ ْر ِ‬
‫ستَ ْع َم َر ُك ْم‬
‫حيث تدل اآليات السابقة على وجوب تعمير األرض وعلى مستوى بيئة العمل [هود‪]91,‬فِي َها) َوا ْ‬
‫يكون التعمير عن طريق المشاركة في المشاريع الخيرية وإنشاء النوادي والحدائق الترفيهية وتمويل‬
‫المؤسسات العلمية عالوة على المشاركة في تخفيض البطالة ويتجلى ذلك أيضا في نداء سيدنا إبراهيم عليه‬
‫س )السالم لربه‬
‫والذي يؤكد أهمية التعمير في األرض‪ ,‬وعن [إبراهيم‪]37,‬تَ ْه ِوي إِلَ ْي ِه ْم) فاجْ علْ أَ ْفئِدَة منَ النَّا ِ‬
‫سدُوا فِي‬
‫البيئة فقد تم ذكرها في القرآن الكريم والحث على حمايتها والحفاظ عليها إذ يقول هللا تعالى( َو َال تُ ْف ِ‬
‫ْ‬
‫ص َال ِح َها َذلِ ُك ْم َخ ْي ٌر لَ ُك ْم إِنْ ُك ْنتُ ْم ُم ْؤ ِمنِينَ )‬
‫حيث شدد على عقوبة من يقوم بالتلف [‬
‫ض بَ ْع َد إِ ْ‬
‫األعراف‪]85,‬األَ ْر ِ‬
‫وإلحاق األذى بكافة أشكاله وتعتبر البيئة من ضمنها‪ ,‬هذا ولم يقتصر ديننا الحنيف على حقوق البشرية فقط بل‬
‫امتد ليشمل أيضا الكائنات األخرى ومن ضمنها الحيوانات فقد جاءت التعاليم اإلسالمية السامية بالعديد من‬
‫ارع َْوا أَ ْن َعا َم ُك ْم)‬
‫‪,‬وكذلك [ طه‪]54,‬النصوص بما يتعلق بمعاملة الحيوان والرفق به حيث يقول هللا( ُكلُوا َو ْ‬
‫اح ْي ِه إِالَّ أُ َم ٌم أَ ْمثَالُ ُكم)‬
‫ض َوالَ طَائِ ٍر يَ ِطي ُر بِ َجنَ َ‬
‫‪ ,‬وال ننسى المقولة [األنعام‪]38,‬أيضا قوله ( َو َما ِمن دَآب َّ ٍة فِي األَ ْر ِ‬
‫الشهيرة لسيدنا عمر ابن الخطاب عندما قال (لو تعثرت دابة في العراق لخشيت أن يسأل عنها عمر لما لم‬
‫يمهد لها الطريق)‪ .‬ومن جميع ما سبق ترى الباحثة أن ما جاء في الشريعة اإلسالمية يوافق تماما ما هو‬
‫معمول به في تطبيق المسئولية االجتماعية‪ ,‬فما يتغنى به الغرب حاليا في األخذ بمبدأ المسئولية االجتماعية‬
‫هو في األساس ما جاء في الدين اإلسالمي الحنيف‪.‬‬
‫*عدم اهتمامها بالعنصر البشرى‪ :‬يعتبر العنصر البشرى الوسيلة التي من خاللها يتم االعتماد عليها لتحقيق‬
‫والوصول إلى الغايات واألهداف المرسومة من قبل الشركات‪ ,‬وعلى الرغم من ذلك فلم تعرها مبادئ وآليات‬
‫الحوكمة أي اهتمام وال يوجد نص صريح يتعلق بالجانب البشرى‪ ,‬واهتم الدين اإلسالمي بهذا الجانب الهام‪,‬‬
‫حيث يتبين من اآلية الكريمة أن هللا جاء بصيغة الجمع [سبأ‪]13,‬حيث قال هللا تعالى(اعملوا آل داوود شكرا)‬
‫حتى يتضح أهمية العمل الجماعي والعنصر البشرى في تحقيق األهداف المرجوة والتي ال تتحقق بالعمل‬
‫ض ْلنَا ُه ْم‬
‫ت َوفَ َّ‬
‫(ولَقَ ْد َك َّر ْمنَا بَنِي آ َد َم َو َح َم ْلنَاهُ ْم فِي ا ْلبَر َوا ْلبَ ْح ِر َو َرزَ ْقنَاهُم منَ الطَّيبَا ِ‬
‫المنفرد‪ ,‬وكذلك قوله تعالى َ‬
‫ضيال)‬
‫والتي تدل على أهمية الجانب البشرى‪ .‬ولقد ركزت مبادئ وآليات [اإلسراء‪َ ]71,‬علَى َكثِي ٍر م َّمنْ َخلَ ْقنَا تَ ْف ِ‬
‫الحوكمة فقط على مجلس اإلدارة والمديرين التنفيذيين وأهملت البقية من العاملين على الرغم من تعدد أدوارهم‬
‫ومهامهم وأهميتها في الوصول إلى أهداف الشركة‪.‬‬
‫*افتقادها لروح العمل الجماعي والتعاون‪ :‬حيث ركزت المبادئ واآلليات الخاصة بالحوكمة فقط على‬
‫أعضاء وموظفي مجلس اإلدارة والمديرين التنفيذيين ولم يأت ذكر كيفية تنمية وتطوير واالرتقاء بروح العمل‬
‫رضي هللا عنه عن أبي موسى الجماعي الذي يقوى العالقات بين فريق العمل ككل وكأنهم أسرة واحدة‪ ,‬فعن‬
‫المؤمن للمؤمن كالبنيان يشد بعضه بعضا‪،‬وشبك بين أصابعه)‪ ,‬وفي )النبي صلى هللا عليه وسلم أنه قال‪:‬‬
‫مثل المؤمنين في توادهم )رضي هللا عنه عن النبي صلى هللا عليه وسلم قال‪ :‬النعمان بن بشير الصحيحين عن‬
‫كما قال تعالى في كتابه وتراحمهم وتعاطفهم مثل الجسد إذا اشتكى شيئا تداعى له سائر الجسد بالسهر والحمى)‪,‬‬
‫‪ ,‬وكذلك قوله تعالى (إِنَّ َّ‬
‫هللاَ يُ ِح ُّب الَّ ِذينَ يُقَاتِلُونَ فِي [الكهف‪(]65,‬فَأ َ ِعينُونِي بِقُ َّو ٍة أَ ْج َع ْل بَ ْينَ ُك ْم َوبَ ْينَ ُه ْم َردْما)‬
‫وص)‬
‫ص ٌ‬
‫صفّا َكأَنَّ ُهم بُنيَانٌ َّم ْر ُ‬
‫سبِيلِ ِه َ‬
‫‪ ,‬حيث تؤكد اآليات القرآنية واألحاديث النبوية الشريفة على [الصف‪َ ]4,‬‬
‫أهمية العمل الجماعي ودوره في النهوض بالشركة وتميزها في األداء‪ ,‬فعندما يشعر األفراد بقيمتهم يتولد لديهم‬
‫الحماس لبذل المزيد من الجهد‪ ,‬كما يجب أن يكونوا المديرين على عالقة جيدة بجميع العاملين بجميع مستوياتهم‬
‫ودرجاتهم الوظيفية‪ ,‬عالوة على ذلك يجب إشراك العاملين في جميع القرارات التي يتم اتخاذها والشعور‬
‫بقيمتهم ألنهم جزء ال يتجزأ من الشركة‪.‬‬
‫*تركز المسئوليات في يد أشخاص معينين وعدم تحديدها بدقة‪ :‬جاء في آليات الحوكمة المسئوليات المكلف‬
‫بها مجلس اإلدارة أيضا وتم التركيز عليه‪ ,‬ولم تحدد تلك اآللية (وكذلك المبادئ) المسئوليات األخرى الخاصة‬
‫بالعاملين اآلخرين أو اآللية التي يتم بها تحديد المسئوليات بدقة ‪ ,‬بحيث يتم التمييز بين من يتقن عمله ومن ال‬
‫يتقن عمله ويتم تطبيق مبدأ الثواب والعقاب‪ ,‬حيث يقول الرسول صلى هللا عليه وسلم (كلكم راع وكلم مسئول‬
‫سيَ َرى َّ‬
‫سولُهُ َوا ْل ُم ْؤ ِمنُونَ ) [التوبة‪121,‬‬
‫هللاُ َع َملَ ُك ْم َو َر ُ‬
‫(وقُ ِل ا ْع َملُوا فَ َ‬
‫‪ ,‬فاهلل [ عن رعيته)‪ ,‬وكذلك قوله تعالى َ‬
‫تعالى قد أكد لنا على لسان نبينا محمد عليه أفضل الصالة والسالم أن كل شخص مسئول عما هو مخول إليه‬
‫من المهام وعليه فإنه على مستوى بيئة العمل ال تقتصر المسئولية فقط على أعضاء مجلس اإلدارة أو المديرين‬
‫التنفيذيين بل أن كل فرد من أفراد العمل يعتبر مسئول مسئولية كاملة عن تحقيق أهداف الشركة التي يعمل بها‪,‬‬
‫ويجب تحديد مدى دقة وكفاءة عمليه وكذلك تقصيره أخذا بمبدأ الثواب والعقاب الذي يعتبر أحد صور العدل‪,‬‬
‫كما يجب أيضا تحديد المسئولية بدقة بحيث يتم معرفة من هو المتسبب في عدم تحقيق بعضا أو جزءا من‬
‫األهداف وكذلك انخفاض األداء عن مستواه المعتاد‪ ,‬طبقا لقول هللا تعالى في محكم كتابه( يا أيها الذين آمنوا‬
‫كونوا قوامين ِل شهداء بالقسط وال يجرمنكم شنآن قوم على أال تعدلوا اعدلوا هو أقرب للتقوى واتقوا هللا‬
‫إن هللا يحب إذا عمل أحدكم )‪ ,‬وما قاله الرسول صلى هللا عليه وسلم‪ [8‬المائدة ‪],‬إن هللا خبير بما تعملون)‬
‫‪(.‬عمال أن يتقنه‬
‫*افتقادها لروح اإلبداع والتطور واالبتكار‪ :‬حيث ترى الباحثة أن ما جاء في مبادئ وآليات الحوكمة ال‬
‫يوجد ما يدل على أهمية اإلبداع كجزء من محاولة التفوق على الغير في مجال العمل ‪ ,‬وارتفاع الحصة السوقية‬
‫للشركة‪,‬إذ أنه يجب على الشركة عدم إتباع ما يسمى باألسلوب النمطي أو (المعتاد) في تقديم منتجاتها أو‬
‫خدماتها‪ ,‬بل يجب ابتكار األساليب الحديثة والتي من شأنها زيادة جودة المنتج أو الخدمة النهائية المقدمة‪,‬‬
‫وتشتمل األساليب الحديثة الناتجة عن االبتكار أساليب تخفيض التكاليف‪ ,‬أساليب زيادة األرباح (بما ال يخالف‬
‫شرع هللا) ‪,‬تقديم منتجات أو خدمات جديدة‪,‬وما غير ذلك‪ ,‬وعليه ترى الباحثة ضرورة اإلهتمام بما يسمى‬
‫بجلسات (العصف الذهني) ويجب عملها بصفة دورية ومستمرة وربطها بنتائج وأهداف الشركة‪ ,‬وهو ما يسمى‬
‫بلغة األعمال بــ"أنشطة البحث والتطوير" ويجب اشتراك جميع العاملين في الشركة دون استثناء‪ ,‬وبالنظر إلى‬
‫سونَ ) القرآن الكريم فقد جاء فيه(‬
‫س ا ْل ُمتَنَافِ ُ‬
‫‪ ,‬وفى ذلك يتضح أهمية المنافسة على وجه [المطففين‪]29,‬فَ ْليَتَنَافَ ِ‬
‫العموم حيث يتسابق الجميع للوصول إلى أعلى المراتب وبالتالي يجب أن تتسابق الشركات لتكون دائما في‬
‫المرتبة األولى ‪.‬‬
‫*عدم التركيز على الصفات السلوكية واألخالقية ألعضاء مجلس اإلدارة‪ :‬حيث ركزت مبادئ وآليات‬
‫الحوكمة فقط على المؤهالت العلمية والخبرة وتجاهلت دور السلوك واألخالق‪ ,‬فكلما كان الشخص ذو خلق‬
‫حسن وسمعة جيدة كلما أدى ذلك إلى سير العمل على ما يرام‪ ,‬وكذلك أيضا تقليل شكاوى العاملين من وقوع‬
‫يم)‬
‫‪ ,‬كما يجب أن [القلم‪]4,‬الظلم عليهم‪,‬وقد أمرنا هللا بحسن الخلق مع الغير إذ‬
‫ق ع َِظ ٍ‬
‫َ‬
‫يقول(وإِنَّكَ لَ َعلى ُخلُ ٍ‬
‫يتصف األعضاء باألمانة والصدق والعدل وهى من األمور التي حثنا عليها الدين اإلسالمي‪ .‬كما يقول أيضا في‬
‫وال تبخسوا الناس أشياءهم وال تعثوا في األرض مفسدين) وزنوا بالقسطاس المستقيم كتابه(‬
‫‪ ,‬ويتضح ذلك عند الوفاء بالعقود والتي تعتبر دليال قاطعا على األخالق الكريمة‪ ,‬فالكثير [الشعراء‪]183-182,‬‬
‫من الشركات قد تبرم االتفاقيات والعقود ولكن ال تلتزم بها مما يؤدى إلى التأثير سلبا على سمعتها‪ ,‬وذلك‬
‫‪,‬وأيضا(يَا أَيُّ َها [النساء‪] (58,‬إِنَّ ّ‬
‫ت إِلَى أَ ْهلِ َها مصداقا لقول هللا (‬
‫هللاَ يَأْ ُم ُر ُك ْم أَن تُؤدُّو ْا األَ َمانَا ِ‬
‫‪[.‬المائدة‪]1,‬بِا ْل ُعقُو ِد) أَ ْوفُوا آ َمنُوا الَّ ِذينَ‬
‫*عدم تعرضها للتنبؤ‪ :‬يعتبر التنبؤ من العوامل الهامة التي تساعد الشركة على إمكانية معرفة كيف ستكون‬
‫األمور في المستقبل وذلك في ضوء العديد من العوامل واألحداث التي تدور في الوقت الحالي ومحاولة ربطها‬
‫بالمستقبل‪ ,‬وتشير الباحثة إلى أن ذلك ال يعنى إمكانية (التنبؤ بالغيب) والدخول فيما حرمه هللا ‪ ,‬ولكن المقصود‬
‫هنا هو االستعانة بمجريات األمور الحالية لربطها بالمستقبل من خالل البيانات واألرقام الفعلية التي تسهم‬
‫مما [النساء‪]71,‬بوظيفة التنبؤ وبالتالي اتخاذ اإلجراءات الالزمة‪ ,‬وفى ذلك يقول هللا تعالى( خذوا حذركم)‬
‫يتضح أهمية الحذر وبالتالي يجب التنبؤ جيدا ومن أمثلة ذلك (على سبيل المثال ال الحصر)‪ ,‬التنبؤ بوجود أزمة‬
‫مالية مستقبال والحذر منها مما يؤدى إلى اتخاذ كافة اإلجراءات والسبل لمواجهتها‪ .‬ومن جميع البنود السابقة تم‬
‫تناول الجوانب التي لم تأخذها في االعتبار مبادئ وآليات الحوكمة والمتعلقة بما جاء في الدين اإلسالمي‬
‫الحنيف‪.‬‬
‫‪ 3- 1‬تقييم مدى مشروعية الحوافز المشتقة من األسهم‪:‬‬
‫كما تم اإلشارة إليه سابقا فإن هناك وجوها عديدة للحوافز التي تشتق من األسهم‪ ,‬ولكن ترى الباحثة أن هناك‬
‫بعض من النواحي لم تأخذ بها هذه الحوافز لتتوافق مع ما أقره هللا تعالى في كتابه وما أنزل على رسولنا الكريم‬
‫عليه أفضل الصالة والسالم‪ ,‬ومنها‪:‬‬
‫*عدم أخذها في االعتبار عدد الساعات‪ :‬من المالحظ في العرض السابق الخاص بالحوافز المبنية على‬
‫األسهم انه يتم تحصيلها وذلك دون مراعاة لعدد الساعات التي تم العمل بها‪ ,‬حيث أنه من المفترض ومن‬
‫المنطقي أن يتم تحديد عدد ساعات معينة يتم على أساسها احتساب قيمة الحوافز التي يجب تحصيلها‪ ,‬وليس‬
‫كمبلغ ثابت دون األخذ في االعتبار عدد الساعات‪ ,‬وفى ذلك ترى الباحثة أنه يجب على جميع المديرين‬
‫والعاملين استغالل وقتهم االستغالل األمثل وعدم تضييعه بما ال يفيد في العمل‪ ,‬ففي الحديث الشريف قال‬
‫رسول هللا عليه الصالة والسالم (اغتنم خمسا قبل خمس‪ ،‬شبابك قبل هرمك وصحتك قبل مرضك وحياتك قبل‬
‫موتك‪ ،‬وفراغك قبل شغلك وغناك قبل فقرك)‪ ,‬وقوله تعالى(إنَّ ال َّ‬
‫ص َر َوا ْلفُؤَا َد ُك ُّل أُولَئِكَ َكانَ َع ْنهُ‬
‫س ْم َع َوا ْلبَ َ‬
‫سئُوال)‬
‫‪[.‬اإلسراء‪َ ] 39,‬م ْ‬
‫*تركيزها على الجانب المادي فقط دون األخذ بالجانب الروحاني والسلوكي واألخالقي‪ :‬حيث تشترط‬
‫الحوافز لكي يتم تحصيلها تحقيق مستوى معين من األداء واألهداف التي يتم التخطيط لها‪ ,‬ويتم التركيز هنا‬
‫على األداء الذي ينتج عنه الزيادة المادية فقط (ومنها على سبيل المثال زيادة المبيعات عن مستوى معين بنسبة‬
‫معينة)‪ ,‬وال تقلل الباحثة من هذا الشأن ولكن يجب أن يقترن به أيضا التركيز على الجوانب الروحانية‬
‫واألخالقية والسلوكية لجميع من يعملون بالشركة‪ ,‬حيث انه من المالحظ في معظم الشركات غياب العنصر‬
‫األخالقي وعدم النظر إليه والتوجه فقط نحو كيفية زيادة النقدية من خالل العمليات والصفقات‪ ,‬حيث ترى‬
‫الباحثة أن هذه الجوانب ال تقل في أهميتها عن الجانب المادي‪,‬وتتمثل بعضا من هذه الجوانب في اإلخالص في‬
‫العمل وإتقانه‪ ,‬عدم إفشاء أسرار العمل‪ ,‬احترام الوقت‪ ,‬احترام مواعيد العمل‪ ,‬احترام جميع العاملين أيا كانت‬
‫ديانتهم وجنسياتهم‪,‬عدم تكرار ساعات الغياب بكثرة (إال لعذر أو لسبب خارج عن اإلرادة)‪,‬األمر بالمعروف‬
‫َن ا ْل ُمن َك ِر)‬
‫س تَأْ ُم ُرونَ بِا ْل َم ْع ُر ِ‬
‫وف َوتَ ْن َه ْونَ ع ِ‬
‫آل ]والنهى عن المنكر‪ ,‬حيث يقول هللا ( ُكنتُ ْم َخ ْي َر أُ َّم ٍة أُ ْخ ِر َجتْ لِلنَّا ِ‬
‫‪ ,‬عدم التواجد المستمر بمكان العمل ‪ ,‬المعاملة السيئة للعمالء أو المستهلكين‪,‬وتأخير مصالحهم [عمران‪111 ,‬‬
‫دون أية أسباب‪ ,‬كما أنه من المالحظ أيضا انتشار وزيادة المحسوبية في العديد من الشركات وعدم معاملة‬
‫الجميع بنفس األسلوب‪ ,‬وال يوجد أبلغ مما حدث بين السيدة فاطمة الزهراء رضي هللا عنها وبين والدها صلوات‬
‫هللا عليه حينما رغبت في وجود خادمة لديها من بيت المال عندما حل عليها التعب بسبب كثرة األعباء المنزلية‬
‫‪ ,‬وعندما طلبت هي وزوجها من والدها خادمة قال لها‪ :‬كيف أهبكما خادمة وأهل الصفة جياع ال أجد ما‬
‫أطعمهم‪ ,‬وتدل ذلك على قمة عدل الرسول ونبل أخالقه عليه أفضل الصالة والسالم حتى مع أحب الناس إلى‬
‫قلبه‪.‬‬
‫*المساواة وعدم العدل‪ :‬من المعروف انه يوجد فرق بين المساواة وبين العدل‪ ,‬فالمساواة ال تعنى العدل‬
‫أبدا وال تقوم بتحقيقه‪ ,‬إذ تعنى معاملة جميع العاملين ومكافأتهم بنفس المبلغ أيا كانت طبيعة عملهم‬
‫والمسئوليات المنوطة إليهم‪ ,‬فمن المالحظ أنه في الحوافز المشتقة من األسهم ال يتم األخذ في االعتبار كثر‬
‫المسئولية الملقاة على كل فرد ونوعيتها ومدى صعوبتها والوقت الذي يحتاجه للقيام به على أكمل وجه‪ ,‬وترى‬
‫ستَ ِوي َه ْل قُ ْل )الباحثة أن ذلك يتعارض مع ما أمر به هللا حيث يقول‬
‫يَ ْعلَ ُمونَ ) َال يَ ْعلَ ُمونَ و الَّ ِذينَ الَّ ِذينَ يَ ْ‬
‫س ْخ ِريّا) [الزمر‪]6,‬‬
‫ض ُه ْم فَ ْو َ‬
‫ض ُه ْم بَ ْعضا ُ‬
‫ت لِيَتَّ ِخ َذ بَ ْع ُ‬
‫‪[.‬الزخرف‪ ,] 32,‬وقوله ( َو َرفَ ْعنَا بَ ْع َ‬
‫ض د ََر َجا ٍ‬
‫ق بَ ْع ٍ‬
‫*عدم عدالة توقيت تحصيلها‪ :‬اتضح من عرض الحوافز التي تستند إلى األسهم إلى أن تحصيلها يكون‬
‫غالبا بعد فترة كبيرة وأنها تشترط بجانب تحقيق معدالت األداء المستهدفة ‪ ,‬أن يتم االحتفاظ بالعاملين في‬
‫الشركة لفترة كبيرة ضمانا لالستفادة من خبرتهم ومؤهالتهم العلمية‪ ,‬وفى ذلك ترى الباحثة انه يتنافى تماما‬
‫رضي هللا عنهما قال‪ :‬قال رسول هللا صلى هللا عليه عبد هللا بن عمر مع ما جاء في اإلسالم‪ ,‬فعن‬
‫رضي هللا عنه عن النبي ابن ماجه‪ ,‬وعن أبي هريرة رواه أعطوا األجير أجره قبل أن يجف عرقه)‪):,‬وسلم‬
‫(ثالثة أنا خصمهم يوم القيامة‪ :‬رجل أعطى بى ثم غدر‪ ،‬ورجل باع حرا فأكل ثمنه‪: ،‬صلى هللا عليه وسلم قال‬
‫البخاري‪,‬وعليه ترى الباحثة أن التوقيت األفضل ‪,‬رواه (ورجل استأجر أجيرا فاستوفى منه ولم يعطه أجره‬
‫لتحصيل الحوافز هي االنتهاء من األعمال والمهام الموكلة إلى كل فرد باالستعانة إلى تقارير األداء المقدمة‬
‫عن إنجاز جميع العاملين‪ ,‬ويمكن في هذه الحالة تقسيم الحوافز إلى نسب معينة بحيث يتم تحصيل النسبة‬
‫األكبر منها عند االنتهاء من كافة األعمال والنسبة األخرى عندما يتم تحقيق األهداف‪ ,‬وبذلك يتحقق العدل في‬
‫التحصيل وعدم هضم حقوق العاملين والمماطلة في إعطاء ما يستحقونه‪.‬‬
‫‪ -0‬العالقة بين األداء ونظام الحوافز في البنوك في ضوء اإلصدارات المحلية والدولية‬
‫ترى الباحثة أن هناك عالقة وطيدة بين كال منهما وستتناول الباحثة الجهود واإلصدارات المحلية والدولية والتي‬
‫أبرزت العالقة بين كال من األداء بالبنوك وبين الحوافز الممنوحة بها لمعرفة مدى انصباب اهتمامها أيضا على‬
‫البنوك اإلسالمية وليست التقليدية فحسب‪ ,‬ويتضح ذلك من خالل تقرير البنك المركزي الذي تم إصداره ‪ 5‬يوليو‬
‫(وهى المعنية بسن وإصدار ‪ ,2111Financial Stability Board‬وكذلك ما أصدرته لجنة االستقرار المالي‬
‫المبادئ والمعايير المتعلقة بالقطاعات المالية من حيث تفعيل جودة الرقابة الداخلية والكيفية التي تتم بها تصميم‬
‫وصرف الحوافز الموجودة في البنوك‪,‬يوجد مقرها في سويسرا) تقريرها األخير بتاريخ ‪ 13‬يونيو ‪2112‬‬
‫ويلخص الشكل اآلتي أهم ما صدر بخصوص الحوافز في البنوك وعالقتها باألداء‪:‬‬
‫شكل (‪ )1‬اإلصدارات المحلية والدولية بخصوص الحوافز بالبنوك وعالقتها باألداء‬
‫تقرير البنك المركزي المصري الصادر في‬
‫‪2011]15[:‬‬
‫*يؤثر نظام الحوافز والمكافآت على كال من‬
‫معدالت أداء البنك وكذلك إدارته للمخاطر‪.‬‬
‫*قد تؤدى نظم الحوافز المعمول بها إلى تفاقم‬
‫المخاطر في األجل الطويل عندما تراعى فقط‬
‫تحقيق األرباح في األجل القصير‪.‬‬
‫*يجب التأكد من أن إجمالي المكافآت المتغيرة ال‬
‫تحد من قدرة البنك على تدعيم قاعدته الرأسمالية‬
‫بما هو ضروري لمواجهة المخاطر‪.‬‬
‫*يجب تطبيق سياسة مكافآت تراعى تنفيذ آليات‬
‫إدارة المخاطر‪.‬‬
‫*يتم االستعانة بما جاء في تقرير لجنة‬
‫االستقرار المالي‪.‬‬
‫تقرير لجنة االستقرار المالي الصادر في‬
‫[‪2012 ]16‬‬
‫*تم إصدار ‪ 6‬مبادئ باإلضافة إلى عدد ‪16‬‬
‫معيارا بخصوص المكافآت والحوافز‪.‬‬
‫* تم تقسيم المبادئ إلى ‪ 3‬مبادئ تتعلق بالحوكمة‬
‫الجيدة للبنك‪ ,‬و‪ 4‬مبادئ تتعلق باالنسجام‬
‫والتوافق مع درجة المخاطرة المدروسة جيدا‪,‬‬
‫وأخيرا مبدأين يتعلقان بالرقابة اإلشرافية‬
‫والمشاركة من أصحاب المصالح‪.‬‬
‫*تتركز المبادئ المتعلقة بالحوكمة الجيدة حول‬
‫مسئولية مجلس اإلدارة عن تصميم ورسم سياسة‬
‫الحوافز‪ ,‬استقالل أعضاء مجلس اإلدارة‪,‬عدم‬
‫أحقية المدير التنفيذي في االشتراك بوضع‬
‫سياسة الحوافز‪ ,‬وجود الخبرة الكافية من قبل‬
‫أعضاء مجلس اإلدارة حول كيفية إدارة‬
‫وتخفيض المخاطر‪ ,‬استقالل األعضاء المعنيين‬
‫بالرقابة المالية والرقابة على المخاطر‪.‬‬
‫*تتركز المبادئ المتعلقة بدرجة المخاطر حول‬
‫وجوب تعديل سياسة وقيمة الحوافز بما يتناسب‬
‫مع جميع أنواع المخاطر‪,‬تحقيق االنسجام بين‬
‫مخرجات وآثار المخاطر وبين مخرجات ونتيجة‬
‫الحوافز‪ ,‬مراعاة التوافق الزمني بين حدوث‬
‫والتعرض للمخاطر وبين توقيت تصميم‬
‫الحوافز‪,‬اختالف قيمة الحوافز طبقا لدور ومهام‬
‫ومسئوليات األعضاء‪.‬‬
‫وبالتالي يتضح من العرض السابق العالقة القوية بين أنظمة الحوافز وبين األداء بالبنوك‪ ,‬حيث تساعد أنظمة‬
‫الحوافز المعمول بها على تحسين األداء وذلك من خالل تخفيض المخاطر وآثارها التي تواجهها البنوك وترى‬
‫الباحثة أنه ينتج عن ذلك تحسن في المؤشرات التي ترتبط بالمخاطر المصرفية ومنها على سبيل المثال تحسين‬
‫أداء القروض وارتفاع معدالت الربحية وكذلك تقليل معدل القروض السيئة والدراسة الكافية للوضع المالي‬
‫للمقترضين‪.‬وعلى الرغم من أهمية تلك اإلصدارات إال أن البنوك اإلسالمية لم تلق اإلهتمام الكاف من قبل هذه‬
‫اإلصدارات‪.‬‬
‫خالصة القسم الثاني‬
‫تم التعرض في هذا القسم إلى تناول مبادئ وآليات الحوكمة‪ ,‬وتم تناول عالقة الحوكمة بالحوافز‪,‬وكذلك تم تناول‬
‫الحوافز المشتقة من األسهم ومدى مشروعية كال من الحوافز ومبادئ وآليات الحوكمة‪ ,‬واتضح عدم تماشيهما مع‬
‫ما جاء في النصوص اإلسالمية من عدة نواحي مختلفة‪ ,‬كما تم التعرض لبعض الجهود على المستوى المحلى‬
‫والدولي المبذولة فيما يتعلق بالحوافز في البنوك وعالقتها باألداء والذي اتضح من خالل تقرير البنك المركزي‬
‫ولجنة االستقرار المالي ولكن لم يتم اإلهتمام بعد بالبنوك اإلسالمية من قبل هذه الجهود واإلصدارات ‪,‬وبالتالي‬
‫يستلزم ذلك اقتراح إطار لتصميم الحوافز المعتمدة على األسهم بما يتوافق مع شرع هللا‪ ,‬وذلك بعد صياغة مبادئ‬
‫وآليات الحوكمة لتتماشى مع الشريعة حتى يتم تطبيقها في البنوك اإلسالمية‪ ,‬وذلك ما تنوى الباحثة القيام به في‬
‫القسم الثالث من الورقة البحثية‪.‬‬
‫القسم الثالث‪ :‬اإلطار المقترح لتصميم الحوافز المشتقة من األسهم من المنظور اإلسالمي للحوكمة‪.‬‬
‫تمهيد‪:‬‬
‫تمثل الشريعة اإلسالمية األساس الذي نستمد منه التعاليم واإلرشادات حيث يتحقق النفع للبشرية كلها‪,‬فلم‬
‫يسن هللا أمر سواء كان في القرآن الكريم أو األحاديث النبوية الشريفة إال لمصلحة البشر وبما يعود عليهم‬
‫بالنفع‪ ,‬وقد تبين أن مبادئ وآليات الحوكمة المطبقة في الغرب ال تتماشى بعضا منها مع الشريعة‬
‫اإلسالمية‪ ,‬وكذلك ينطبق القول على األسس التي تعتمد عليها الحوافز المشتقة من األسهم‪ ,‬وبالتالي تنوى‬
‫الباحثة في هذا القسم صياغة بعض مبادئ وآليات الحوكمة (باإلضافة إلى اإلبقاء على بعض المبادئ‬
‫واآلليات الحالية والتي ال تتعارض مع الشريعة)‪ ,‬ومنها سيتم وضع مقترح لكيفية تصميم الحوافز المعتمدة‬
‫على األسهم‪ ,‬وذلك من خالل ما يلي‪:‬‬
‫‪ -1‬أهداف ومتطلبات اإلطار المقترح‪.‬‬
‫‪ -0‬عناصر اإلطار المقترح‪.‬‬
‫‪ -1‬أهداف ومتطلبات اإلطار المقترح‪.‬‬
‫يعمل المقترح على توفير مبادئ وآليات للحوكمة وكذلك تغيير األسس التي يتم االعتماد عليها في تصميم‬
‫الحوافز المشتقة من األسهم طبقا للشريعة‪.‬‬
‫‪ 1-1‬أهداف اإلطار المقترح‬
‫‪‬‬
‫‪‬‬
‫‪‬‬
‫‪‬‬
‫‪‬‬
‫األخذ بما جاء في الشريعة اإلسالمية سواء كان من آيات القرآن الكريم‪ ,‬أو ما جاء في األحاديث النبوية‬
‫الشريفة على لسان أعظم الخلق نبينا محمد عليه أفضل الصالة والسالم‪.‬‬
‫تحقيق العدل في المعاملة بالنسبة للعاملين والمديرين‪ ,‬حيث يجب عدم المساواة بينهم وذلك راجع الختالف‬
‫درجتهم الوظيفية ونوعية وكمية ومدى تعقيد المهام المطلوبة منهم‪ ,‬مما ينتج عنه الرضا الوظيفي‪.‬‬
‫تشجيع االبتكار والتطوير واإلبداع ألنها تساهم في جعل الخدمات التي يقدمها البنك اإلسالمي متميزة عما‬
‫سواه من البنوك األخرى‪ ,‬وتطويع كافة الموارد لتنفيذ األفكار واألساليب التي تم تطويرها واقتراحها‪ ,‬حيث‬
‫ميزنا هللا تعالى على كثير من المخلوقات األخرى بالعقل‪ ,‬وبالتالي يجب استغالله بما يحقق التميز في‬
‫العمل والخدمات‪ ,‬وجذب أكبر عدد من العمالء المتعاملين مع البنك‪.‬‬
‫تدعيم روح التعاون بين فريق العمل بسبب إشراكهم فيما يتم اتخاذه من القرارات الخاصة بالبنك‪ ,‬والشعور‬
‫بأهميتهم وتعاظم دورهم في جميع القرارات والمقترحات التي يتم سنها ووضعها‪ ,‬وكذلك العمل على تدعيم‬
‫وترسيخ أواصر المحبة والترابط بين العاملين وبعضهم البعض‪ ,‬واإلحساس بقيمة الفرد لدى اآلخرين أيا‬
‫كانت درجته الوظيفية والعلمية‪.‬‬
‫تقوية العالقة بين البنك وبين البيئة الخارجية التي يعمل بها وكذلك المجتمع المحيط به من خالل اإلهتمام‬
‫وتمويل المشاريع الخيرية‪ ,‬والتصدق على الفقراء وتأدية الزكاة ورعاية مصالح واحتياجات األيتام‪ ,‬عالوة‬
‫على اإلهتمام الحيوانات‪ ,‬وما غيرها من األعمال الخيرية‪.‬‬
‫‪ ‬األخذ في االعتبار المخاطر المصرفية ومحاولة ربطها بتصميم الحوافز المعتمدة على األسهم‪ ,‬وكذلك‬
‫األخذ في االعتبار المسئولية االجتماعية ومدى االلتزام بها من قبل البنك‪ ,‬وإصدار التقارير المتعلقة بها‪.‬‬
‫‪ ‬تدعيم مبدأ الثواب والعقاب‪ ,‬حيث يجب مكافأة الفرد الذي قام بعمله على الوجه األفضل واألكمل‪ ,‬وكذلك‬
‫معاقبة الفرد الذي قصر في القيام بما هو مكلف به من األعباء‪ ,‬وذلك استنادا إلى التقارير التي يجب‬
‫تقديمها لإلدارة عما قام به جميع العاملين‪,‬وذلك كنوع من التحفيز على عدم التكاسل في العمل‪ ,‬وكذلك‬
‫تطبيق هذا المبدأ أيضا على مجلس اإلدارة والمديرين التنفيذيين وليس العاملين اآلخرين فحسب‪.‬‬
‫‪ 2-1‬متطلبات اإلطار المقترح‬
‫‪‬‬
‫‪‬‬
‫‪‬‬
‫‪‬‬
‫تكوين مكتب رقابة داخل كل بنك بحيث يكون أحد أعضائها تابع ألحد الجهات الشرعية في الدولة‪ ,‬ويكون‬
‫مهمته اإلطالع على المبالغ الخاصة بالمكافآت والحوافز المشتقة من األسهم‪ ,‬ويكون له السلطة في الرقابة‬
‫واإلشراف عليها‪ ,‬وتوقيع العقاب والجزاء على مجالس اإلدارة والمديرين التنفيذيين ويأتي ذلك ألنه دائما‬
‫ال يوجد من يقوم بمحاسبة أعضاء مجلس اإلدارة والمديرين التنفيذيين‪.‬‬
‫إعطاء األولية للجانب األخالقي أوال عند اختيار أعضاء مجلس اإلدارة بجانب الناحية العلمية والمؤهالت‬
‫والخبرات التي يمتلكونها‪ ,‬فال قيمة للعلم إذا لم يقترن معه األخالق الحميدة الطيبة‪ ,‬فعندما تتوافر بهم‬
‫األخالق سوف ينعكس باإليجاب على أداء البنك ككل‪ ,‬وعلى األخذ بتطبيق الشريعة ‪.‬‬
‫تقسيم وتصنيف المخاطر المصرفية إلى مجموعات ووضع المؤشرات والنسب تحت كل مجموعة‪ ,‬مع‬
‫المتابعة بشكل مستمر لألنواع المستحدثة للمخاطر المصرفية والتي يمكن التعرض لها‪.‬‬
‫القيام بتحديد المسئوليات بدقة وتحديد من هو الشخص المسئول عنها‪ ,‬وتقسيمها إلى عدة مجموعات‪ ,‬حتى‬
‫يتسنى إلدارة البنك اتخاذ القرار المناسب على ضوء هذا التحديد‪.‬‬
‫‪ -0‬عناصر اإلطار المقترح‪.‬‬
‫في ضوء العرض السابق لمدى مشروعية وتماشى مبادئ وآليات الحوكمة مع ما أمر به الشرع ‪ ,‬تنوى‬
‫الباحثة هنا وضع وصياغة بعض المبادئ واآلليات للحوكمة والتي من شأنها العمل على تحسين عملية‬
‫الحوكمة‪ ,‬وتحقيق أفضل النتائج‪ ,‬ومن ثم وضع إطار إسالمي لتصميم الحوافز التي تعتمد على األسهم‪.‬‬
‫وذلك كما يلي ‪:‬‬
‫‪1-0‬المبادئ المقترحة للحوكمة في ضوء متطلبات الشريعة اإلسالمية‪:‬‬
‫تقترح الباحثة المبادئ التالية‪:‬‬
‫*مبدأ الشورى‪:‬‬
‫حيث يجب األخذ به كأحد مبادئ الحوكمة المقترحة في ضوء اإلطار التشريعي‪ ,‬ويعنى التشاور مع جميع‬
‫العاملين في البنك في اتخاذ القرارات وكيفية تنفيذها وتجميع اآلراء ‪ ,‬وعدم تجاهل آرائهم‪,‬‬
‫ُورى بَ ْينَ ُه ْم)واحترامها‪,‬ومراعاة المستوى الفكري والعقلي والعلمي للكل‪ ,‬تطبيقا لقوله تعالى‬
‫(وأَ ْم ُر ُه ْم ش َ‬
‫َ‬
‫‪ ,‬ويجب أن يشتمل ذلك أيضا على وظيفة التنبؤ للمستقبل وسماع اآلراء المختلفة‪[.‬الشورى‪]38 ,‬‬
‫*مبدأ العدالة في المعاملة‪:‬‬
‫ويقتضى بأن يتم عدم التمييز بين العاملين في اإلدارة العليا وبين ما دون ذلك‪ ,‬وكذلك عدم التمييز بين‬
‫أعضاء مجلس اإلدارة وغيرهم من العاملين‪ ,‬فالجميع سيان في المعاملة‪.‬‬
‫*مبدأ احتياجات البيئة والمجتمع‪:‬‬
‫حيث يجب العمل على األخذ باحتياجات من هم خارج البنك‪ ,‬وحصر وتحديد احتياجات الفقراء ومن يرغبون‬
‫في الزواج‪ ,‬والتطوع في المشاريع الخيرية وتمويلها‪ ,‬وتمويل دور العلم والعبادة وإنشائها‪ ,‬ومراعاة وتلبية‬
‫حاجة األيتام‪ ,‬وكذلك التقليل من عدد العاطلين‪.‬‬
‫*مبدأ العنصر البشرى هو األساس‪:‬‬
‫ويقتضى هذا المبدأ بأن يتم اإلهتمام بحقوق العاملين باختالف مستوياتهم ودرجاتهم ‪ ,‬فيجب توفير الرعاية‬
‫الصحية واالجتماعية والنفسية لهم‪ ,‬وليس اإلهتمام فقط بالجانب المادي‪ ,‬ويجب أن يتكاتف الجميع عندما‬
‫يتعرض أيا منهم إلى مشكلة ما ‪ ,‬ويجب الحرص على سن القوانين من الهيئات المعنية بذلك على وضع‬
‫وصياغة حقوق العاملين‪ ,‬وكذلك توقيع الجزاء على من يقوم بسلب حقوقهم األخرى بخالف الحقوق المادية‪,‬‬
‫عالوة على سن القوانين والتشريعات التي من شأنها العمل على ما يسمى بـ (التوظف مدى الحياة للعامل)‪.‬‬
‫*الصدق واألمانة والشفافية والوفاء بالعقود‪:‬‬
‫وذلك تغييرا لمسميات المبادئ التالية (الشفافية واإلفصاح‪ ,‬حقوق المساهمين‪,‬المعاملة العادلة للمساهمين)‬
‫المعمول بها في نموذج الحوكمة الحالي‪ ,‬فهذا المبدأ اإلسالمي يرسخ صفة الصدق واألمانة والشفافية في‬
‫التعامل مع كافة المتعاملين مع البنك وكافة األطراف والمصالح‪ ,‬وكذلك الجهات والهيئات الحكومية‪ ,‬فعالوة‬
‫عما نادت به تلك المبادئ من أهمية الشفافية واإلفصاح عن المعلومات التي تؤثر على قرارات المساهمين‬
‫وكذلك توحيد المعاملة للمساهمين‪ ,‬فيجب التركيز أيضا على الفئات األخرى وليس المساهمين فقط‪ ,‬ويجب‬
‫االلتزام وتنفيذ العقود التي تم إبرامها مع جميع األطراف بما فيهم المساهمين‪ ,‬وعدم اإلخالل باالتفاقيات أو‬
‫مواعيد التنفيذ أو مواعيد االنتهاء منها‪ ,‬ويجب على البنك أن يسعى دائما إلى الوفاء بالعقود المختلفة وعدم‬
‫العمل على اإلخالل بها‪ ,‬وبالتالي يجب تقسيم األطراف المتعاملة إلى فئات مختلفة وصياغة ووضع حقوق‬
‫كل فئة على حدة‪ ,‬ويتم إدماج ما جاء تحت بند حقوق المساهمين والمعاملة العادلة لهم تحت هذا البند المقترح‪.‬‬
‫*األمر بالمعروف والنهى عن المنكر‪:‬‬
‫ويمثل هذا المبدأ أهمية كبيرة في الحفاظ على القيم والمعتقدات الدينية‪ ,‬وكذلك العمل على احترام أصحاب‬
‫الديانات والمعتقدات األخرى وعدم اإلخالل بحقوقهم‪ ,‬وبالتالي ترى الباحثة في ظل هذا المبدأ انه يجب زرع‬
‫القيم الدينية لدى العاملين‪ ,‬والنصح عند وقوع الخطأ‪ ,‬كما يجب النهى عن كل ما ال يرضى هللا تعالى من قبل‬
‫العاملين واإلدارة من حيث تعاملهم مع العمالء‪ ,‬وتقديمهم لخدمات البنك‪ ,‬وما نحو ذلك من األمور التي تعتبر‬
‫هامة لسير العمل‪ ,‬فهي وسيلة لتنمية الجانب السلوكي واألخالقي لجميع العاملين والمديرين بالبنك‪ ,‬ولم يأت‬
‫ذكرها في مبادئ الحوكمة المعمول بها في نموذج الحوكمة الحالي المطبق‪.‬‬
‫*مبدأ االبتكار واإلبداع بصفة مستمرة‪:‬‬
‫ويعنى إعطاء العناية واالهتمام باألفكار المطروحة بغرض التطوير والتحسين المستمر ألداء وخدمات البنك‪,‬‬
‫بحيث تتفوق على نظيراتها‪ ,‬ولكن يشترط هنا أال تتم بناءا على مخالفة شرع هللا‪ ,‬أو اإلخالل بأية قيم أخالقية‬
‫وسلوكية‪ ,‬حيث يجب أن يتم ذلك بصفة متكررة ومستمرة‪ ,‬ودراسة األفكار المطروحة بشكل واضح ودقيق‪,‬‬
‫وتحديد البدائل لها‪.‬‬
‫*مبدأ الثواب والعقاب‪:‬‬
‫ويعنى هذا المبدأ بتطبيق وإعطاء كل ذي حق حقه من كافة األفراد العاملين بالبنك‪ ,‬ويعنى ذلك أنه من قام‬
‫بأداء عمله في الوقت المحدد وعلى ما يرام وبنفس الكفاءة والمستوى المطلوب فهو يستحق المكافأة‪ ,‬ومن قام‬
‫بالتخاذل والتكاسل في عمله وعدم إنجاز ما هو مطلوب منه سوف يتم تطبيق الجزاء والعقوبة عليه‪ ,‬وكذلك‬
‫من يقوم بإفشاء أسرار العمل وعدم احترامها وعدم احترام الوقت‪...‬الخ‪.‬‬
‫*الجوانب السلوكية واألخالقية أوال قبل العلمية ألعضاء مجلس اإلدارة مع تحديد مسئولياتهم‪:‬‬
‫حيث يجب هنا اختيار أعضاء مجلس اإلدارة ممن تتوافر فيهم األخالق الحسنة والوفاء بالعهد‪ ,‬وكذلك‬
‫المعاملة الجيدة لكافة العاملين وكافة المتعاملين‪ ,‬واالستماع للشكاوى ومحاولة تقديم الحلول‪,‬هذا مع االحتفاظ‬
‫واإلبقاء على ما جاء في المبدأ الخاص بمسئوليات مجلس اإلدارة من حيث تكوين هيكل للمسائلة وأن يكون‬
‫للجميع حق مساءلة مجلس اإلدارة من قبل جميع األطراف والفئات المتعاملة‪ ,‬أي أنه سيتم تغيير المسمى‬
‫الخاص بمسئوليات مجلس اإلدارة إلى هذا المسمى المقترح من قبل الباحثة‪ ,‬كما يجب مراعاته أيضا‬
‫للجوانب السلوكية عنده اختياره للجنة المراجعة الداخلية‪ ,‬وكذلك تصميم الحوافز والتي يجب أن تأخذ في‬
‫اعتبارها المبادئ واآلليات المقترحة‪.‬‬
‫‪0-0‬اآلليات المقترحة الخاصة بالحوكمة في ضوء النهج اإلسالمي الحنيف‪:‬‬
‫*تطبيق جوانب المسئولية االجتماعية وتكوين الصداقة مع البيئة والمجتمع‪:‬‬
‫ويجب تحديد وتوصيف لآلليات التي سيتم من خاللها تطبيق مبدأ المسئولية االجتماعية‪ ,‬وتحديد الموارد‬
‫البشرية والمادية والعينية الالزمة‪ ,‬ومحاولة حل المشاكل التي تواجه البنك في هذا الصدد‪ ,‬كما يجب تطبيق‬
‫العقوبة على البنك ككل عند عدم التزامه بالمسئولية االجتماعية‪,‬ويجب إصدار التقارير بصفة مستمرة‬
‫ومقارنتها بشكل سنوي أو شهري أو بحسب ما يراه البنك مناسبا (آلية خارجية)‪ .‬وترى الباحثة أنه يجب على‬
‫إدارة البنك إصدار قوائم أو تقارير إضافية ‪ -‬بجانب القوائم األساسية – بحيث تحتوى على جميع األنشطة‬
‫والمصروفات التي تم إنفاقها المتعلقة بالمسئولية االجتماعية ‪.‬‬
‫*من بداخل الشركة هم بمثابة األسرة الواحدة‪:‬‬
‫وذلك تطبيقا للمبادئ المقترحة‪ :‬العنصر البشرى والعدالة في المعاملة‪ ,‬حيث يجب التكاتف والتعاون وتكوين‬
‫فرق العمل الجماعية‪ ,‬وعدم التقليل من شأن أي فرد عامل أو موظف‪ ,‬ويجب أن يقف الجميع بجانب الفرد‬
‫الذي يواجه مشكلة ما بل ومساعدته‪ ,‬كما يجب القيام على إصالح العالقات بين العاملين وإزالة ما بها من‬
‫الشحناء والبغضاء‪ ,‬وزيارة المريض‪ ,‬وما غير ذلك من الواجبات الهامة التي تقوى روح اإلخوة والثقة بين‬
‫العاملين والمديرين وبعضهم البعض(آلية داخلية)‪.‬‬
‫*استغالل الوقت‪:‬‬
‫ويعنى ذلك عدم تضييع الوقت بما ال يعود بالنفع على البنك وعلى الشركات على وجه العموم‪ ,‬والذي يعتبر‬
‫أحد الجوانب السلوكية والتي يجب األخذ بها‪ ,‬ويجب معاقبة من يقوم بتضييع وقته وعدم استغالله في العمل‪,‬‬
‫ويجب خصم قيمة معينة من المكافآت المصروفة له حتى يتم زرع قيمة الوقت لدى الجميع‪ ,‬ويجب تطبيق‬
‫ذلك على جميع العاملين والمديرين بال أي استثناء (آلية داخلية)‪.‬‬
‫*تطبيق آليات الثواب والعقاب للجميع بال استثناء‪:‬‬
‫حيث يجب مكافأة العاملين والمديرين المخلصين في عملهم‪ ,‬وكذلك العقاب للعاملين المتخاذلين في أداء‬
‫أعمالهم الموكلة إليهم‪ ,‬وكذلك أعضاء مجلس اإلدارة يجب تطبيق أقصى العقوبة عند عدم التزامهم بتنفيذ‬
‫العقود وضياع حقوق المتعاملين مع البنك‪ ,‬ويدخل في ذلك أيضا عدم االلتزام بالجوانب السلوكية واألخالقية‬
‫من حيث عدم احترام العمل وإفشاء أسراره‪.....‬الخ (آلية داخلية)‪.‬‬
‫*عقد جلسات التشاور والعصف الذهني للجميع بصفة متكررة‪:‬‬
‫وذلك تطبيقا لمبدأ الشورى أيضا وكذلك االبتكار واإلبداع‪ ,‬حيث يجب أن يتجمع من في الشركة (وهنا يجب أن‬
‫يجمع العاملين جميعهم بالبنك)‪ ,‬وتجميع األفكار والمقترحات سواء كانت للمساهمة في اتخاذ القرارات أو‬
‫إليجاد األساليب الحديثة التي تميز خدمات البنك‪ ,‬ويجب األخذ بها‪ ,‬كما يجب عدم التغيب عن هذه الجلسات‬
‫حرصا على تطبيق مبدأ الشورى كما جاء في القرآن الكريم (آلية داخلية)‪.‬‬
‫*تكوين لجنة الحوافز والمكافآت من قبل مكتب الرقابة بالبنك‪:‬‬
‫حيث يجب أن يتم اختيار هذه اللجنة من قبل هيئة الرقابة الموجودة في البنك وأن يتم اختيار أعضائها ممن هم‬
‫معروف عنهم األمانة والشرف والنزاهة‪ ,‬وتحليهم بالقيم األخالقية‪ ,‬ويجب فصلها عن مهام مجلس اإلدارة‬
‫والمديرين التنفيذيين فهم ليسوا سوى عاملين بالبنك‪ ,‬ويجب أال يتحكموا في مبالغ الحوافز والمكافآت التي يتم‬
‫صياغتها ووضعها‪ ,‬والتي يجب أن تأخذ في اعتبارها جميع المبادئ واآلليات المقترحة والتي تم اإلبقاء عليها‪,‬‬
‫كما يجب األخذ بما جاء في الشريعة عالوة على محاولة األخذ بما جاء في تقرير البنك المركزي ولجنة‬
‫االستقرار المالي(آلية داخلية)‪.‬‬
‫*مسئوليات أعضاء مجلس اإلدارة وتحديد المهام بدقة‪:‬‬
‫يجب أن تشتمل المسئوليات على كال من تجميع اآلراء والمقترحات للتطوير أو لحل المشكالت‪ ,‬اختيار‬
‫أعضاء لجنة المراجعة ممن تتوافر فيهم العدالة والصدق‪ ,‬تحديد وتصنيف كافة المخاطر المصرفية التي‬
‫يتعرض لها البنك ووضع المؤشرات والنسب المناسبة لها‪ ,‬محاولة معرفة والتنبؤ بالمشكالت المستقبلية وتحديد‬
‫واتخاذ الالزم لها وعمل ورسم الخطط‪ ,‬وكذلك رسم الخطط عند مواجهة األزمات المالية‪ ,‬التحديد الدقيق لمهام‬
‫ومسئوليات كل فرد على حدة ويجب أن يكون ذلك بشكل تفصيلي‪ ,‬تقييم األداء للعاملين طبقا للمسئوليات‬
‫والمهام التي تم تحديدها لهم ‪ ,‬عمل تقارير األداء لكل عامل وموظف ومدير على حدة‪,‬كما يجب رفع تقارير‬
‫األداء الخاصة بمجلس اإلدارة لمكتب الرقابة بالبنك (آلية داخلية)‪.‬‬
‫هذا مع االحتفاظ ببعض اآلليات الداخلية والخارجية كما هي مطبقة في نموذج الحوكمة الحالي وهى الهيكلية‬
‫‪ ,‬هيكل رأس المال‪ ,‬القانون األساسي و الالئحة الداخلية‪ ,‬نظم الرقابة الداخلية (آليات داخلية)‪ ,‬وكذلك ‪structure‬‬
‫القوانين واللوائح التنظيمية ‪ ,‬األسواق وتحتوى على (أسواق رأس المال ‪ ,‬السوق كأحد آليات الرقابة على‬
‫الشركات ‪ ,‬سوق قوة العمل ‪ ,‬سوق منتجات الشركة)‪ ,‬الجهات الخارجية لإلشراف والرقابة وخصوصا ً " اإلعالم‬
‫والدعاوى القضائية"‪,‬الجهات التي تقدم الخدمات المحاسبية والمالية والقانونية بما فيها المراجعة‪ ,‬المعلومات‬
‫‪ ,‬ومحللي ‪ , equity‬والملكية ‪credit‬التي يوفرها سوق رأس المال وتحليلها مثل التي تقدم من خالل االئتمان‬
‫(آليات خارجية)‪governance analysis.‬الحوكمة‬
‫وبالتالي ومما سبق تخلص الباحثة إلى ترتيب المبادئ واآلليات السابقة سواء المقترحة أو ما تم اإلبقاء عليها طبقا‬
‫لما يلي ‪:‬‬
‫كل (‪ :)2‬تلخيص لمبادئ وآليات الحوكمة المقترحة والتي تم اإلبقاء عليها‪.‬‬
‫مبادئ الحوكمة المقترحة‪ :‬الشورى‪ ,‬العدالة في المعاملة‪ ,‬احتياجات البيئة والمجتمع‪,‬العنصر البشرى هو األساس‪ ,‬الصدق‬
‫واألمانة والشفافية والوفاء بالعقود‪,‬األمر بالمعروف والنهى عن المنكر‪,‬االبتكار واإلبداع بصفة مستمرة‪,‬الثواب‬
‫والعقاب‪,‬الجوانب السلوكية واألخالقية أوال ألعضاء مجلس اإلدارة مع تحديد مسئولياته‪.‬‬
‫آليات الحوكمة المقترحة والتي تم اإلبقاء عليها‪ :‬أ‪ -‬آليات داخلية‪ :‬من بداخل الشركة هم بمثابة األسرة الواحدة‪ ,‬مسئوليات‬
‫أعضاء مجلس اإلدارة‪ ,‬تكوين لجنة الحوافز والمكافآت من قبل مكتب الرقابة بالبنك‪ ,‬عقد جلسات التشاور والعصف الذهني‬
‫‪ ,‬هيكل رأس المال‪ ,‬القانون ‪structure‬للجميع بصفة متكررة‪ ,‬استغالل الوقت‪,‬الثواب والعقاب للجميع بال أي استثناء‪ ,‬الهيكلية‬
‫األساسي و الالئحة الداخلية‪ ,‬نظم الرقابة الداخلية‪ .‬ب‪ -‬آليات خارجية‪ :‬القوانين واللوائح التنظيمية ‪ ,‬األسواق وتحتوى على‬
‫(أسواق رأس المال ‪ ,‬السوق كأحد آليات الرقابة على الشركات ‪ ,‬سوق قوة العمل ‪ ,‬سوق منتجات الشركة)‪ ,‬الجهات الخارجية‬
‫لإلشراف والرقابة وخصوصا ً " اإلعالم والدعاوى القضائية"‪,‬الجهات التي تقدم الخدمات المحاسبية والمالية والقانونية بما فيها‬
‫المراجعة‪ ,‬المعلومات التي يوفرها سوق رأس المال‬
‫وتحليلها مثل التي تقدم من خالل االئتمان‪ ,‬والملكية ‪ ,‬ومحللي الحوكمة‪,‬‬
‫تطبيق جوانب المسئولية االجتماعية وتكوين الصداقة مع البيئة والمجتمع‪.‬‬
‫‪ 3-0‬إطار الحوافز المشتقة من األسهم المقترح في ظل تأثير النهج اإلسالمي على مبادئ وآليات الحوكمة‪:‬‬
‫ترى الباحثة أن وضع ورسم سياسة هيكل الحوافز التي تعتمد على األسهم يجب أن تكون في ظل تأثير الدين‬
‫اإلسالمي على مبادئ وآليات الحوكمة التي تم اقتراحها أو سواء لتلك التي تم اإلبقاء عليها‪,‬كما ترى الباحثة أن‬
‫تحصيل تلك الحوافز يجب أن يكون بناءا على عدد ساعات العمل ذاتها المراد احتساب قيمة الحوافز لها وليس‬
‫كمبلغ ثابت ال يراعى األسس والقواعد المنطقية كما هو سائد‪ ,‬وتتمثل خطوات تصميم تلك الحوافز كما يلي‪:‬‬
‫*الخطوة األولى‪ :‬تحديد وتصنيف المخاطر المصرفية ووضع المؤشرات والنسب الخاصة بها تحت كل‬
‫مجموعة على حدة‪:‬‬
‫ترى الباحثة أهمية هذه الخطوة ‪ ,‬حيث يجب على إدارة البنوك اإلسالمية تحديد المخاطر المصرفية والتي من‬
‫المحتمل التعرض لها‪ ,‬كما يجب تصنيف هذه المخاطر طبقا لنوعها ودرجة خطورتها ‪ ,‬عالوة على أنه يجب‬
‫التمييز بين مسببات تلك المخاطر حيث يجب تقسيمها إلى مخاطر ناتجة عن التقصير في الواجبات والمسئوليات‪,‬‬
‫وأخرى خارجة عن نطاق سيطرة اإلدارة والعاملين بالبنك‪.‬‬
‫*الخطوة الثانية‪ :‬تحديد عدد الساعات المراد حساب العامل والمدير عليها الحتساب الحوافز‪:‬‬
‫حيث يجب هنا التحديد الدقيق للساعات المراد احتساب الحوافز على أساسها‪ ,‬وترى الباحثة أنه يعتبر األفضل‬
‫لذلك هو ما يلي‪:‬‬
‫ساعات العمل اإلضافية ‪ +‬ساعات عمل أخرى غير إضافية (تمثل بعضا من ساعات العمل وليست جميعها)‬
‫مضروبة في عدد األسهم التي يتم تحصيلها كحوافز المخصصة لكل ساعة على حدة‪.‬‬
‫أي تكون تلك المعادلة كما يلي ‪:‬‬
‫عدد األسهم والممنوحة كحوافز ‪(x‬ساعات العمل اإلضافية ‪ +‬ساعات عمل أخرى مضافة بواسطة اإلدارة)‬
‫لكل ساعة‪.‬‬
‫*الخطوة الثالثة‪ :‬تقسيم عدد األسهم المراد تحصيلها كحوافز إلى نسب‪:‬‬
‫تم اإلشارة فيما سبق إلى أن الحوافز المشتقة من األسهم تنصب على تحصيلها عند تحقيق األهداف المرجوة‬
‫منها ‪ ,‬وحرصا على تطبيق الشرع اإلسالمي في هذا الصدد ترى الباحثة أن الحوافز المتمثلة في األسهم يجب‬
‫أن يتم تقسيمها وتحصيلها على النحو التالي ‪:‬‬
‫نسبة ‪ 61‬في المائة‪ :‬يتم تحصيلها عند قيام العامل أو المدير بإنهاء مهامه على الوجه المطلوب و األمثل‪.‬‬
‫نسبة ‪ 11‬في المائة‪ :‬يتم تحصيلها عند تحقق األهداف المرجوة من قبل البنك ويتم تحصيلها في الحال‪.‬‬
‫*الخطوة الرابعة‪ :‬تقسيم وتصنيف جميع البنود المتعلقة بالمخاطر المصرفية إلى األداء الذي يناسبها‪:‬‬
‫أي يجب تقسيم وتصنيف جميع المؤشرات والنسب المتعلقة بالمخاطر وما تحتويه من البنود إلى‪ :‬مؤشرات‬
‫ونسب وبنود متعلقة باألداء المالي – مؤشرات ونسب وبنود متعلقة باألداء التشغيلي – مؤشرات ونسب وبنود‬
‫متعلقة باألداء النقدي‪ ,‬ويجب أن يتم هذا التصنيف بمعرفة كال من اإلدارة الموجودة بالبنك بالتعاون مع هيئة‬
‫الرقابة الشرعية‪ ,‬وعند وجود نسب أو مؤشرات ال يمكن تصنيفها إلى نوع معين من األداء يتم معالجتها أيضا‬
‫بمعرفة اإلدارة ووضعها تحت "بنود ومؤشرات خاصة ال يمكن تصنيفها" على سبيل المثال‪.‬‬
‫*الخطوة الخامسة‪:‬عمل تقارير األداء‪:‬‬
‫وهى الخاصة بجميع العاملين‪ ,‬وأيضا المديرين‪ ,‬ومحاولة تخصيص تأثيرها على تصنيفات األداء السابق‬
‫(الخاص بالخطوة الرابعة) في ضوء المخاطر المصرفية‪ ,‬ويعنى ذلك أن يتم ربط األداء الذى قام به العامل أو‬
‫المدير بمدى مساهمته فى تخفيض المخاطر التى تم تصنيفها ‪ ,‬إضافة إلى معرفة عدد الساعات التي قام بها‪,‬‬
‫وكذلك تحديد درجة ونوعية المهام وتعقيداتها ومدى صعوبتها‪.‬‬
‫*الخطوة السادسة‪:‬زيادة عدد األسهم المخصصة للساعة الواحدة فى ضوء الدرجة الوظيفية ونوع وتعقيد‬
‫المهام (تحقيقا لمبدأ العدل وعدم المساواة)‪:‬‬
‫حيث أنه من غير العدل أن يتم المساواة ومعاملة الجميع (من حيث عدد األسهم) معاملة واحدة‪ ,‬فهناك تباين‬
‫واختالف في الدرجات الوظيفية والعلمية وكذلك نوعية وكمية المهام المطلوب إنجازها‪ ,‬وبالتالي يجب على‬
‫البنك تحديد عدد األسهم اإلضافية للعاملين والمديرين الذين يتميزون بتعقيد وصعوبة المسئوليات المنوطة‬
‫إليهم‪,‬وكذلك درجتهم الوظيفية والعلمية‪ ,‬عالوة على التحديد الدقيق لمدى مساهمة كل فرد ومدير (األنشطة‬
‫والمهام) في التأثير على البنود المؤثرة على المخاطر ومنها على األداء أيا كان نوعه‪ .‬وتقترح الباحثةأن تقوم‬
‫اإلدارة بتقسيم الدرجات العلمية والوظيفية ومدى تعقد المهام إلى مجموعات (أو أكواد) بحيث يتم ادراج تحت‬
‫كل مجموعة على حدة األسهم المخصصة لها‪.‬‬
‫ويمكن أن يكون ذلك على النحو التالى ‪:‬‬
‫*‬
‫الدرجة العلمية‬
‫عالية‬
‫متوسطة‬
‫*رقم كود‬
‫‪11‬‬
‫‪12‬‬
‫*عدد األسهم‬
‫‪...‬‬
‫‪.....‬‬
‫تحت المتوسطة‬
‫‪13‬‬
‫‪....‬‬
‫المخصصة كحوافز‬
‫طبقا لرقم الكود‬
‫وترى الباحثة أن يتم أيضا توصيف الدرجات الوظيفية كما سبق بالنسبة للدرجة العلمية ‪ ,‬وكذلك الحال بالنسبة‬
‫لتعقيد وصعوبة المهام حيث يجب أن يتم توصيف وتوصيف مدى صعوبة المهام إلى مجموعات وأكواد وتحديد‬
‫عدد األسهم المخصصة كحوافز بناءا على التصنيف الذى تقوم اإلدارة بوضعه بحيث أنه فى النهاية يحصل‬
‫الموظف أو المدير على ما يستحقه من الحوافز ‪ .‬فعلى سبيل المثال ‪.....‬‬
‫بافتراض أن الموظف ‪ ..............‬كان تصنيفه كاآلتى‪:‬‬
‫الدرجة العلمية ‪ :‬عالية (وكان عدد األسهم المخصصة كحوافز طبقا لذلك التصنيف عددها ‪ 25‬سهما)‪.‬‬
‫درجة تعقيد المهام‪ :‬متوسطة (وكان عدد األسهم طبقا لذلك ‪ 31‬سهما)‪.‬‬
‫الدرجة الوظيفية‪ :‬الثانية (وكان عدد األسهم طبقا لذلك ‪ 21‬سهما)‬
‫بالتالى عند احتساب عدد األسهم اإلضافية يتم حسابها كاآلتى‪:‬‬
‫‪ 25‬سهما ‪ 31 +‬سهما ‪ 21 +‬سهما (وذلك بالنسبة للساعة الواحدة)‬
‫*الخطوة السابعة‪ :‬تحديد مساهمة كل عامل وفرد ومدير في جلسات العصف الذهني وكذلك مساهمته في‬
‫تقديم األفكار الجديدة بغرض التطوير أو حل المشكالت‪:‬‬
‫حيث يجب عالوة على سبق زيادة عدد األسهم المحصلة كحوافز بناءا على مدى فاعلية المقترحات واألفكار‬
‫التي تم اقتراحها والتي أتت بنتائج إيجابية على البنك ككل ومكافأة صاحبها والذي يعد نوعا من التشجيع على‬
‫استخدام المهارات العقلية لإلبداع وحل المشكالت في ضوء المنافسة الحميمة‪ ,‬وكذلك يجب احترام اآلراء‬
‫والمقترحات األخرى‪ ,‬ويتم أن يتم ذكر ذلك في التقرير الخاص بأداء كل فرد عامل ومدير‪.‬‬
‫*الخطوة الثامنة‪ :‬تقييم األداء الخاص بالمسئولية االجتماعية وفقا للتقارير المعدة‪:‬‬
‫حيث يجب إعداد التقارير الخاصة باألداء اإلجتماعى نحو البيئة الخارجية والمجتمع الذي يعمل به البنك‪ ,‬وأن‬
‫يتم مقارنة األرقام مع السنوات السابقة‪ ,‬والعمل على زيادتها قدر المستطاع‪.‬‬
‫*الخطوة التاسعة‪ :‬تحديد جوانب اإلخفاق السلوكي سواء كان مصدره العاملين أم المديرين‪:‬‬
‫ويكون ذلك أيضا عن طريق تقارير األداء الخاصة بكل فرد على حدة‪ ,‬وترى الباحثة أنه يجب أن يدون بها‬
‫أيضا أية أعمال من شأنها اإلخالل بالقيم واألخالقيات والسلوكيات المحمودة وعدم االلتزام بها‪ ,‬وكذلك تحديد‬
‫عدد الساعات الضائعة وتقسيمها لعدد ساعات يمكن السيطرة عليها وعدد ساعات ال يمكن السيطرة عليها‬
‫لتحديد من هو المتكاسل والذي لم يقم باستغالل الوقت‪ ,‬وكذلك مراعاة لظروف العاملين الذين يعانون المرض‬
‫وما شابه ذلك‪ ,‬ويتم األخذ في االعتبار أيضا عدم تنفيذ العقود واالتفاقيات وعدم تقديم التقارير للهيئات في‬
‫مواعيدها المحددة‪ ,‬وخصم تلك الساعات من الساعات المراد احتسابها للحوافز القائمة على األسهم فيما عدا‬
‫المرضى وما نحوهم‪.‬‬
‫*الخطوة العاشرة‪ :‬تحديد جوانب اإلخفاق في األداء المتعلق بالمسئولية االجتماعية‪:‬‬
‫وترى الباحثة أن تلك األعمال يرجى منها فقط الثواب من هللا وال يجب أن يتم أخذ مقابل لها‪ ,‬ولكن ترى الباحثة‬
‫أنه يجب معاقبة المتسببين في عدم تأدية تلك المهام الهامة‪,‬وخصم بعضا من عدد األسهم الخاصة بهم‪ ,‬وذلك‬
‫حتى يتسنى لهم إتباع ما جاء في الشريعة اإلسالمية‪ ,‬ومما ال شك فيه أن إدارة البنك وحدها هى من سيتحمل‬
‫ذلك العقاب والجزاء نظير إخفاقها فى واجباها نحو البيئة والمجتمع المحيط‪.‬‬
‫خالصة القسم الثالث‬
‫تم في هذا القسم صياغة بعض المبادئ واآلليات الخاصة بالحوكمة ‪ ,‬وذلك في ضوء متطلبات النصوص‬
‫التشريعية اإلسالمية‪ ,‬وعلى إثر ذلك قامت الباحثة باقتراح مجموعة من الخطوات لكيفية تصميم وتحصيل أنظمة‬
‫الحوافز المبنية على األسهم‪ ,‬مراعية في ذلك تأثر مبادئ وآليات الحوكمة بالشريعة اإلسالمية‪.‬‬
‫‪ ‬الخاتمة واألبحاث المستقبلية‪:‬‬
‫‪ ‬الخاتمة‪:‬‬
‫تناولت الباحثة في القسم األول عرض واستقراء وتحليل الدراسات السابقة الخاصة بالحوافز على أساس األسهم‬
‫واتضح مساهمة الدراسات في إبراز أهمية الحوافز ولكنها لم تتناول بعد الحوافز المشتقة من األسهم في البنوك‬
‫اإلسالمية وذلك في ضوء الشريعة اإلسالمية‪ ,‬كما تم الخوض في مبادئ وآليات الحوكمة المعمول بها حاليا‪,‬‬
‫وكذلك التطرق لألنواع المختلفة من الحوافز المشتقة من األسهم والتي تمثلت في ثمانية أنواع وتعد من أبرزها‬
‫خيارات األسهم‪ ,‬وكذلك مفهومها وأسباب نشأتها‪ .‬وفى القسم الثاني تم فيه تناول عالقة الحوافز بالحوكمة وكذلك‬
‫معرفة تماشى أو عدم تماشى المبادئ واآلليات مع الشريعة‪ ,‬واتضح عدم تماشيها من جوانب عدة من أهمها عدم‬
‫األخذ بالمسئولية االجتماعية والعنصر البشرى وروح العمل الجماعي واالبتكار والتطوير وكذلك عدم األخذ‬
‫بالجوانب السلوكية واألخالقية‪ ,‬كما تم التوصل إلى عدم مشروعية الحوافز المبنية على األسهم من حيث عدم‬
‫أخذها لساعات العمل وعدم عدالة توقيت تحصيلها وطريقة تصميمها كما تم أيضا عرض اإلصدارات المحلية‬
‫والدولية المهتمة بالحوافز في البنوك وعالقتها باألداء من خالل ما أصدره البنك المركزي المصري ولجنة‬
‫االستقرار المالي وقد اتضح عدم شمول هذه اإلصدارات للبنوك اإلسالمية‪ .‬وفى القسم الثالث تم فيه وضع‬
‫األهداف والمتطلبات الخاصة باإلطار المقترح ومنها عدم تمويل األنشطة المحرمة في الدين اإلسالمي‪ ,‬كما‬
‫هدف اإلطار لألخذ بما جاء في الشريعة اإلسالمية لتصميم الحوافز المشتقة من األسهم‪ ,‬كما تم فيه اقتراح بعض‬
‫مبادئ للحوكمة لتتماشى مع الشريعة ومنها الشورى والصدق واألمانة والوفاء بالعقود‪ ,‬وكذلك بعض اآلليات‬
‫ومنها استغالل الوقت وتطبيق آليات الثواب والعقاب للجميع بال استثناء‪ ,‬عالوة على اقتراح كيفية تصميم الحوافز‬
‫والتي تستند إلى تحديد عدد ساعات العمل وضربها في عدد األسهم المقدرة مع األخذ في االعتبار أية أعمال‬
‫مخلة باألخالق أو اإلخفاق في األداء اإلجتماعى‪.‬‬
‫‪ ‬األبحاث المستقبلية‪:‬‬
‫من خالل االستعراض السابق توصى الباحثة بإجراء البحوث المستقبلية واالهتمام بالنقاط البحثية التالية‪:‬‬
‫‪-1‬‬
‫‪-2‬‬
‫‪-3‬‬
‫‪-4‬‬
‫استخدام األساليب الكمية لتحديد قيم الحوافز المشتقة من األسهم في البنوك اإلسالمية‪.‬‬
‫دراسة تأثير تصميم الحوافز المشتقة من األسهم من المنظور اإلسالمي على مكافحة عمليات غسيل األموال‪.‬‬
‫مراجعة الحوافز المشتقة من األسهم في البنوك اإلسالمية في ضوء معايير المراجعة الشرعية ‪.‬‬
‫محاولة دراسة كيفية تحديد سعر السهم من المنظور اإلسالمي ومدى تأثير ذلك على تصميم الحوافز المشتقة‬
‫من األسهم بالبنوك اإلسالمية‪.‬‬
‫هوامش البحث‪:‬‬
‫[‪]1‬‬
‫راندا موسى كيوان ‪ " ,‬أثر هيكل دخول المديرين على القيمة االقتصادية المضافة في المنشآت المصرية دراسة تطبيقية " ‪ ,‬مجلة البحوث التجارية ‪ ,‬كلية‬
‫التجارة ‪ ,‬جامعة الزقازيق ‪ ,‬العدد األول ‪. 2111 ,‬‬
‫[‪]2‬‬
‫ميهاب صالح أحمد بيومي‪ " ,‬قياس أثر الدور الحوكمى لعقود مكافآت العاملين وفقا ألساس خيارات األسهم على جودة األرباح المحاسبية وأداء المنشأة"‪,‬‬
‫رسالة ماجستير‪ ,‬كلية التجارة باإلسماعيلية‪,‬جامعة قناة السويس‪.2112,‬‬
‫[‪]3‬‬
‫‪Dhaouadi K, " Effect of Corporate Governance on the Top Management Team Compensation", Journal of Economics‬‬
‫‪and International Finance, Vol. 4 (1), January, 2012.‬‬
‫]‪[4‬‬
‫‪Shahbaz, S, "Do CEO Compensation Incentives affect Firm Innovation?", Review of Accounting and Finance, Vol. 11‬‬
‫‪Iss: 1, 2012 .‬‬
‫]‪[5‬‬
‫‪Tzioumis K & Gee M, "Nonlinear Incentives and Mortgage Officers' Decisions" ,Journal of Financial Economics‬‬
‫‪(JFE), Vol 107, Issue 2, February ,2013.‬‬
‫]‪[9‬‬
‫للمزيد من التفاصيل يتم الرجوع إلى الرابط التالي‬
‫‪http://www.equilar.com/ceo-compensation/‬‬
‫]‪[7‬‬
‫محمد أحمد حنفي محمود‪" ,‬دراسة أثر ظاهرة إدارة األرباح على جودة القوائم المالية – مع دراسة تطبيقية"‪ ,‬رسالة دكتوراه ‪ ,‬كلية التجارة‪,‬جامعة‬
‫اإلسكندرية‪,2111,‬ص ‪.13-11‬‬
‫[‪]8‬‬
‫الفقرة ‪(2‬أ) من معيار المحاسبة المصري رقم ‪ 36‬الصادر عن وزارة االستثمار في مصر‪.‬‬
‫[‪] 6‬‬
‫الفقرة ‪ 12‬من معيار المحاسبة المصري رقم ‪.36‬‬
‫لمزيد من التفاصيل يمكن الرجوع إلى‪:‬‬
‫‬‫‪-‬‬
‫[‪]11‬‬
‫أحمد زكى حسين متولى ‪ " ,‬إطار موسع لمراجعة القيمة العادلة لخيارات األسهم فى ضوء المعايير الدولية للمراجعة وأثره على مصداقية القوائم‬
‫المالية – مسح ميدانى"‪ ,‬مجلة المحاسبة المصرية‪ ,‬كلية التجارة‪ ,‬جامعة القاهرة‪ ,‬العدد الثالث‪ ,2112 ,‬ص ‪.218 -214‬‬
‫ميهاب صالح أحمد بيومي‪ ,‬مرجع سبق ذكره‪ ,‬ص ‪.32-25‬‬
‫] ‪[11‬‬
‫مجد حسن عبد الرحمن محمد‪" ,‬أثر تطبيق آليات وركائز الحوكمة في البنوك التجارية على ترشيد قرارات منح االئتمان وتوريق الديون"‪ ,‬المجلة العلمية‬
‫لالقتصاد والتجارة‪,‬كلية التجارة‪ ,‬جامعة عين شمس‪ ,‬العدد الثاني‪,‬المجلد األول‪ ,‬أبريل ‪ ,2112‬ص ‪.936‬‬
‫] ‪[12‬‬
‫كاثرين كوشتا هلبلينج ‪ ,‬كيفية استخدام نظم التصنيف وقوالب التقسيم لتعزيز الحوكمة الجيدة للشركات‪,‬الحوكمة في القرن الحادي والعشرين‪ ,‬ص ‪-172‬‬
‫‪ .173‬متوافر على الرابط التالي‪:‬‬
‫‪http://www.cipe-arabia.org/index.php/themes/democratic-governance/117-governanceinthe21century2003p1‬‬
‫[ ‪]13‬‬
‫عدنان بن حيدر درويش ‪ ,‬حوكمة الشركات ودور مجلس اإلدارة ‪ ,‬إتحاد المصارف العربية ‪ , 2007 ,‬ص ‪. 35-27‬‬
‫[ ‪]14‬‬
‫حساني رقية وآخرون‪" ,‬آليات حوكمة الشركات ودورها في الحد من الفساد المالي واإلداري"‪ ,‬الملتقى الوطني بعنوان حوكمة الشركات كآلية للحد من‬
‫الفساد المالي واإلداري‪ ,‬كلية العلوم االقتصادية والتجارية وعلوم التسيير‪,‬جامعة محمد خيضر‪,‬الجزائر ‪ 7-9‬مايو‪,2112 ,‬ص ‪.21-18‬‬
‫[‪]15‬‬
‫تقرير البنك المركزي الصادر بتاريخ ‪ 5‬يوليو ‪ 2111‬بخصوص قرار مجلس إدارة البنك المركزي المصري بشان تعليمات حوكمة البنوك‪,‬ص ‪.8‬‬
‫[‪]19‬‬
‫تقرير لجنة االستقرار المالي الصادر بتاريخ ‪ 13‬يونيو ‪ ,2112‬ص ‪ ,37-34‬ويمكن تحمليه من خالل الرابط التالي‪:‬‬
‫‪http://www.financialstabilityboard.org/search/?sp_q=compensation+practices&adv=1‬‬
‫اتجاهات الطلبة نحو الخدمات التعليمية ‪ :‬دراسة حالة على جامعة أبو ظبي‪ -‬فرع العين‬
‫المستخلص‬
‫هدفت الد ارسة إلى التعرف على اتجاهات الطلبة في جامعة أبو ظبي‪ -‬فرع العين نحو‬
‫الخدمات التعليمية‪ ،‬حيث تكون مجتمع الدراسة من جميع الطلبة في مرحلة البكالوريوس بجامعة أبو ظبي ‪ -‬فرع‬
‫العين‪ ،‬والبالغ عددهم ( ‪ ) 250‬طالبا‪ ،‬والمسجلين للعام الدراسي ‪2012‬م‪2013-‬م‪ ،‬وتم توزيع عدد (‪ )25‬استبانه‪،‬‬
‫ليتم استرداد (‪ )28‬استبانه‪ ،‬منها (‪ )22‬استبانه صالحة للتحليل اإلحصائي‪ ،‬لتخرج الدراسة بعدد من النتائج تتمثل‬
‫في وجود عالقة ارتباط قوية بين متغيري مستوى الخدمات التعليمية المقدمة وتكوين اتجاهات الطلبة نحوها ‪ ،‬حيث‬
‫) (‪ ) 0.205‬وبمعنوية بلغت (‪ ) 0.00‬وهو دال إحصائيا على مستوى (‪. ) 0.01‬‬
‫‪person‬بلغت قيمة ارتباط (‬
‫ووجود عالقة ارتباط قوية بين أبعاد جودة الخدمات التعليمية المقدمة من الجامعة واتجاهات الطلبة نحو‬
‫) ( ‪ )0.228‬وبمعنوية بلغت (‪ ) 0.00‬وهو دال إحصائيا ‪person‬الخدمات التعليمية ‪ ،‬حيث بلغت قيمة ارتباط (‬
‫على مستوى (‪ ، ) 0.01‬وعدم وجود فروق ذات داللة إحصائية ألفراد عينة الدراسة تبعا للمتغيرات‬
‫)‪ ،‬أما المستوى ‪ ،)0.68‬ومتغير الجنس (‪0.708‬الديموغرافية‪ ،‬حيث بلغت نتيجة (ت) لمتغير الجنسية (‬
‫التعليمي فبلغت قيمته (‪ )0.11‬نحو مستوى الخدمات التعليمية المقدمة من الجامعة ومدى تحقق أبعاد‬
‫جودتها‪.‬‬
‫الكلمات المفتاحية‪ :‬االتجاهات‪ ،‬مستوى الخدمات التعليمية‪ ،‬جودة الخدمات التعليمية‪.‬‬
Selected Papers shall be published in the International Multilingual Academic
Journal ISSN 2330-6440 & American Academic & Scholarly Research Journal
ISSN2162-3228.
http://aasrc.org/aasrj/